Handbook of Sustainable Engineering Compressed

Joanne Kauffman
Kun-Mo Lee
Editors
Handbook of
Sustainable
Engineering
1 3Reference
Handbook of Sustainable Engineering
Joanne Kauffman • Kun-Mo Lee
Editors
Handbook of
Sustainable Engineering
With 429 Figures and 123 Tables

Editors
Joanne Kauffman Kun-Mo Lee
Alliance for Global Sustainability (retired) Department of
Integrated Research System for Environmental Engineering
Sustainability Science (IR3S) Ajou University
The University of Tokyo Suwon, Korea
Tokyo, Japan
and
Paris, France
ISBN 978-1-4020-8938-1 ISBN 978-1-4020-8939-8 (eBook)

ISBN Bundle 978-1-4020-8940-4 (print and electronic bundle)
DOI 10.1007/978-1-4020-8939-8
Springer Dordrecht Heidelberg New York London
Library of Congress Control Number: 2013933866
© Springer Science+Business Media Dordrecht 2013

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Foreword
The future of our planet, how we live and interact with each other and the world
around us, and how we hand it on to the next generation is a concern that has
seldom been so widely shared at all levels of society throughout the history of
human civilization. Although how we do this remains a subject of intense debate
both within and between nations, there is growing recognition of the need for
new, innovative pathways to development. As we come to the conclusion that we
must take a longer-ranging view regarding our use of resources and become more
aware that the choices we make can have irrevocable consequences for the world
and therefore to humanity, interest in sustainability in its broadest sense is on the
increase. To promote awareness of the problem is one thing; to tackle the issue
itself is something else. It is a positive development that the sustainable option is
increasingly being sought and given preference as a matter of course to solve the
problems and challenges we meet in many academic disciplines and professional
fields today.
This Handbook of Sustainable Engineering, edited by Joanne Kauffman and
Kun-Mo Lee, offers a practical and timely tool outlining for many detailed topics
and subjects where the current dangers lie and what the possibilities for alternative
solutions are. It points the way forward to where more research is needed, as well as
to sometimes surprisingly simple and low-cost options that are already available if
we but consider going beyond conventional practice. Topics such as policy-making
and management as well as product development and rethinking energy use and
infrastructure all find a place here. Engineering is a discipline that touches on many
aspects of everyday life for everyone, and therefore, sustainable engineering is one
of the best ways to make a change for the better in a relatively short time.
I applaud the editors for taking on the task of advancing sustainable engineering
and recommend this work to all those who at any level or in any way shape our world
with their inventions, products, and decisions. Thinking outside the conventional
box is no longer a luxury but a necessity, and this book can act as a way to immerse
oneself in and acquaint oneself with new criteria for solutions to old problems.
I hope this pioneering compilation of knowledge will find its way not just into
academic libraries but also into the thinking and creative scientific process of the
next generation of engineers all over the world.
The Intergovernmental Panel on Climate Change (IPCC) has been instrumental
in raising awareness of the imminent dangers of the present way of using resources,
v
vi Foreword
and it is particularly gratifying to see that indeed changes are now being made and
that seeking sustainable solutions is becoming the norm. Still, we have a long way
to go, and the sooner we can make the necessary changes in our thinking and in
doing business as well as in day to day life, the better it will be for us all.
I warmly recommend this work and hope it will contribute to a better, fairer,
brighter, and more sustainable world.
R. K. Pachauri
Director General, The Energy and Resources Institute (TERI) &
Senior Adviser, Yale Climate and Energy Institute (YCEI)
Preface
The Handbook of Sustainable Engineering developed from a shared concern of

the need for practical guidance for both academic and professional engineers to
incorporate the goals of sustainable development into the research, development,
and application of modern technologies to meet societal needs. Today, the world
faces three stark challenges that rarely come to the fore of political discourse
in spite of mounting scientific and visceral evidence of their urgency: a climate
change, an energy crisis, and a world food and water crisis. In spite of the tepid
response on the part of policy-makers to these issues and their looming disastrous
impacts, a growing community of scientists and engineers is committed to meet
these challenges and to contribute to finding ways to overcome them. Among the
members of this community are the contributors to this Handbook.
Our primary objective is to facilitate the generation and diffusion of engineering
approaches that go beyond conventional thinking and current practice. To that end,
the Handbook addresses various ways and means that may help to advance the kind
of solutions that are put forward in the sections on water, energy, and materials,
as well as in the sections on industrial processes and product development. A
second objective is to provide theoretical as well as practical insight into the
potential for engineers to critically assess their work in terms of its contribution to
sustainable development. Specifically, the Handbook addresses the need for change
in engineering education as well as examines very practical application of the new
skills and ways of thinking that redound from sustainable engineering education.
Engineering is a very broad field and the concept of sustainable engineering
has many aspects. The chapters in the Handbook represent various approaches to
sustainable engineering, both theoretical and practical. Yet, we find that a general
definition of sustainability as a future-oriented principle that calls for holistic
solutions for sustainable development encompasses all of the analyses represented.
In this way, each individual chapter as well as the Handbook as a whole challenges
the present dominant development pattern and proposes alternative engineering
approaches and strategies.
The Handbook is organized in two parts that encompass both theoretical and
practical perspectives. The first part addresses four core elements of sustainable
engineering:
1. Educating the next generation of engineers
2. Meeting the global water crisis
vii
viii Preface
3. Ensuring sustainable production and products

4. Advancing sustainable product services and consumption
The second part of the Handbook, Volume II, addresses three contemporary forces
for change in engineering today:
1. Policy and decision-making
2. The quest for alternative energy sources
3. The development and application of new materials that take less energy to
produce than do conventional materials
Given the future orientation of the principle of sustainability, education and
outreach play a pivotal role. Thus, Volume I of the Handbook opens with the
section on education for sustainable development (ESD). The aim is to prepare
scientists and engineers of the future with the tools and skills they need to
overcome the limitations of traditional disciplinary education in order to embed
their solution options into the social, economic, and environmental realities that
confront societies today. Section editor Roger Baud has brought together a number
of authors who present successful experiments in education in sustainability and
sustainable development. The selection of chapters provides vivid examples and
pathways to prepare future engineers to responsibly respond to contemporary
complex engineering challenges.
Water section editor Keith R. Cooper introduces a series of chapters that take
account of the contemporary and growing water crises that place additional stress on
areas already precipitation poor and cause excessive flooding in other areas. These
extremes may well be due to climate change and are likely to increase in the future.
In this section, authors consider the implications of such developments and present
various small-scale means to ensure sufficient healthy, potable water in response to
significant global change.
Recognizing that sustainable production and products are prerequisites for the
realization of a sustainable society, section editor Kun-Mo Lee maintains that
a definition of sustainability must embrace the concept of ensuring sustainable
resource supply while maintaining stable environmental quality. He stresses that
sustainability requires two actions: reducing consumption of products and pro-
ducing products that consume fewer resources and generate less emissions to
the environment. Chapters in this section consider three main means to ensuring
these actions: analysis of environmental aspects of a product system, integration
of significant environmental aspects into product design, and application of the
methods and tools to the design of sustainable products and sustainable production.
In the section on the sustainable product service system (PSS) and sustain-
able consumption, section editor Yasushi Umeda asserts that the manufacturing
paradigm focused on mass production and consumption is highly questionable to
be sustainable. PSS is an approach from the industry side to the consumer side
by offering a package of products and services, while sustainable consumption
promotes consumers’ sustainable purchase and use of the products and services.
Both sustainable PSS and sustainable consumption can transform the current
manufacturing paradigm to a more sustainable one. In general, sustainable PSS
design is complicated compared to conventional product design because factors
Preface ix
such as human behavior of service providers and customers must also be taken
into account. Several chapters discuss fundamental concepts while others present
engineering methodologies for modelling, designing, simulating, and evaluating
PSS and examples of PSS.
Volume II of the Handbook begins with the section on policy and decision-
making, a driving force for sustainable production and consumption. In this section,
section editor Karel F. Mulder argues for more critical thinking in the engineering
community to address sustainability issues and to promote better policy-making.
The chapters in this section present a tableau of means for identifying and dealing
with the tough questions and trade-offs that engineers must consider if they are
to contribute to the twenty-first-century sustainability paradigm shift. Chapters in
the section provide building blocks for development of a sustainable engineering
strategy and practice.
The section on energy sources for the future recognizes the limitations of
dominant practices and focuses on alternative sources of energy. As energy section
editor Fabio Orecchini notes we must get beyond the present era in which 80% of
the world energy system is based on sources that are exhaustible, geographically
inequitably distributed, and major sources of greenhouse gases. For this reason, the
section focuses on sustainable alternative sources of energy and ways to achieve
them. In each case, the authors focus on the development and implementation of
decentralized, small-scale, efficient, and effective engineering solutions for meeting
energy needs.
In the Handbook’s final section on new materials, section editor Atsushi Suzuki
points out that the two major global risks that concern climate and resources
are attributable to climate change arising from greenhouse gas emissions and to
the limited supply of natural resources of rare-earth elements and commodity
substances. Solutions to averting these two risks will include the introduction of
environmentally friendly new materials for materials selection and consumption,
sustainable production and products, and social infrastructures in general. This
section focuses on three main areas of concern: energy, resources, and eco-
friendly materials design; renewable and biodegradable materials technologies; and
alternative materials.
It is clear from a perusal of the chapters selected and solicited by our section
editors that the need for engineering skills applied to the promotion of sustainable
development is acute. Today’s engineer must decide if he or she wants to contribute
directly to solving the world’s climate, pollution, energy, and water resource
problems in ways both large and small or to focus exclusively on meeting consumer
demand. Young engineers, practitioners from industry, researchers, and students are
encouraged to use the Handbook with a view to integrating the principles of sustain-
able engineering and the practices revealed in the handbook into their own work.
As coeditors in chief, Joanne Kauffman and Kun-Mo Lee have been equal
partners in developing the handbook. We owe deep appreciation to Springer for
its support of the project and in particular to our publisher, Nathalie Jacobs for
her enthusiasm and wisdom in shaping the whole effort and to our associate
editor at Springer, Neha Thapa. We are especially grateful to our collaborators, the
x Preface
section editors, who share our belief in the importance of advancing sustainability
principles in engineering education and practice, and to the contributors, who have
prepared constructive, provocative, and tightly argued chapters. It is ultimately to
them to whom we and those who use the handbook are most grateful. No single
encyclopedia, handbook, or reference can possibly address all the engineering
challenges that the world, in its quest for a more sustainable future, requires
and seeks. We view this handbook as an organic document, one that can grow
to encompass more examples of sustainable engineering in response to emerging
challenges and to which colleagues throughout the world will continue to contribute.
In the meantime, we thank with deep appreciation all those who have helped to take
at least this first step forward.
Professor, Dr. Leo Jansen, who passed away in August 2012, was a pillar
of sustainable development at Delft University of Technology and a beacon to
those concerned about the sustainability of the planet worldwide. Throughout a
long career, he maintained that the pursuit of sustainable development was not
incompatible with technological development but, rather, presented new challenges
to the engineering profession. Enthusiastic and tireless in the pursuit of innovative
solutions that he advanced with great technical, political, and social skills, Leo
Jansen is an inspiration to scholars, students, and professional engineers who seek
a sustainable pathway to development. Inspired by his example, we dedicate the
Handbook of Sustainable Engineering to Leo Jansen.
March 2013 Joanne Kauffman

Paris, France
Kun-Mo Lee
Suwon, Korea
About the Editors
Joanne Kauffman Integrated Research System for Sustainability Science,

The University of Tokyo, Tokyo, Japan and Paris, France
Joanne Kauffman is retired Principal Research Scientist from the Massachusetts

Institute of Technology (MIT), where she served as Deputy Director of the Lab
for Energy and Environment, Lecturer, and Co-executive Director of the Alliance
for Global Sustainability. Joanne has recently joined the IR3S (Integrated Research
System in Sustainability Science) faculty at The University of Tokyo and is advisor
to the program’s book series on Science for Sustainable Societies (Springer).
xi
xii About the Editors
Kun-Mo Lee Department of Environmental Engineering, Ajou University, Suwon,

Korea
Kun-Mo Lee received PhD in Environmental Engineering from the University of

Utah, Salt Lake City, Utah, USA, in 1985. After graduation, he has worked for
three years for the US Environmental Protection Agency as a principal research
investigator in the area of domestic sewage sludge treatment, in particular, sludge
treatment including anaerobic digestion, pyrolysis, and gasification.
Since 1989, he has been a professor of Environmental Engineering in Ajou
University, Suwon, Korea, and offered a course on Life Cycle Assessment (LCA)
since 1996. He served as convener of ecodesign in ISO/TC 207/WG2 [1999–2002]
which produced ISO/TR 14062 entitled “Integrating Environmental Aspects into
Product Design and Development.” He is deeply involved in international activi-
ties on product-related environmental standards and conformance in the ISO/TC
207, IEC/TC 111, and APEC (Asia-Pacific Economic Cooperation)/SCSC (Sub-
committee on Standards and Conformance) arena.
He was appointed as the guest professor at the Vienna University of Technology,
Vienna, Austria, offering a course on Environmental Product Declaration including
LCA [2003–2005]. He also was appointed as the guest professor at the University
of Tokyo, Japan [2003], and visiting research fellow at the National Institute of
Advanced Industrial Science and Technology (AIST), Japan (through the support of
the research fellowship of Japan Society for the Promotion of Science: JSPS) [2010].
Dr. Lee has undertaken research on LCA and ecodesign. Most notably, he devel-
oped Korean Life Cycle Inventory Database including electricity, metals, nonmetals,
and construction materials [1998–2003]. He published many scientific papers on
LCA and ecodesign in international journals. Of particular importance was the
publication of a paper on the greenhouse gas Bill of Material (g-BOM) method
for the ecodesign of electronic products. He also has coauthored several books
on environmental labeling, LCA, and ecodesign including books entitled “Best
Practices of ISO 14021: Self-Declared Environmental Claims” and “Best Practices
of LCA” both by APEC in 2003 and 2004 and “Ecodesign Implementation” and
About the Editors xiii
“Ecodesign – The Competitive Advantage” both by Springer in 2004 and 2010,

respectively.
He was the recipient of the Harrison Prescott Eddy Medal given to the outstanding
researcher by Water Environment Federation, USA, in 1987. He is a registered
professional engineer in the state of Ohio, USA, and Korea and holds US and Korea
patents on the sludge pyrolysis process. Dr. Lee’s expertise is on LCA, product
carbon footprint, ecodesign, environmental labeling, and green business.
Section Editors
Roger Baud ACTIS – Activating Talent in Sustainability, Zürich, Switzerland
Keith R. Cooper Department of Biochemistry & Microbiology, Rutgers, The State

University of NJ, New Brunswick, New Jersey, USA
xv
xvi Section Editors

Korea
Karel F. Mulder Technology Policy and Management, Delft University of

Technology, Delft, The Netherlands
Section Editors xvii
Fabio Orecchini Interuniversity Research Centre for Sustainable Development,

University of Rome La Sapienza, Department of Mechanics and Energy, Guglielmo
Marconi University, Rome, Italy
Atsushi Suzuki Department of Materials Science & Research, Institute of Environ-

ment and Information Sciences, Yokohama National University, Yokohama, Japan
xviii Section Editors
Yasushi Umeda Department of Mechanical Engineering, Graduate School of

Engineering, Osaka University, Osaka, Japan
Contents
Volume 1
Section I Education and Outreach .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1

1 Education and Outreach: Introduction.. . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 3
Roger Baud
2 Blueprints for Teaching Ecodesign and Sustainability to
University Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 7
Charles Pezeshki, Jitesh H. Panchal, and Gaurav Ameta
3 Ecodesign in Swiss Machining Industry: A Collaborative
Learning Process for Effective Outreach and Education .. . . . . . . . . . . . . 31
Rainer Züst
4 Implementing New Teaching Models at the Massachusetts
Institute of Technology . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 53
Jeffrey I. Steinfeld and Amanda Graham
5 Teaching Old Disciplines New Tricks: Sustainable

Engineering Education . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 67
Carolyn S. Mattick and Braden R. Allenby
6 Youth Encounter on Sustainability: A Transdisciplinary,

Multicultural, and Immersive Education Program . . . . . . . . . . . . . . . . . . . . 79
Michelle Grant
7 Transdisciplinary Approaches to Engineering R&D:
Importance of Understanding Values and Culture .. . . . . . . . . . . . . . . . . . . . 91
Alan Colin Brent
Section II Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 113

8 Sustainable Water: Introduction . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 115
Keith R. Cooper
xix
xx Contents
9 Chlorine Self-Production Plant Solution for Effluent

Water to be Used in Irrigation in Gaza Strip .. . . . . . . . . . . . . . . . . . . . . . . . . . 117
Andrea Micangeli, Nicola Iannuzzo, and Stefano Esposto
10 Fundamental Toxicology Methods and Resources for
Assessing Water-related Contamination.. . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 137
Keith R. Cooper
11 Micro Hydro in Emergency Situations: A Sustainable
Energy Solution at La Realidad (Chiapas, Mexico) .. . . . . . . . . . . . . . . . . . . 163
Andrea Micangeli and Mariantonietta Cataldo
12 Groundwater Contamination: Role of Health
Sciences in Tackling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 181
Chiho Watanabe
13 Sustainable Earth System Engineering: Incentives and
Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 195
Peter A. Wilderer, Martin Grambow, and Wei Meng
14 Sustainable Rehabilitation of Water Infrastructures in
Southern Iraq After the Second Gulf War . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 211
Andrea Micangeli, Simone Grego, and Stefano Esposto
15 Sustainable Water Management in Response to Global
Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 247
Peter A. Wilderer , Martin Grambow, and Wei Meng
Section III Sustainable Products and Sustainable Production . . . . . . . . . . . 259

16 Sustainable Products and Sustainable Production:
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 261
Kun-Mo Lee
17 Ecodesign Strategies: A Missing Link in Ecodesign . . . . . . . . . . . . . . . . . . . 269
Ferdinand Quella
18 Environmental Quality Function Deployment for
Sustainable Products . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 285
Keijiro Masui
19 Green PCB Manufacturing Technologies . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 301
K. C. Yung
20 Eco-Packaging Development: Integrated Design
Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 323
Fabio Giudice
21 Material Flow Cost Accounting: Significance and
Practical Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 351
Katsuhiko Kokubu and Hiroshi Tachikawa
Contents xxi
22 Product Life Cycle Assessment (PLCA) and Product

Carbon Footprint (PCF) . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 371
Kun-Mo Lee
23 Remanufacturing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 389
Mitsutaka Matsumoto and Winifred Ijomah
24 Reuse of Components and Products: “Qualified as Good
as New” .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 409
Ferdinand Quella and Fevzi Belli
25 Supply Chain Management for Sustainability .. . . . . . . . . . . . . . . . . . . . . . . . . 427
Masaru Nakano
26 Sustainable Design by Systematic Innovation Tools
(TRIZ, CAI, SI, and Biomimetics) . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 451
Seung-Hyun Yoo
27 Sustainable Product Design and Development: TPI-Based
Idea Generation Method for Eco-Business Planning and
Eco-Product Development . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 471
Shinsuke Kondoh and Nozomu Mishima
28 Structural Complexity Management in Sustainable
Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 493
W. Biedermann and Udo Lindemann
29 Sustainable Production: Eco-efficiency of Manufacturing Process.. . 519
Nozomu Mishima
Section IV Sustainable Product Service Systems and

Sustainable Consumption . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 541
30 Product Service Systems and Sustainable Consumption
Toward Sustainability: Introduction .. . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 543
Yasushi Umeda
31 Advanced Japanese Service Design: From Elements to
Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 549
Yoshiki Shimomura, Koji Kimita, and Fumiya Akasaka
32 Design for Sustainability (DfS): Interface of Sustainable
Production and Consumption . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 575
Joachim H. Spangenberg
33 Engineering PSS (Product/Service Systems) Toward
Sustainability: Review of Research . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 597
Tomohiko Sakao
34 Eco-business Planning: Idea Generation Method . . . . . . . . . . . . . . . . . . . . . . 615
Shinsuke Kondoh and Hitoshi Komoto
xxii Contents
35 Life Cycle Simulation for Sustainable Product Service

Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 633
Hitoshi Komoto and Nozomu Mishima
36 Modeling Services and Service-Centered PSS Design . . . . . . . . . . . . . . . . . 653
Yoshiki Shimomura and Kentaro Watanabe
37 Product Design Considerations for Improved Integrated
Product/Service Offerings .. . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 669
Mattias Lindahl and Erik Sundin
38 Sustainable Consumption . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 691
Dorothy Maxwell
39 Sustainable Design Engineering: Design as a Key Driver
in Sustainable Product and Business Development . . . . . . . . . . . . . . . . . . . . 707
Christoph Herrmann and Guenter Moeller
40 Sustainable PSS in Automotive Industry . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 723
Christoph Herrmann and Katrin Kuntzky
Volume 2
Section V Policy and Decision-Making .. . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 743

41 Policy, Decision-Making, and Management for
Sustainable Engineering: Introduction .. . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 745
Karel F. Mulder
42 Backcasting and Scenarios for Sustainable Technology
Development .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 749
Jaco Quist
43 Changing Energy Demand Behavior: Potential of
Demand-Side Management . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 773
Sylvia Breukers, Ruth Mourik, and Eva Heiskanen
44 Engineers and Community: How Sustainable Engineering
Depends on Engineers’ Views of People . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 793
Juan C. Lucena
45 Impact of New Technologies: How to Assess the Intended
and Unintended Effects of New Technologies? . . . . . . . . . . . . . . . . . . . . . . . . . 817
Karel F. Mulder
46 Life Cycle Thinking for Improved Resource Management:
LCA or? .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 837
Björn Frostell
Contents xxiii
47 New Business Models for Sustainable Development . . . . . . . . . . . . . . . . . . . 859

Renate van Drimmelen
48 Strategies for Sustainable Technologies: Innovation in
Systems, Products, and Services .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 881
Karel F. Mulder
49 Successful Contextual Technology Transfer and
Determinants of Culture . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 895
Kassahun Y. Kebede, D. J. Ndegwah, and J. O. Kroesen
Section VI Energy Sources of the Future . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 921

50 Energy Sources of the Future: Introduction . .. . . . . . . . . . . . . . . . . . . . . . . . . . 923
Fabio Orecchini
51 Biomass Energy Field.. . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 927
Vikram Seebaluck
52 Energy from Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 941
Aline Choulot
53 Ensuring Sustainability of Bioenergy in Practice . . . . . . . . . . . . . . . . . . . . . . 977
Francesca Farioli
54 Geothermal Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1019
Hakim Saibi, Stefan Finsterle, Ruggero Bertani, and
Jun Nishijima
55 Renewability of Energy Resources, Energy Vectors, and
Energy Technologies for Mobility . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1043
Fabio Orecchini, Annalisa D’Orazio, Valeria Valitutti, and
Chiara Fiori
56 Solar Energy: Harvesting the Sun’s Energy for
Sustainable Future .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1065
C. S. Psomopoulos
57 Wind . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1109
Elvir Zlomusica
Section VII New Materials.. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1143

58 New Materials: Introduction . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1145
Atsushi Suzuki
59 Advanced Energy Devices: Lithium Ion Battery and High
Energy Capacitor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1149
M. K. Devaraju, M. Sathish, and I. Honma
60 Advanced Materials for Fuel Cells . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1175
Toshiyuki Mori and John Drennan
xxiv Contents
61 Alternative Materials Development Utilizing Advanced

Nanotechnology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1189
Shunichi Arisawa
62 Biopolymers for Environmental Applications: Highly
Functional Polylactic Acid Composites Used for Durable
Products .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1203
Masatoshi Iji
63 Computational Materials Science and Computer-aided
Materials Design and Processing .. . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1215
Rodion V. Belosludov, Hiroshi Mizuseki, Ryoji Sahara,
Yoshiyuki Kawazoe, Oleg S. Subbotin, Ravil K. Zhdanov,
and Vladimir R. Belosludov
64 Mechanisms of Organisms as Environment-Friendly
Materials Design Tools . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1249
Naoe Hosoda
65 Thermodynamics and Resource Consumption: Concepts,
Methodologies, and the Case of Copper . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1263
Stefan Gößling-Reisemann
Erratum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . E1
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1287
Contributors
Fumiya Akasaka Tokyo Metropolitan University, Tokyo, Japan

Braden R. Allenby Center for Earth Systems Engineering and Management,
School of Sustainable Engineering and the Built Environment, Arizona State
University, Tempe, AZ, USA
Gaurav Ameta School of Mechanical and Materials Engineering, Washington
State University, Pullman, WA, USA
Shunichi Arisawa Electronics Group, Superconducting Properties Unit, Envi-
ronment and Energy Materials Division, National Institute for Materials Science,
Tsukuba-shi, Ibaraki, Japan
Roger Baud ACTIS – Activating Talent in Sustainability, Zürich, Switzerland
Fevzi Belli EIM/E-ADT, Department of Electrical Engineering and Information
Technology, University of Paderborn, Paderborn, Germany
Rodion V. Belosludov Institute for Materials Research, Tohoku University, Sendai,
Japan
Vladimir R. Belosludov Nikolaev Institute of Inorganic Chemistry, SB RAS,
Novosibirsk, Russia
Ruggero Bertani Geothermal Center of Excellence, Enel Green Power S.p.A.,
Pisa, Italy
W. Biedermann Institute of Product Development, Technische Universität
München, Garching, Germany
Sylvia Breukers Policy Studies Department, Energy Research Centre of the
Netherlands (ECN), Amsterdam, The Netherlands
Alan Colin Brent Centre for Renewable and Sustainable Energy Studies, Faculty
of Engineering and the School of Public Leadership, Faculty of Economic and
Management Sciences, Stellenbosch University, Stellenbosch, South Africa
Mariantonietta Cataldo Interuniversity Research Centre for Sustainable Devel-
opment, CIRPS – University of Rome “Sapienza”, Rome, Italy
xxv
xxvi Contributors
Aline Choulot Mhylab, Mini-Hydraulics Laboratory, Montcherand, Switzerland

Keith R. Cooper Department of Biochemistry & Microbiology, Rutgers, The State
University of NJ, New Brunswick, New Jersey, USA
Annalisa D’Orazio SEM – Energy and Mobility Systems (GEA – Energy &
Environment Group), CIRPS – Interuniversity Research Centre for Sustainable
Development, Sapienza University, Rome, Italy
M. K. Devaraju Institute of Multidisciplinary Research for Advanced Materials,
Tohoku University, Aoba-ku, Sendai, Japan
John Drennan Centre for Microscopy and Microanalysis, The University of
Queensland, St. Lucia, QLD, Australia
Renate van Drimmelen Section Technology Dynamics & Sustainable Develop-
ment, Delft University of Technology, Delft, The Netherlands
Stefano Esposto Interuniversity Research Centre for Sustainable Development,
CIRPS – University of Rome “Sapienza”, Rome, Italy
Francesca Farioli Interuniversity Research Centre on Sustainable Development
(CIRPS), Sapienza Università di Roma, Roma, Italy
Department Mechanical and Aerospace Engineering, Sapienza Università di Roma,
Rome, Italy
Stefan Finsterle Hydrogeology Department, Lawrence Berkeley National Labora-
tory, Earth Sciences Division, Berkeley, CA, USA
Chiara Fiori SEM – Energy and Mobility Systems (GRA – Automotive Research
Group), CIRPS – Interuniversity Research Centre for Sustainable Development,
Sapienza University, Rome, Italy
Björn Frostell Assistant Professor Industrial Ecology, Department of Industrial
Ecology, School of Industrial Engineering and Management KTH – Royal Institute
of Technology, Stockholm, Sweden
Fabio Giudice Department of Industrial and Mechanical Engineering, University
of Catania, Catania, Italy
Stefan Gößling-Reisemann Faculty of Production Engineering, Division of Tech-
nological Design and Development, artec j Research Center for Sustainability
Studies, University of Bremen, Bremen, Germany
Martin Grambow Bavariab State Ministry of the Environment and Public Health,
Munich, Germany
Amanda Graham MIT Energy Initiative, Massachusetts Institute of Technology,
Cambridge, MA, USA
Simone Grego United Nations World Water Assessment Programme, Programme

Office for Global Water Assessment, Division of Water Sciences, UNESCO,
Colombella, Perugia, Italy
Contributors xxvii
Michelle Grant ACTIS (Activating Talent in Sustainability), Zurich, Switzerland

Eva Heiskanen National Consumer Research Centre (NCRC) Konsumentforskn-
ingscentralen, Helsinki, Helsingfors, Finland
Christoph Herrmann Unternehmensberater (Business Consultants), Munich,
Germany
Christoph Herrmann Technische Universität Braunschweig, Institut für
Werkzeugmaschinen und Fertigungstechnik (IWF), Braunschweig, Germany
I. Honma Institute of Multidisciplinary Research for Advanced Materials, Tohoku
University, Aoba-ku, Sendai, Japan
Naoe Hosoda Hybrid Materials Center, National Institute for Materials Science
(NIMS), Tsukuba-shi, Ibaraki, Japan
Nicola Iannuzzo Interuniversity Research Centre for Sustainable Development,
Masatoshi Iji Smart Energy Research Laboratories NEC Corporation, Tsukuba,
Ibaraki, Japan
Winifred Ijomah Design Manufacturing and Engineering Management, Faculty
of Engineering, University of Strathclyde, Glasgow,UK
Yoshiyuki Kawazoe New Industry Hatchery Center, Tohoku University, Sendai,
Japan
Koji Kimita Faculty of Engineering, Tokyo University of Science, Tokyo, Japan
Katsuhiko Kokubu Graduate School of Business Administration, Kobe Univer-
sity, Kobe, Japan
Hitoshi Komoto Advanced Manufacturing Research Institute, National Institute of
Advanced Industrial Science and Technology (AIST), Tsukuba, Ibaraki, Japan
Shinsuke Kondoh Advanced Manufacturing Research Institute, National Institute
of Advanced Industrial Science and Technology (AIST), Tsukuba, Ibaraki, Japan
J. O. Kroesen Faculty of Technology, Policy and Management, Delft University
of Technology, Delft, The Netherlands
Katrin Kuntzky Scientific Research Assistant, Department of Product- and Life-
Cycle-Management, Institute of Machine Tools and Production Technology (IWF),
Technische Universität Braunschweig, Braunschweig, Germany
Korea
Mattias Lindahl Department of Management and Engineering, Environmental
Technology and Management, Linköping University, Sweden
Udo Lindemann Institute of Product Development, Technische Universität
München, Garching, Germany
xxviii Contributors
Juan C. Lucena Liberal Arts and International Studies, Colorado School of Mines,
Golden, CO, USA
Keijiro Masui Advanced Manufacturing Research Institute, National Institute of
Advanced Industrial Science and Technology (AIST), Tsukuba, Ibaraki, Japan
Mitsutaka Matsumoto Center for Service Research, National Institute of Advanced
Industrial Science and Technology (AIST), Tsukuba, Ibaraki, Japan
Carolyn S. Mattick Center for Earth Systems Engineering and Management,
School of Sustainable Engineering and the Built Environment, Arizona State
University, Tempe, AZ, USA
Dorothy Maxwell Founder and Director of Global View Sustainability Services
Ltd., London, UK
Lecturer at Imperial College London MSc Environmental Science, Centre for
Environmental Policy, London, UK
Wei Meng Chinese Research Academy of Environmental Sciences, Beijing, PR
China
Andrea Micangeli Interuniversity Research Centre for Sustainable Development,
Nozomu Mishima Graduate School of Engineering and Resource Science, Akita
University, Akita, Akita, Japan
Hiroshi Mizuseki Institute for Materials Research, Tohoku University, Sendai,
Japan
Guenter Moeller Unternehmensberater (Business Consultants), Munich, Germany
Toshiyuki Mori Fuel cell materials group, Battery materials unit, National institute
for materials science (NIMS), Tsukuba, Ibaraki, Japan
Hetro-interface design group, batteries and fuel cells field, global research centre
for environment and energy based on nano-materials science, National institute for
materials science (NIMS), Tsukuba, Ibaraki, Japan
Ruth Mourik DuneWorks, Eindhoven, The Netherlands
Karel F. Mulder Technology Policy and Management, Delft University of Tech-
nology, Delft, The Netherlands
Masaru Nakano The Graduate School of System Design and Management, Keio
University, Yokohama, Kanagawa, Japan
D. J. Ndegwah Institute for Social Ministry in Mission, Tangaza College, Lang’ata,
Nairobi, Kenya
Jun Nishijima Faculty of Engineering, Laboratory of Geothermics, Kyushu Uni-
versity, Nishi-ku, Fukuoka, Japan
Contributors xxix
Fabio Orecchini Interuniversity Research Centre for Sustainable Development,

University of Rome La Sapienza, Department of Mechanics and Energy, Guglielmo
Marconi University, Rome, Italy
Jitesh H. Panchal School of Mechanical and Materials Engineering, Washington
Charles Pezeshki School of Mechanical and Materials Engineering, Washington
C. S. Psomopoulos Department of Electrical Engineering, T.E.I. Piraeus, Egaleo,
Greece
Ferdinand Quella Siemens, retired, DKE/ISO/ZVEI, formerly headed
workgroups/projects, Ottobrunn, Germany
Jaco Quist Faculty of Technology, Policy and Management, Section Technology
Dynamics and Sustainable Development (TDSD), Delft University of Technology,
Delft, The Netherlands
Ryoji Sahara Institute for Materials Research, Tohoku University, Sendai, Japan
Hakim Saibi Earth Resources Engineering, Laboratory of Exploration Geophysics,
Faculty of Engineering, Kyushu University, Nishi-ku, Fukuoka, Japan
Tomohiko Sakao Environmental Technology and Management, Department of
Management and Engineering, Linköping University, Linköping, Sweden
M. Sathish Institute of Multidisciplinary Research for Advanced Materials, Tohoku
University, Aoba-ku, Sendai, Japan
Vikram Seebaluck Department of Chemical and Environmental Engineering,
University of Mauritius, Le Reduit, Mauritius
Yoshiki Shimomura Graduate School of System Design, Tokyo Metropolitan
University, Tokyo, Japan
Joachim H. Spangenberg SERI Germany e.V., UFZ Helmholtz Centre for Envi-
ronment Research, Cologne, Halle, Germany
Jeffrey I. Steinfeld Laboratory for Energy and the Environment, Department of
Chemistry, Massachusetts Institute of Technology, Cambridge, MA, USA
Oleg S. Subbotin Nikolaev Institute of Inorganic Chemistry, SB RAS, Novosi-
birsk, Russia
Erik Sundin Department of Management and Engineering, Division of Manufac-
turing Engineering, Linköping University, Linköping, Sweden
Atsushi Suzuki Department of Materials Science & Research, Institute of Environ-
ment and Information Sciences, Yokohama National University, Yokohama, Japan
xxx Contributors
Hiroshi Tachikawa Propharm Japan Co., Ltd., Tokyo, Japan

Yasushi Umeda Department of Mechanical Engineering, Graduate School of
Engineering, Osaka University, Osaka, Japan
Valeria Valitutti SEM – Energy and Mobility Systems, CIRPS – Interuniversity
Research Centre for Sustainable Development, Sapienza University, Rome, Italy
Chiho Watanabe Department of Human Ecology, School of International Health,
University of Tokyo, Tokyo, Japan
Kentaro Watanabe Graduate School of System Design, Tokyo Metropolitan
University (Currently: Center for Service Research, National Institute of Advanced
Industrial Science and Technology), Tokyo, Japan
Peter A. Wilderer Institute for Advanced Study, Technical University of Munich,
Garching, Germany
Seung-Hyun Yoo Department of Mechanical Engineering, Ajou University,
Suwon, Korea
Kassahun Y. Kebede Chair of Industrial Engineering, AAiT, Addis Ababa
University, Addis Ababa, Ethiopia
K. C. Yung Department of Industrial and Systems Engineering, The Hong Kong
Polytechnic University, Kowloon, Hong Kong
Ravil K. Zhdanov Nikolaev Institute of Inorganic Chemistry, SB RAS,
Novosibirsk, Russia
Elvir Zlomusica University Dzemal Bijedic of Mostar, Mostar, Bosnia and
Herzegovina
Rainer Züst Züst Engineering AG, Seegräben, Switzerland
Section I
Education and Outreach
Education and Outreach: Introduction
1
Roger Baud
The term sustainable development stands for a new age in human cultural
development, following the industrial and post-industrial eras. Emblematic of such
development is “sustainability,” a sociocultural movement toward a new lifestyle
paradigm that is based on three fundamental principles: respect for natural systems,
the promise of a humane living base for all humans, and the development of a
circular flow economy to support material life. Thus, Sustainability is not a new
discipline or academic field of study. Rather, it is a future-oriented principle, one
that involves all human actors in any field of activity at any place on our earth.
In the framework of such a conceptual paradigm, it is clear that education plays
a pivotal role. In traditional education systems, which are rooted in a technological
and economic growth paradigm, individuals are trained to think primarily in terms
of personal gain and focused careers. Thus, in education one witnesses increasing
specialization into specific disciplines and the withering of an overarching goal of
a humane future for all. Higher education systems in particular do not adequately
prepare young people for a socially and environmentally responsible life due to
the lack of a holistic approach that entails cross-disciplinary knowledge sharing,
development of core social and professional skills and values, and an appropriate
ethical framework for future actions. The educational gap between traditional,
monodisciplinary learning methods and the need for a socially responsible, future-
oriented, and broader approach can be bridged with new, multidimensional and
multidisciplinary learning tools that are being developed through a concept of
Education in Sustainability and Sustainable Development (ESD). This educational
concept seeks to embed the goals of technological advancement into the social,
economic, and ecological realities of today and into the forecasted needs of a future
sustainable pathway. This shift in educational focus may be advanced either through
the addition of specific courses or, even better, by incorporating sustainability
R. Baud
ACTIS – Activating Talent in Sustainability, Zürich, Switzerland
e-mail: roger.baud@sl.ethz.ch
J. Kauffman, K.-M. Lee (eds.), Handbook of Sustainable Engineering, 3

DOI 10.1007/978-1-4020-8939-8 123,
4 R. Baud
aspects into the existing curricula of any field of study. In other words, ESD
should be made an integral part of any modern learning environment. While ESD is
needed at all educational levels and for all members of society (including managers,
institutions, organizations, and the public at large through, e.g., lifelong learning
and continuing education initiatives), the most important sector for targeted ESD
education is young academics.
They are the future leaders who will be responsible for leading societies into
the new sustainability paradigm. Engineering, converting technology into useful
practice, is a particularly sensitive field when planning for a sustainable future of
mankind. Today’s engineering students and professionals must be prepared with
the knowledge and skills they need to take account of the impacts their work will
have on the future of the planet and to fully understand why this preparation is
essential. At the very least, today’s engineers must have a basic understanding of
resource depletion, holistic life cycle thinking, social responsibility, and care for
the environment. This implies the need for education that goes well beyond the
provision of skills necessary to develop new and better technologies. Engineers
need to open up their disciplinary system boundaries to a more holistic perspective,
reflecting real social needs according to local, regional, and global priorities.
They have to develop standards following the precautionary principle.
Outreach, in the context of this chapter, means to walk the talk as well as to
widely disseminate best practices and experiences so that consumers and practition-
ers may learn and can experiment with new forms of a more sustainable lifestyle
and new models of material usage. Education is the cradle of the new sustainability
age, while communication about and testing of new behavioral patterns under
principles of sustainability is the way forward to meaningful action. As psychology
shows, nobody will easily give up traditional habits as long they are not given the
chance of testing a new pattern on a low-risk and low-cost basis and as long as
they do not see any benefit in making such a change. The same psychological
mechanism may apply as well to social organisms, enterprises, and institutions.
Social and individual change will come about not only as the result of cognitive
knowledge and understanding but just as importantly through emotional bonds
and practical experience. Communication and outreach are the vehicles that will
contribute to the dissemination of knowledge as well as to experimentation with
new and more sustainable lifestyle choices and practices across all sectors of society
from individuals to government, business, and social organizations. Just as a more
holistic and innovative educational approach is needed to promote a paradigm shift
into the era of sustainability, changes are also necessary in the way best practices,
good governance, research results, and positive solutions are communicated.
This chapter of the Handbook of Sustainable Engineering presents examples of
creative educational and outreach experiments and discussion of their results in
various sectors, with a particular focus on the creative thinking that is needed and
how these questions are handled at selected universities.
In Blueprints for Teaching Ecodesign and Sustainability to University Students
by Charles Pezeshki, Jitesh Panchal, and Gaurav Ameta, the authors describe new
approaches and models at the undergraduate and graduate level of courses in
1 Education and Outreach: Introduction 5
ecodesign and on how to integrate such models into existing curricula. As many
others, they claim that there is a lack of widespread acceptance of the basic
principles of product life management and that most efforts in curricular change end
up booged down. They propose with concrete and practical examples some type of
frameworks to be established that allows both students and professors a larger, more
coherent approach to the field.
The questions raised in Transdisciplinary Approaches to Engineering R&D:
Importance of Understanding Values and Culture by Alan Colin Brent from
Stellenbosch University in South Africa goes beyond a specific methodology in
product design and life cycle analyses. Along a case study in the bioenergy field, the
author refers to sustainability-oriented problems based on transdisciplinary research
and development (R&D) efforts, whereby coproduction transgresses boundaries,
and science becomes visible before it becomes certain. He explores the collaboration
between disciplines to identify, structure, analyze, and deal with specific challenges
so it can grasp the complexity of problems, including not only engineering
knowledge but as well as social values and cultural influences.
With very concrete examples, Braden R.Allenby and Carolyne S.Mattick from
Arizona State University present excellent alternative views on how to incorporate
sustainability into engineering education in Teaching old Disciplines New Tricks:
Sustainable Engineering Education. Their provocative statements base on the fact
that engineering education provide students with understanding of problem-solving,
but does not begin to prepare them for problem-defining, as one of the most difficult
phases of any engineering project. The authors also elaborate some models of
lifelong learning, as an urgent request in a challenging world with exponentially
increasing information. Along their basic definition, engineering could be thought of
as the application of science in service to society. Regarding the systems complexity,
good engineering can no longer merely provide a technological solution to an
immediate problem; it must challenge itself to consider the larger context, and long-
term implications, of the design.
A very concrete example of an educational initiative that brings university
students together with practitioners from the industry is given by Rainer Züst em.,
professor of ETH Zürich, in his article Ecodesign in Swiss Machining Industry:
A Collaborative Learning Process for Effective Outreach and Education. After a
broad introduction into the basic elements of a modern approach in ecodesign
and new product development, the author is pointing out that modern education
in engineering must include the direct contact with the industry. The future lies in a
learning process in which industries and universities collaborate. In a process of col-
laboration between experts and students, both sides will benefit: the industry sector
for implementing new scientific knowledge in their R&D projects, and students and
university teaching by basing their education in a practice-oriented way.
Finally, there are two articles in this chapter which are directed concretely of
including engineering and material flow technologies into the educational systems
at universities.
Jeff Steinfeld and Amanda Graham from MIT Cambridge in their presentation
Implementing New Teaching Models at the Massachusetts Institute of Technology
6 R. Baud
refer to the fact that the old model of educating engineers at universities may not be
adequate to address the issues and challenges of global sustainability. Accordingly,
for ESD to succeed in its purpose, we must find ways to bridge the gaps among
multiple disciplines and to develop students’ capacity to synthesize the viewpoints
these bring to sustainability. The authors describe a variety of multidisciplinary
teaching methodologies and some innovative activities at MIT that embodies the
institute’s motto of mens et manus (learning by doing) and makes use of the campus
itself as a laboratory for learning. Among the examples described here are project-
based courses and tutorials for beginning and advanced students that address topics
ranging from energy-saving projects on campus to global environmental issues;
the infusion of energy and environmental topics into basic course requirements
in science, engineering, and social science; and making use of the Research
Opportunities Program to engage students in current research activities on these
topics.
An even broader educational approach, addressing all aspects of the sustainabil-
ity concept, by reflecting engineering and technology in the full context of today’s
social, political, and economic realities, is presented by Michelle Grant from ETH,
Zürich on the case study Youth Encounter on Sustainability: A Transdisciplinary,
Multicultural, and Immersive Education Program. Over the past 10 years, the Youth
Encounter on Sustainability (YES), starting in 2000 as an educational initiative by
ETH – Zürich, MIT – Boston, University of Tokyo, and Chalmers University of
Technology – Gothenburg, is a unique and intensive 18-day course program that
brings together students from all over the world to learn, debate, and discuss the
multiple facets of the sustainability concept and to plan for future options and
actions including questions on how to integrate engineering and technology into
the needs of today’s and tomorrow’s societies. Over 1,200 students from more than
120 different countries have gone already through this learning process and, after
their training at YES, are linked in a network for ongoing discussions and activities.
Blueprints for Teaching Ecodesign and
Sustainability to University Students 2
Charles Pezeshki, Jitesh H. Panchal, and Gaurav Ameta
Abstract
There can be little doubt that if ecodesign and sustainability principles are
going to be adopted, a great accelerator would be fundamental curriculum
reform in engineering degree-granting institutions across the globe. But for
most individuals involved with institutions of higher education, daunting hurdles
exist at all levels – departmental, college, university, as well as accreditation
by certification agencies. And because of the work burdens extant in academic
jobs, most individual faculty members do not have the time to jump through
the procedural hoops that would result in real change. Additionally, because
of the lack of widespread acceptance of the basic principles of product life
cycle management, or the need to take valuable real estate from other topics,
most efforts in curricular change end up bogged down. There are a rapidly
increasing number of programs that offer some complement of sustainability
courses at the graduate level, and some nascent efforts at the undergraduate level.
However, the largest problem with single-course offerings is that they effectively
pigeonhole “green” engineering into a vanishingly small part of the curriculum,
where what really needs to happen is a systemic overhaul of all classes so that
ecodesign and sustainability become systemic in the way that engineers operate
themselves.
But in order for this to happen, some type of framework must be established
that allows both students and professors a larger, more coherent approach to
the field. Such a model is presented in this chapter. This approach is both
inclusive and extensive. After presentation of the model, this chapter offers the
educational practitioner some examples of application of the model – one is a
C. Pezeshki, J.H. Panchal, and G. Ameta

School of Mechanical and Materials Engineering, Washington State University, Pullman,
WA, USA
e-mail: pezeshki@wsu.edu; panchal@wsu.edu; gameta@wsu.edu

DOI 10.1007/978-1-4020-8939-8 30,
8 C. Pezeshki et al.
model for curriculum reform primarily at the undergraduate level, with examples
for potential from the USA, Europe, and India. The other is a template for two
more typical sustainability courses that would be offered at the graduate level.
1 Introduction
The origins of this work began with the Dassault Systems Ecodesign Fellowship
project. This was launched in 2007 with the appointment of the first author to de-
velop a framework for a coordinated ecodesign curriculum to share across European
and US institutions. An assessment of ecodesign education best practices over the
past decade indicated that education and dissemination of best practices continued
to lag behind method development in this field. For example, a 2001 analysis of the
state of implementation of ecodesign in Europe found that ecodesign education was
mainly taught at universities in postgraduate education courses.1 Most technical,
design, and business programs failed to provide basic ecodesign education in under-
graduate programs. Even further behind lagged smaller academies and schools. The
exceptions were large, design-centered technical universities in leading countries,
such as the Netherlands, Austria, UK, Australia, and Germany.
Similarly, the state of ecodesign education within North America is fragmented
and lacks avenues for dissemination. There are many examples of innovative design
educators integrating ecodesign into courses,2 but engineering education continues
to play catch-up. Industry demands for first-year engineers with product life cycle
management skills (PLM) continue to grow, particularly in light of the global
environmental regulatory environment, such as the Waste Electrical and Electronic
Equipment (WEEE) and Reduction of Hazardous Substances (RoHS) directives of
the European Union, that will restrict markets to producers who can successfully
satisfy the engineering and life cycle requirements in the year 2011.
At the outset of this project, ecodesign education was still playing catch-up.
In fact, many of the familiar pockets of innovation were not being disseminated
to the wider global engineering education community (see Fig. 2.1). With this in
mind, an ecodesign social network in Europe was developed. In order to build a
common understanding, a number of practitioners and academics pose the following
questions:
• What is ecodesign?
• What is driving ecodesign?
• What is the role of ecodesign in industry, education, government, and research
groups?
• What are the barriers to innovation in industry and education, and what are the
success stories?
• How do we move toward integration of these areas in order to
– Improve ecodesign education?
– Move industry from compliance to innovation?
• What, specifically, can we do as a community of educators, and university-
industry partners, to address these problems?
2 Blueprints for Teaching Ecodesign and Sustainability to University Students 9
Global Warming
Peak Oil
Economic Fallout
INTEGRATION
Research Groups
Government
Consultancies
Policy
Sustainable
Regulation
Development Orgs
Industry
Education
Products &
Training
Processes
Innovation
PLM Technology
Moving Towards Integration
Global Warming
Peak Oil
Economic Fallout
INTEGRATION
INTEGRATION
Industry Research Groups

Government Education
Products & Consultancies
Policy Training
Processes Sustainable
Regulation Innovation
PLM Technology Development Orgs
Fig. 2.1 Moving toward integration
2 Background
In the preliminary stages, the current leaders in the field were identified, from
both academia and industry, to collaborate on the development of an inclusive
ecodesign framework to aid faculty, programs, and institutions in the process
of integrating ecodesign into the undergraduate curriculum. Leading institutions
served as models to guide the process because they have the highest percentage of
specialized education courses, graduate and undergraduate programs, cutting-edge
ecodesign research, and university-industry partnerships to support curriculum

template development for both existing and emergent programs.
The benefits of an integrated curriculum are twofold: ecodesign and sustainabil-
ity education in engineering is necessary (1) to make engineering graduates of the
future “ecodesign ready” so that they can fill the needs of our future students’
employers and (2) to provide the professional development and collaborative
opportunities for companies so that industry managers clearly see the bene-
fits of implementing ecodesign and sustainability practices throughout the entire
value chain.
2.1 Method
For this project, a survey of institutions and industry partners included collecting
sample curricula, video interviews, and casestudies and was compiled in an
online electronic-portfolio format.3 University partners included Delft University
of Technology, Technical University of Vienna, Technical University of Denmark,
University of Technology Sydney, ETH Zurich, and Washington State Univer-
sity. Industry partners included Priestman-Goode, UK, InterfaceFlor, USA, Engel,
Austria, Avaloop, Austria, and OMODO, Germany (see Fig. 2.2).
The data was evaluated across formats. For example, video “mashups” were
created from individual footage to answer community questions. Curricula were laid
out side by side to compare core competencies, structure, and sequence. Finally,
case-study analyses provide a backdrop for understanding the current and future
goal state of ecodesign in engineering education and a foothold of inspiration.
Finally, a conceptual framework and example curriculum templates from Europe
and the United States were developed from the data.
2.2 The Basic Framework
In order to innovate ecodesign and sustainability education, one must first un-
derstand what it is. And while there are many potential taxonomies, what we
discovered was that often when one talked about participating in either ecodesign
or sustainability education, the subject areas were usually one of four categories.
These four categories are as follows:
1. Core science, such as the search for a new eco-friendly material.
2. Facilitative strategies, which were often computer tools that made making an
eco-friendly choice more likely, or an easier digestion of design trade-offs.
3. Canonical ecodesign philosophy, which offers the designer or engineer a more
complete methodology for designing an eco-friendly or sustainable product.
4. Conceptual knowledge, which takes into account that often major innovations
in eco-friendliness may occur outside the ecodesign/sustainability framework.
For example, the Boeing 787 Dreamliner was not designed at the start to be an
eco-friendly aircraft. However, by reducing fuel consumed per passenger mile by
Industry
post-graduate training & Iargest design firm in

implementation the UK
Michael Bauer Paul Priestman
Engel Priestman-Goode, UK
Claudia Kogler Miriam Turner

Avaloop InterfaceFlor
Peter Judmaier Richard Hurding

Technische Universität Wien ecodesign ecodesign OMODO
games leadership and
innovation
Jutta Jerlich student projects Xavier Fouger
SPO
Technische Universität Wien creativity engineering Dassault Systemes (Education)
NSO
ecodesign
dissemination
R
Wolfgang Wimmer Spin-off C Maarit Cruz
olla
Technische Universität Wien bo Dassault Systemes (VirTools)
r
at
Hoat University
ion
s
EcoDesign
Chuck Pezeshki Curriculum Roger Baud
Washington State University Adaptation ETH Zurich
leadership training
ecodesign
Kelley Racicot visualization case study Douglas Tomkin
China
Washington State University University of Technology, Sydney
parametric
Hessam Ostad ecodesign Reiner Anderl
Technische Universität Wien Technische Universität Darmstadt
sustainability
Niki Bey Royal Philips Ab Stevels
Technical University of Denmark Delft University of Technology
Tim McAloone core science Han Brezet

Technical University of Denmark organic Delft University of Technology
Rankine cycle
Piero Colonna Pa
Delft University of Technology tn r
er
Un
Video Interviews ive
rsit
ies
Fig. 2.2 Project partner network map
20%, the resultant reduction of CO2 emissions from a fleet of aircraft stands to
be enormous (see Fig. 2.3).
The following are examples of each category collected during our visits across
Europe:
1. Search for a working fluid that fits a Rankine cycle process that can be used
for small biomass facilities. This is basic science in that understanding the basic
thermodynamics and chemistry are important for developing a system that will
promote sustainable behavior on the part of people interested in power generation
(Fig. 2.4).
2. Development of tools that will aid in developing a Super-Light car, being
completed at the TU-Darmstadt in Germany. This work integrates tools into a
conventional Product Life cycle Management system that enables engineers to
make decisions that affect sustainability on-the-fly during the design process
(Fig. 2.5).
Ecodesign Framework
Conceptual
Canonical Knowlege
EcoDesign Big Ideas for making
Facilitative
Philosophy products that have less
Strategies
Core Science environmental impact,
Tool Development: using Decision making improved economic and
EcoDesign processes that integrate social benefits
building blocks core science to
understand and make core science and
decisions facilitative strategies to
make better design Paradigm Shifts
decisions Big changes in
understanding how the
environment works
Fig. 2.3 Ecodesign framework
Core Science
EcoDesign
building blocks
• material replacement
• basic biophysics
planetary &
atmospheric
Turbine/Generator
Example: Heat Exchanger
• CO2
upper atmosphere
lower atmosphere
Piero Colonna, Delft Heat
• Phthalate replacement Heat
Organic Rankine Cyle Input
Rejected
endocrine disrupters
Working fluid replacement Feed
Pump Condenser
Fig. 2.4 Basic science advances
3. Establishing a process to measure environmental impacts based on all phases of

a product’s life cycle, by developing systematic ways of looking at use or raw
materials, the designed object and its manufacture, its actual use, and (Fig. 2.6).
Work being completed at the TU- Wien in Austria is some of the leading-edge
work on this in the world.
Example: Reiner Anderl, TU Darmstadt
Eu Consortium Goal:
Facilitative 30% weight reduction in the
Strategies C-class car models
Tool Development:using
core science to TUDarmstadt role:
understand and make Linking technical, cost, and
decisions environmental information in
the concept development phase
• PLM and LCA

software
• automated CO2
loading scale
• design for
environmental
compliance
Department of Computer
Integrated Design (DiK)
Fig. 2.5 Tool development
4. Back-engineering breakthrough products, such as the Boeing 787, that use 20%
less fuel than a typical aircraft per passenger mile, and attempting to apply such
lessons across other object/consumer good categories (Fig. 2.7).
2.3 Examples and Modifications
European curricula vary wildly as far as actual ecodesign curricula implementation.

However, what we found at even the leading institutions was that ecodesign was
mostly relegated to graduate level study. The following figures show what we
propose as modifications to the post-Bologna accords B.S./M.S curriculum.
Though there is the perception that Europe is far ahead of the USA in adopting
ecodesign, that was not the case. In many interviews and conversations with col-
leagues, the same level of rigidity as far as changing the undergraduate experience
as in the USA was present.
Because of this, modification must occur in actual orientation of the classes
within the same basic list of subject matter. What this means is examples, and
context inside the standard classes must be changed to reflect an update in design
philosophy that favors sustainability. While it might be intellectually desirable to
start with a ground-up perspective, this is simply unrealistic in the context of current
faculty governance and university administration structures.
Example: Canonical
EcoDesign
Philosophy
Decision making
processes that integrate
core science and
facilitative strategies to
make better design
decisions
• QFD
• systematization
• regulatory information
in the decision-making
Wolfgang Wimmer system
EcoDesign Pilot • deciding where to
devote most of your
engineering effort
Fig. 2.6 Developing ecodesign and sustainability design processes for consistency
Example:
Conceptual
Knowlege
Big Ideas for making
products that have less
environmental impact,
improved economic and
social benefits
Paradigm Shifts
Big changes in
20% less fuel understanding how the
environment works
New technologies in
carbon and
plastics Paradigm-breaking
products that don’t
necessarily follow the
New advances in usual design philosophy
systems track
integration Bottom-up lessons
technologies for learned by
optimization of post-production
manufacturing benchmarking and
reflection
Fig. 2.7 Breakthrough products and back-engineering

The following tables show curriculum modification for a sample US curriculum

(Washington State University – Table 2.1), a sample European curriculum (TU –
Wien – Table 2.2), and a sample Indian curriculum (derived from the Indian
Institute of Technology, Guwahati, India, Department of Mechanical Engineering –
Table 2.3), as well as a description of one of the only extant Ecodesign/Sustainability
curricula from the Denmark Technical University (Table 2.4). Courses not modified
(such as introductory calculus, dynamics, physics courses) are still, of course,
required, but are not listed.
There is also no way to, in one short book chapter, lay out an exhaustively
structured ecodesign/sustainability curriculum. Rather, the following three tables are
more intended to stimulate discussion for how one might start the change process.
Please note – these changes have not been implemented, and no representation to
that effect is intended. Rather, these three curricula were selected because of the
independent experience of the authors with these universities, and their in-depth
knowledge of how these curricula function. The final table is reconstructed from an
interview and documentation provided by Professor Timothy McAloone, Associate
Professor of Product Development in the Department of Management Engineering,
Section of Engineering Design & Product Development, and once again is intended
to show the thought process of designing an ecodesign/sustainability curriculum –
not the verbatim description itself.
3 Graduate Level Study
Graduate level study in ecodesign and sustainability occurs around the world and is
voluminous in nature. Because of the inherent flexibility of graduate education – the
universal emphasis on a thesis or dissertation, no governing bodies that can dictate
particular content, and the rapidly growing interest in the field – the task of designing
applicable coursework becomes much more tractable.
A larger discussion on all the potential coursework to be done in graduate
education is beyond the scope of this chapter. In fact, an independent course could
probably be implemented for every chapter of this handbook. But in the interest
of providing templates for universities wishing to implement a course, or courses
in sustainability at the introductory graduate level, two case studies, with syllabi,
are offered. The first course presents a top-down perspective toward understanding
life cycle assessment and sustainability. The second course discusses a bottom-up
approach on these same issues.
Earlier in the chapter, various strategies for infusing sustainability topics within
existing courses were discussed, particularly at the undergraduate level. If it is
possible to include one or two additional courses on sustainability, the key objectives
should be:
(a) Understanding the needs and challenges of sustainability in a product life cycle
from a systems perspective
(b) Understanding the strategies adopted for systems design for sustainability
Table 2.1 US Mechanical Engineering Curriculum (Sample taken from Washington State Uni-
versity, School of Mechanical and Materials Engineering)
Course Semester # Current elements Modifications
Gened 110 [A] GER 1 University general Influence of environment-
World Civilizations 1 education material forces on history
requirement – history as a side topic (resource
of the world depletion, weather
changes, Little Ice Age,
emphasis on materials as
a key societal definition)
Resource Consumption
Availability over
Time!Books – Guns,
Germs and Steel, Jared
Diamond
ME 120 Innovation in 1 Small-scale projects – Introduction to PLM –
Design Innovation in Solids Modeling
Design 2 Introduction
to engineering
disciplines, problem
solving, design,
teamwork, and ethics
Chem 105/115 Chem I 1 Stoichiometry, Modification/Discussion
General University structure, gases, of examples to include
Requirement liquids, solids, 25% environmentally
solutions, related chemical reactions
thermodynamics,
kinetics, equilibrium,
volumetric, and
gravimetric analysis
Chem 106/116 Chem II 2 Acid-base, ionic, Ecodesign/Sustainability-
General Engineering molecular, solubility, related case studies for
Requirement oxidation/reduction example: Combustion
equilibria; kinetics, Cycles, Ozone Depletion
electrochemistry; Causal Chains of events
systematic chemistry Major Env. Chemical
of the elements; Impact Classifications
coordination (IPCC – Int’l Panel on
compounds Climate Change)
ME 103 Engineering 2 CAD/CAM Basics – Introduction to PLM –
Graphics Orthographic theory, Solids Modeling, Basics
conventions, and of PDM
visualization;
isometric and oblique
pictorial; geometric
dimensioning and
tolerancing,
computer-aided
drafting and solid
modeling
(continued)
Table 2.1 (continued)

Bioscience Elective 2 Understanding Nanoscale, Chemical Scale,
biology as a science Large Scale Biological
and its effect on Phenomena and their effect
issues within society. on the world and its
Lecture only; not for biosystems
students majoring in Topics such as effects of
the life sciences plastics in ecosystems –
phthalates, estrogenizers,
Global Warming, ocean
impacts and changing
climate Causal Chains of
Events
EconS 102 Macroecon 3 Theory and policy Understanding from a case
omics – General related to study perspective on the
Engineering Requirement unemployment, effects of regulations on
inflation, foreign economic environments,
trade, government trade-offs, and cause and
spending, taxation, effect
and banking
ME216 – Integrated 3 CAD applications in More case studies of
Computer Aided Design engineering design PLM/PDM considerations
and analysis
Humanities Elective 4 Variety of subject New Course: Local, State,
matter, from history Regional, National and
to composition, International Governmental
speech, and diversity and Regulatory Systems –
issues how they work,
stakeholders, case studies
of requirements. Voluntary
compliance and
eco-labeling
ME301 – Thermodynamics 5 Thermodynamic Cursory evaluation of
properties of matter, traditional associated costs
ideal and real gases, (fuel, performance,
work and heat, first environment) of all cycles –
and second laws and minor content addition
their application to
engineering systems
MSE 201(301) Introductory 5 Structure of Toxicity, environmental
Materials Science materials, phase impact of select materials
equilibrium, phase for case studies – minor
transformations, and content addition. Eco-data
mechanical properties associated with materials –
recyclability, real cost of
extraction and processing
EE304 Circuits Introductory 5 Basic DC and AC Case studies of changes in
Circuits Class circuits the electronics industry due
to environmental regs.
Energy Consumption –
Standby Issues
(continued)

ME 310 Manufacturing 6 Cutting operations, Examination of toxicities
Processes with lab metal forming by of varying metalworking
deformation, material processes. Analysis of
fabrication, and by-products from
nontraditional manufacturing processes.
processing Introduction of ideas of
Industrial Ecology and
parallelization/pipelining
of process waste as a
supply stream
ME 316 Engineering 6 Engineering design Introduction of life cycle
Design General process for systems analysis, evaluating
Engineering and component; environmental impacts of
Requirement design criteria, design decisions,
creativity, conformance to current
engineering regulatory environments
economics, CAD,
standards, product
safety, design projects
ME 401 Mechatronics 7 Integration of System monitoring and
mechanical and control regarding energy
microprocessor-based consumption
systems; control
theory implemented
with data acquisition
system; sensors;
actuators, signal
conditioning,
programmable logic
controllers
Humanities/Social 7 Numerous choices Technology Assessment –
Science Tier III (Upper how technology affects
Level) Elective both consumer and
societal behaviors
ME 416 Senior Design 8 Integrative design in LCA on all products
mechanical produced. Ecodesign
engineering; specifications considered
multidisciplinary in developing House of
design project Quality. Application of
considering both principles developed in
technical and ME 316
non-technical
contexts;
organizational
dynamics and
communications
Table 2.2 Indian Mechanical Engineering Curriculum, Indian Institute of Technology, Guwahati,
India, Department of Mechanical Engineering
Course Semester # Current Elements Modifications
Chemistry 101 1 Basic Chemistry Modification/Discussion
of examples to include
25% environmentally
related chemical reactions
ME-111 Engineering 1 Basic Engineering Introduction to PLM –
Drawing Drawing Solids Modeling, Basics
of PDM
EC-101 Electrical Sciences 1 Electrical Circuits Case studies of changes in
the electronics industry
due to environmental regs.
Energy Consumption –
Standby Issues
BT-101 Modern Biology 2 Basic Biology Nanoscale, Chemical
Scale, Large Scale
Biological Phenomena
and their effect on the
world and its biosystems
Topics such as effects of
plastics in ecosystems –
phthalates, estrogenizers,
Global Warming, ocean
impacts and changing
climate Causal Chains of
Events
ME-202 Engineering 4 Introductory Toxicity, environmental
Materials materials science impact of select materials
for case studies – minor
content addition. Eco-data
associated with
materials – recyclability,
real cost of extraction and
processing
ME-301 – Manufacturing 5 Manufacturing Examination of toxicities
Technology processes of varying metalworking
processes. Analysis of
by-products from
manufacturing processes.
Introduction of ideas of
Industrial Ecology and
parallelization/pipelining
of process waste as a
supply stream
ME-322 Applied 6 IC Engines and Gas Cursory evaluation of
Thermodynamics – II Powered Systems traditional associated
costs (fuel, performance,
environment) of all
cycles – minor content
addition
(continued)

ME-498 – Project 1 7 Capstone design Capstone Project with
Sustainability/Life cyle
Concepts
ME-498 – Project 2 8 Capstone design Capstone Project with
Sustainability/Life cycle
Concepts
Elective Courses (Power 7–8 Numerous
Plant Engineering, Advances Course-Specific
in Materials Processing, Gas Opportunities to discuss
Turbine Theory, sustainability/Ecodesign
Refrigeration/Air
Conditioning, Mechatronics,
Optimization
(c) Getting familiar with the broad sets of metrics and tools for sustainability
evaluation
(d) Gaining in-depth knowledge of a few metrics and tools
(e) Understanding how to achieve trade-offs between conflicting objectives in
making design decisions
The emphasis should not be on delivering all the available information to the
students. Much of the knowledge is not only extensive but also domain-specific.
The emphasis should be on creating a solid foundation and providing direction for
the students to promote self-discovery. In other words, the emphasis should be on
“Learning to Learn.” The case studies listed below are the results of these efforts.
3.1 Case Study 1: Systems Design Approaches for Sustainability

(Top-Down Approach)
The contents of this course are suitable for an entry-level graduate course or a senior-
level undergraduate course. The key segments within the course include:
1. System Life cycle: In this first segment of the course, the students are familiarized
with the systems design process and the phases in a system life cycle. The
systems engineering Vee model is covered. Specific topics within this segment
include requirements management, system architectures, and interfaces. This
segment provides the necessary foundation for the students to think about the
system-wide issues rather than focusing on individual issues in isolation. Tools
for systems modeling such as SysML can be included in this segment.
2. Classification of different sustainability efforts: In this segment, the students
are educated about the systemic needs and challenges associated with sustain-
able design. A variety of efforts for addressing sustainability are introduced.
These include environmental engineering, pollution prevention, environmentally
conscious design and manufacturing, design for environment, life cycle design,
Table 2.3 European Mechanical Engineering Curriculum (sample taken from the TU Wien, AT)
Chemistry for mechanical 1 Electrochemistry and Show how/why chemicals
engineers Corrosion, Basic contribute to
Organic Substances, environmental impact.
Lubricants and Impact categories such as
Additives, Production global warming,
of Energy, Fuels and acidification, ozone
Exhaust Fume depletion: how were they
Treatment caused, which chemicals
contribute to each impact
category and why;
chemical reactions
Fundamentals of 1 Overview of Influence of material
Manufacturing Engineering production choice to manufacturing
technologies as a technologies, impact of
basis for manufacturing
understanding life technologies, Introduction
cycle modeling of manufacturing as part
of the product’s Life
Cycle; impact of
manufacturing processes
Fundamentals of engineering 2 First intro of Where and when to start
design Ecodesign; basics of with Ecodesign,
design as a introduction of Life Cycle
prerequisite to thinking, introduction of
understand product implementing
development and environmental aspects
possible product into product development.
improvements Introduction of different
tools such as QFD, TRIZ
could be possible
Machine Elements and 3 Further design Including Life Cycle
design classes specialization in thinking into design and
machine elements design concepts, the cases
to be designed by students
could already include
Ecodesign-based
calculations and
methodologies, Life
Cycle Assessment for
parts and larger
assemblies
Fundamentals of electronics 3 Components of Standby consumption and
electronics, relation to electronic
optoelectronics, circuits, how/why does
sensors and digital standby occur,
technique and power Introduction of directives
electronics with related to electronic
practical applications design, etc. (EuP,
RoHs,. . . )
(continued)

Fundamentals of Material 3 Material categories, Introduction why/how
Science material properties, material production
different material data contributes to
environmental impact; in
a context of Life Cycle
thinking: material choices
related to design concepts
and further environmental
impacts
Production Management 4 Process engineering, Pointing out relation
organizational between applying
aspects in companies Ecodesign and
changes/visions in the
structure of organizations,
maybe also cost-related
discussions, discussions
of where to start to apply
Ecodesign in companies,
outlook, time frame
Applied thermodynamics 5 Energy sources, Introduction of alternative
power plants, energy sources, energy
generation of energy outlook, an introduction
– understanding what assessment methods
basics of energy such as the cumulative
concepts energy demand means,
regional and global
energy outlook
Non-metallic Materials 5 Polymers and Same as fundamentals of
inorganic materials – materials: Introduction to
understanding why/how material
material properties production contributes to
environmental impact; in
a context of Life Cycle
thinking: material choices
related to design concepts
and further environmental
impacts
Basics of Managerial 5 Life Cycle Costing Relating LCC to LCT,
Accounting (LCC) introduction of Ecodesign
and its commercial
benefits
industrial ecology, and sustainable development. In this segment, the focus is

on making the students aware of the scale and scope of different efforts and
relationships between them. The focus is not on providing the details of each
effort.
Table 2.4 Denmark Technical University, Ecodesign Curriculum

User-oriented 1 This course is aimed at having the students critically
design assess a particular design method, through the study
and use of the particular method of their choice. The
idea is to help them understand how professional design
methods are created and used, and how the success of a
design method is highly dependent on its domestication
in the adopting organization. This course is often carried
out with a company. Although environmental issues are
not specifically the aim of this course, the choice of an
ecodesign tool could easily be the object of a student
project here. A selection of the learning objectives
follows:
• Carry out an empirical investigation upon the use of
methods and work routines in a concrete practice
• Write and present a report of the observations,
conclusions, and the work process during the inves-
tigation
• Establish and specify a concrete delimitation and
characterization of such a method or routine
• Understand methods and routines as modeled, nor-
mative competences used for the rationalization of
social processes
• Create insight into the domain and the organization,
where the investigated methods are used in practice
• Understand the actors and articulate traits of the
actors and their interpretations of the application
of the method, its motivation, purpose, goal, and
expected results
• Identify different types of methods and characterize
their properties, conditions for their application, and
effects related to this application.
Explain and reason for the used field study methods
used by the investigation of the methods use in practice,
for instance, observation technique, interviews, etc.
Product usability 1 This course sets the theoretical framework for the
and design students’ treatment of product life issues and socio-
technical understanding – not least the understanding
of actor-networks and their influence on a product’s
general life cycle. The course also acts as the theoretical
framework for 42010, the project-based course. Again
I have selected the following from the course’s formal
learning objectives in order to pinpoint the areas I feel
are of relevance for environmental thinking:
• Understand products and technologies as socio-
technical artifacts.
• Analyze products in societal contexts and as part of
the society.
• Analyze the use of products in different contexts.
• Analyze products and technologies in relation to life
cycle and market.
(continued)

Product 2 As opposed to the previous two courses, which foster a stakeholder-oriented
analysis view on products and their use, this course takes a technology-view of
and products. The students are presented with a series of products (one per
redesign project group), which they should carry out a technological postmortem
on. They should understand why particular components were placed where
they were, who decided which manufacturing process for this particular
module, etc., and at the same time understand how to describe and structure a
product. Although it is not a direct aim of this course, to analyze the product
in terms of its environmental “contents,” the students become competent
in understanding products’ anatomy and the relevant processes connected
to producing the product. A selection of the course’s learning objectives
follows:
• Describe a product’s structure, mode of action, and embodiment (mode of
action analysis).
• Describe a product’s manufacturing and assembly (manufacturing analy-
sis).
• Identify the socio-technical context, which the product is part of, and
clarify the assignment of meaning in use through interview with and
observation of different actors (user analysis).
• Select and detail solutions considering functionality, manufacturing, and
use.
• Argue for value in use based on the change in the socio-technical context.
Redesign a product based on the relevant analyses and the proposed
alternative solutions.
Industrial 3 This course trains the students in the activity of design synthesis, from
design an industrial design perspective. Relating these competencies to ecodesign,
these are important in relation to the ecodesign synthesis activity – not least
as ecodesign solutions are often embodied in alternative aesthetic forms.
Selection of learning objectives follows:
• Identify design-related problems and needs in target groups
• Formulate a design brief
• Select and apply relevant visual communication tools in the different
phases of the industrial design process
• Describe and apply basic design method
Design 4 These courses look at the workspace as the design object. Workspaces are
of work understood here in the broadest sense – from hospitals, to factories, to sta-
pro- tions, to shops, and so on. Physical working environment is an integral part of
cesses ecodesign thinking in Scandinavia, which makes these two courses relevant
for the students’ environmental competencies. Furthermore, these courses
foster the thinking of the activity as the design object, rather than merely
the artifact (which aids in later teaching about functional units, customer
activity cycles, and PSS). Environmentally relevant learning objectives of
both courses, which are closely linked to each other are as follows:
• Make use of models, prototypes, and mock-ups in participatory design
processes
• Develop basic design solutions considering different criteria: ergonomics,
efficiency, and quality
• Make use of the “reframing” concept in reflecting upon a design process
• Give an account of the work environment concept
Accomplish a basic work environment assessment in a company
(continued)

Product/ 5–6 The aim of the course is to give students experience
service-systems in using tools for product life design through a project
[project-based based on a product or service system case. All of
course] (elective) the examples used and projects carried out by the
students in this course aim toward creating radical
environmental improvements to the provision of a
certain functional unit.
Learning objectives:
A student who has met the objectives of the course will
be able to:
• Identify and account for relevant environmental
issues related to a product or a service
• Analyze and assess environmental impacts of a
product in a life cycle perspective
• Describe the social and institutional conditions of
product-related environmental issues
• Carry out a systematic mapping of a product life
by using adequate tools to describe actor-network
relations, users, and activities
• Establish a product life gallery which integrates
contributions and trade-offs between the above
mentioned elements
• Consider opportunities of improved environmental
performance through combining product and ser-
vice approaches
• Synthesize an environmentally improved solution
as a product/service concept
Use scenario methods to identify the necessary condit-
ions for the implementation of a concept
Product life and 5–6 This course is where the students are explicitly in-
environmental troduced to environmental issues and theories. The
issues [theory-based students are trained in thinking environmental issues
course] (elective) into their product designs, on a level par with other
dispositional (DFX) considerations (e.g., quality, cost,
manufacture, risk, etc.). The course has the following
main goals:
• To give insight into strategies and tools for handling
environmental problems in connection with the
design of products and product life systems
• To introduce environmental issues into the activity
of product life design
• To identify and analyze relevant environmental
and resource-related problems and their regulatory
origins
• To analyze product life cycles, especially with
respect to the involvement of relevant stakeholders
• To use methodical tools for product life–oriented
design (DFX) with a particular focus on ecodesign
• To generate scenarios and strategies for the real-
ization of improved environmental situations, in
relation to products and usage situations
(continued)

Learning objectives:
A student who has met the objectives of the course will
be able to:
• Master life cycle thinking and product life thinking
• Identify product life cycles, stakeholders, resource-
and environmental goals, and to understand product
life–oriented quality and total life costing
• Identify product chains as social and material
frames
• Recognize and understand environmental and
resource problems and their material, economical,
and political backgrounds
• Demonstrate knowledge of environmental regula-
tion and understand its effect on the incorporation
of environmental aspects into design processes
• Master methods for the analysis of product life
systems, for example, MECO
• Master methods for the modeling of “meetings”
and “universal virtues” and to understand DFX and
related tools, structure, and contents
Operate at various levels with respect to
environmentally-oriented redesign; emissions,
materials, process, production, product, consumption,
system, etc.
3. Strategies for systems design for sustainability: In this segment, the focus is on
providing details of a few approaches for sustainable design. Specific guidelines
and steps are discussed. Examples include product system life extension, ma-
terial life extension, material selection, reduced material intensiveness, process
management, efficient distribution, and improved management practices. This
segment can be linked to a project or an assignment. Specific decisions and
associated trade-offs are identified.
4. Metrics and Indicators: Within the context of sustainable design decisions, this
segment focuses on metrics and indicators for quantifying the impact of different
design alternatives on different environmental factors. Frameworks such as Eco-
Indicator 99 and ISO 14031 Indicator Framework are discussed in detail.
5. Specific sustainability tools: The emphasis in this segment is on core tools used
in sustainability such as Life cycle Analysis (LCA) and Life cycle Cost Analysis
(LCC). These tools are covered due to their breadth and domain-independence.
The students either can use these tools for their projects or can include an
assignment.
6. Multi-attribute decision-making frameworks: Since systems-level sustainabil-
ity decisions are invariably associated with trade-offs, the role of systematic
multi-attribute decision making is significant. In this segment, decision-making
frameworks such as Utility Theory6 are covered. The students are educated
about mathematically rigorous ways of modeling preferences, alternatives, and
attributes. Systematic accounting of uncertainty within design decisions is a key

aspect of this segment.
The course is particularly suitable for project-based learning. The students can be
assigned a project at the start of the semester. Each segment can be associated with
an assignment that can be scaffolded toward the achievement of goals of the project.
This systems-based approach toward sustainability education equips the students
with the necessary tools and provides them a foundation on which they can continue
learning.
3.1.1 Tentative Course Syllabus

Weekly schedule:
Week 1: Course overview, Design process
Week 2: Overview of systems engineering life cycle process
Week 3: Requirements management in system design
Week 4: Architectures and interfaces for systems design
Week 5: Overview of model-based systems engineering and SysML
Week 6: Sustainability in systems realization
Week 7: Design for environment
Week 8: Metrics and indicators (Eco-Indicator 99)
Week 9: Life cycle analysis (LCA)
Week 10: Economics considerations – Life cycle cost (LCC)
Week 11: Socially responsible design
Week 12: Decision making in systems design, Utility theory
Week 13: Multidimensional decision making under uncertainty
Week 14: Research topics
Week 15: Project presentations
3.2 Case Study: Sustainability Assessment for Engineering

Design (Bottom-Up)
In this course, the focus was kept on addressing sustainability assessment at the
design stage of a product. In the design stage, a product is not only planned for
its use and manufacturing but also maintenance and disposal. Therefore, the basic
introduction to the course should include educating the students about engineering
design and planning. After laying down the basics of engineering design, the next
aspect to discuss would be sustainability, its meaning, and various aspects related
to it. Although sustainability is talked about as triple bottom line of economy,
environment, and society, it can only be achieved by developing and utilizing the
right technology in a right manner. Therefore, the triple bottom line should be
viewed with a technological lens.7
The next step is to introduce economic, sociological, and environmental aspects.
Economic aspects are taught in many undergraduate engineering design courses,
so these aspects will not be discussed in this course. Environmental aspects are
considered by learning about Life Cycle Assessment and discussing various labeling
and regulatory standards for products. Societal aspects relating to sustainability

should also be discussed. By combining economical, environmental, and societal
aspects one can develop a method for sustainability assessment of a product/design.
Since all of these aspects introduce new constraints on product design, these can be
viewed as boundary conditions to an optimization. Therefore, the course should also
include optimization techniques and effects of uncertainty on developing an optimal
design of a product.
Thus, the course will consist of five core components that will be covered in the
following sequence: (a) Engineering Product Design and Planning, (b) Life Cycle
Assessment, (c) Standards for Sustainability, (d) Sustainability Assessment, and
(e) Uncertainty and Optimization techniques.
The objectives of the course will be as follows:
1. Ability to consider sustainability as an integral part of the design process
2. Advanced knowledge of sustainable product design
3. Ability to perform Life-Cycle Assessment for a product
4. Ability to mathematically formulate optimization problems accounting for
uncertainty
5. Gain an understanding of the state of the art in sustainability assessment of
products
3.2.1 Learning Assessment

The course will consist of homework, online research and reading, minor project,
and a major project. The minor project will focus on Life Cycle Assessment of
a product using traditional methods available. The major project will consist of a
sustainable engineering design project, where the students will consider uncertainty
and optimization while solving a sustainable design problem for societal benefits.
3.2.2 Tentative Course Syllabus

Weekly Schedule:
Week 1, 2: Engineering Product design and planning
Week 3: Sustainability
Week 4–6: Life-Cycle Assessment
Week 7–8: Standards for Sustainability
Week 9–10: Sustainability Assessment
Week 11–12: Optimization and Uncertainty
Week 13–14: Formulating and designing optimal sustainable product
Week 15: Discussions and work on project
4 Conclusions
Ecodesign and Sustainability advances are being only slowly integrated into under-
graduate curricula around the world. In order to improve the rate of dissemination,
two things must occur: First there must be a clear taxonomy of what is actually
meant by ecodesign and sustainability. Second, what must occur is that faculty in
these areas must take a pragmatic approach toward adoption by re-engineering and
adapting current courses to give a focus across the curriculum toward the concepts
in ecodesign and sustainability, instead of working to add new courses. Finally,
if the only immediate alternative for introduction of this type of material into the
curriculum is the addition of another course, two potential courses are offered for
discussion. This chapter is hopefully a small step forward in providing discussion
jump-off points for all these larger directives.
References
G. Ameta, S. Rachuri, X. Fiorentini, M. Mani, S.J. Fenves, K. Lyons, R. Sriram, Extending the
notion of quality from physical metrology to information and sustainability (article in press).
J. Intell. Manuf. doi: 10.1007/s10845-009-0333-3
IDSA Ecodesign (2009), http://www.idsa.org/whatsnew/sections/ecosection/selectedlinks.html.
Accessed 31 Aug 2009
R.L. Keeney, H. Raiffa, Decisions with Multiple Objectives: Preferences and Value Tradeoffs
(Wiley, New York, 1976)
C. Pezeshki, K. Racicot, Understanding ecodesign. https://mysite.wsu.edu/personal/pezeshki/
Ecodesign/default.aspx
Tree Hugger. Eco Design Studies http://www.treehugger.com/files/2005/07/qa a eco design.php
A. Tukker, P. Eder, M. Charter, E. Haag, A. Vercalsteren, T. Wiedmann, Eco-design: the state of
implementation in Europe, conclusions of a state of the art study for IPTS. J. Sustainability
Prod. Des. 1(3), 147–161 (2001)
W. Wimmer, ECODESIGN Pilot (Kluwer Academic, 2001)
Ecodesign in Swiss Machining Industry:
A Collaborative Learning Process for 3
Effective Outreach and Education
Rainer Züst
Abstract
Since more than 20 years, ecodesign experts in mechanical industry have been
concerned with the question of how industrial products and especially machines
can be improved in an ecological sense. As some products are often used in
different ways by different clients, usage itself has to be hypothesized as a
variable entity. Ecodesign, therefore, requires consolidated system know-how
and engineering targeted toward the system and system performance. This is
about more than just “filter and recycling”; much rather better products are
required. Once you start looking at machines, respectively production systems,
the complexity of the product increases enormously.
For ecodesign in the machine industry, specific know-how is essential – know-
how which is not yet or only partly available. This is why new ways have been
investigated. The solution lies in a learning process in which the industries and
universities collaborate, i.e., collaboration between experts and students, who
gradually acquire the necessary know-how and implement it directly in R&D
projects and also integrate it into university teaching in a practice-orientated way.
The objective of this chapter in hand is to illustrate this learning process
by means of the example of the “Swiss machine industry.” The chapter is
based on many years experience from being a university professor and leading
courses and projects for product managers in manufacturing companies. The
innovative aspect of this learning concept is the fact that specific knowledge is
collaboratively developed by experts from the industry and universities. Joint
analyses, discussions, and especially approaches, which concern new planning
methods as well as new technical solutions in particular, are at the center of
this. So first, to make this happen, a sense of mutual trust between sometimes
competing companies and universities has to be established.
R. Züst
Züst Engineering AG, Seegräben, Switzerland
e-mail: rainer.zuest@zuestengineering.ch, rainer.zuest@bluewin.ch

DOI 10.1007/978-1-4020-8939-8 95,
32 R. Züst
1 Introduction
1.1 Ecodesign of Industrial Products
Ecodesign aims to achieve an improvement of products, which particularly also

fulfils ecological criteria. The challenge for product development is to see the
product as a whole, to see it as a system, which is bonded in a relationship with the
environment and which impacts the environment in different ways throughout all
of its product life phases. The design process is crucial for this; the designer has to
recognize when and where potentially significant impact on the environment could
occur and how he/she can influence, i.e., improve these. This process, therefore,
entails a specific analysis of the “system and its environment” as well as the search
for solutions on the basis of identified or suspected specific ecological weaknesses.
This is the only way to achieve real improvements (Wimmer and Züst 2002;
Wimmer et al. 2004).
This is where the following example, i.e., portfolio, proves to be useful. The
portfolio has two axes representing “active or passive products” and “moving and
stationary products” (cf. Fig. 3.1).
Any product can be classified according to this matrix:
– “Moving products” are, for example, cars, planes, and trains, as well as objects
and products, which are regularly transported in these means of transport, for
instance, the tables and chairs in a train, the air-conditioning in cars, and TV
screens in planes.
– “Stationary products,” which remain largely at the same place, for example,
tables and chairs in a kitchen, the TV screen in people’s living rooms, and the
freezer in the cellar.
– The type of use states to which extend the product requires additional resources
while being used. A fridge constantly needs electricity and is therefore active.
A table can be used without any further resources and is therefore passive.
mobility
moving
stationary
kind of use
passive active
Fig. 3.1 Different product characteristics (Züst 2010)

3 Ecodesign in Swiss Machining Industry 33
Fig. 3.2 Classification of a few ecodesign objectives based on specific product characteristics
(Züst 2010)
A well-insulated house with a modern heat generation system needs little to no

additional energy and is therefore passive. A DIY power drill, which is only
rarely used (1–2 h is the technical average life expectancy), is passive despite the
drill needing an electrical connection. That is why it is imperative that ecodesign
takes into consideration the specific type of use.
Products which are regularly moved have to be constructed in a lightweight fashion.
In that way a lot of energy can be saved during usage. In contrast to this, “stationary,
passive products” have to be optimized to comply with the following ecodesign
objective – “durable, easy to repair, and timeless design” (cf. Fig. 3.2).
With the help of this simple portfolio, it can quickly be shown why the specific
situation of a product – especially in the sense of “Life Cycle Thinking” – and the
deduction of specific design objectives are of fundamental importance in order to
implement effective ecodesign.
In courses with representatives of the industry and during university teaching,

one question is asked on a regular basis – which product is indeed better? A
classic is packaging: Had beer better be bottled or are single-use containers
like aluminum cans better? The answer is simple: It depends on the type of
use! Depending on the context of use, it makes sense to use a multipath bottle.
This could, for example, be the case with a local brewery. An aluminum can,
however, is considerably lighter and would therefore be the ideal packaging
for drinks on an airplane. That is why in a lecture the question of which
type of packaging has which advantages and disadvantages in the context of
which type of usage and implementation is interesting. The result is a kind of
“strength and weakness analysis,” which helps to take the right decisions.
34 R. Züst
Ecodesign deals with the following question – how, in a certain context, can more
be achieved while using fewer resources?
1.2 Status Quo of Ecodesign Methods
When looking at the historic development of ecodesign, one can see that initially
ecodesign objectives were promoted without really looking into the specific situ-
ation, i.e., specific ecological strengths and weaknesses of a product (Winterberg
2011).
– As early as the 1990s, ecodesign methods and planning tools were intensively
developed. Before 1996, these were predominantly contributions to DFX, pri-
marily focused on “integrated product development,” which had to fulfil various
requirements. At that time, ecodesign was rather about making propaganda for
different strategies, for example, a long life expectancy, recyclability, being free
from toxic substances, etc.
– Shortly before but especially after 1996, meaning after the introduction of
ISO 14001 (and in connection with this also of ISO/TR 14062: Ecodesign),
the topic ecodesign was discussed more widely. As a first stepplanning tools
with tips and checklists were compiled and published. The appropriate process
was documented. The “analysis of weaknesses,” which was now required, was,
however, not (yet) carried out in a consistent way despite being specified in the
relevant standards. After the revision of ISO 14001, more value was attached to
this aspect – it was referred to as “direct and indirect impact on the environment,”
which the individual companies had to improve. “Indirect” here refers to taking
the implications of one’s own products in future usage into consideration.
– In the following years, an increasing number of “analysis tools” were compiled
and published, for example, LCA – life cycle assessment (in compliance with
ISO 14040ff) or screening methods like CED (cumulated energy demand, and as
a result thereof the CO2 calculator). All these methods have the problem that it is
difficult to deduce a sensible scope for the system and the system boundaries, i.e.,
a “proper” system model, which is then evaluated. In the early planning phases,
for example, only few or no concrete information about the future product is
available. What are needed here are appropriate estimates.
– Currently, the question is how to devise systems that are ecologically orientated
from the outset. There is a lack of basic methodical principles as well as tools
(cf. Fig. 3.3 below). A central problem is still usage phase. Especially when the
product use is variable, it is difficult to deduce sensible usage scenarios as part of
product development.
The above statements are based on the analysis of a total of nearly 50 articles on
ecodesign methods, guidelines, projects, and similar published between 1996 and
2011. More in-depth analysis can be found in the figure below:
The analysis shows the following:
– For the evaluation of individual components or simple products, valuable meth-
ods and tools have been developed in recent years – especially in the area of life
cycle assessment.
Characteristic of the Life-Cycle- Green- Focus on…

support engineering marketing
Advises 12 5 1 single components
Checklists, guide- 1 1 complex product

lines, handbook … system
Analysis 11 11 1 single components
screening LCA, full 1 4 1 complex product

LCA … system
Search for solutions 2 1 single components
System analysis & complex product

search for new ideas system
…
Optimization single components
system design, 1 complex product

simulation… system
1996 - 2007 - 1996 - 2007 -

2006 2006
Fig. 3.3 Number of available, i.e., published, ecodesign methods sorted by application area
(Winterberg 2011)
(Remark: For highly segmented production equipment with many different

applications, the necessary, ecofactors can neither be properly collected nor
estimated for future applications. The classic LCA can hardly be applied here.)
– In the area ecodesign of systems, there are currently few or no adequate tools.
This includes corresponding management strategies for usage. The situation is
similar for production equipment. The reason for this is that complex systems
do not only have to be optimized with regard to efficient components but rather
have to be seen as an overall system. For this other, completely new ecodesign
methods are needed.
– Additionally, there is a shortcoming in marketing ecodesign and ecodesign
solutions.
Despite a lack of methods and tools, the challenge to improve the resource
efficiency of productive equipment and to fill university curricula and train-
ing in the industry with new contents for teaching still remains. For this
36 R. Züst
purpose, the cooperation between interested companies and ETH Zurich

(Swiss Federal Institute of Technology Zurich) was intensified. The aim was
to successively resolve upcoming, practice-oriented problems together with
experts from companies and universities as well as students in order to put the
generated, new know-how at the disposal of the companies and to use it in
university teaching.
The first step, therefore, was to clarify how far-reaching the potential of
ecodesign is and where it is advisable to intervene.
2 Optimized Machines and Equipment: What Is the

Potential?
“Actually how big is the ecodesign potential for machines and equipment in
Switzerland? And how would you have to train engineers and designers so that
they can build these resource-efficient machines and equipment?” These questions
were the starting point for an explorative study within the Swiss machine industry
followed by an intense discussion with industry experts about the topic of ecodesign
know-how. The goal was to jointly generate together with interested companies new
know-how benefitting the industry.
The machine, electrical, and electronic industries are the biggest industrial
sectors in Switzerland contributing 48% of the industrial creation of value. Their
proportion of the GDP was 9.3% (2009). Their average export quota is 75% (2009),
thus having reached approximately 35% of the total Swiss export (2009). The
Swiss mechanical and electrical engineering industries provide 330,000 jobs, 95%
of which are in small and medium-sized companies with less than 250 employees
(Swissmem 2009).
The total production of the Swiss mechanical and electrical engineering indus-
tries adds up to 80,000 million CHF (2009); machine tools (2/3 for metals; 1/3 for
other materials) account for 8,000–10,000 million CHF (approx. 10%). Twenty to
twenty-five percent of these machines are used by Swiss customers. To improve
these machines and their operation at the customer’s plant with regard to material
and energy consumption is the goal of ecodesign.
2.1 Explorative Study and Integrating Interested Companies
Swiss equipment especially machine tools is used all over the world. A correspond-
ing consumption of energy and raw materials at the customer’s site is directly linked
to this usage, while this consumption of resources is higher or lower depending on
the design, technological standard, and area of application of these products.
Examples taken from the area machines/machine tools show that optimized
machines can save more energy and resources during their expected useful life than
can be saved during their own production due to:
– Long service life (30,000 h and more)
– Partly high energy consumption (often 20 kW and more)
– Partly big production runs (annually up to 50,000 production machines of
different sizes are manufactured in Switzerland)
A brief estimate in reference to this:
– For the evaluation, the following assumptions have been made:
Electricity price: 0.10 e
100 g CO2 per kWh in Switzerland
500 g CO2 /kWh in EU
– Assumptions: Average consumption of 10 kWh for the abovementioned ma-
chines and an economization of 25% with the help of ecodesign
– The reduction would be about four billion kWh over the use of these machines
for a 1-year production.
– For the EU, this is the equivalent of a 2 million ton reduction in CO2 ,
corresponding to a saving of 400 million e
(Remark: Switzerland is responsible for 45 million tons of CO2 emissions per
year, a reduction by two million tons CO2 by using optimized Swiss production
machines therefore equals a reduction by 5%.)
In university teaching as well as in courses with the industry, it is important

that the participants learn to make sensible estimates. It is better to get
it approximately right than precisely wrong. Often it is difficult to make
reasonable assumptions for a product that has not been implemented yet. And
still one needs references during the early phases of product development
in order to make realistic assumptions. Why not integrate estimate tasks
into a course – for example, about the personal energy consumption per
year? Does somebody need more energy for his mobility than for his private
consumption? Is more energy needed for food production than for the
consumption of hot water? This is why the author often uses a so-called
energy calculator in his courses and for university teaching – the participants
consider their own lifestyles and then evaluate it using factors, for instance, xx
kWh per 1 h flight time. The results are then discussed in the plenum. If one
asks how to half one’s own consumption, interesting discussions are triggered,
and the students or participants develop a sense of proportion. Through this it
becomes obvious that new technologies are valuable but that changes are also
necessary. Some possible savings are easily realized; others are more difficult;
learning turns into a hands-on, personal experience.
For these reasons, the potential of ecodesign was to be researched in an

explorative study of the whole industrial sector in Switzerland – not only production
38 R. Züst
4500000.0MJ
4000000.0MJ
3500000.0MJ
3000000.0MJ
2500000.0MJ
2000000.0MJ
1500000.0MJ
1000000.0MJ
500000.0MJ
0.0MJ
raw material purchasing & transportation starting phase use end-off-life
production
raw materials in-house production purchasing

packaging transportation commissioning
operating materials energy raw materials (machining)
infrastructure operation tools services
Fig. 3.4 Energy profile for a production machine (Züst et al. 2010)
equipment – therefore involving 22 companies with 26 representative products. For

this purpose, the study did the following (Züst et al. 2010):
– Created quantified energy profiles for representative products throughout all their
life phases (manufacturer and enduser)
– Estimated the potential of ecodesign together with representatives of the com-
pany (possible improvements for the product/machine within the next 10 years)
– Made a projection for the total economization potential (energy, CO2 , and costs)
for the whole industrial sector in question
For the 22 companies, this was the first step in a joint learning process of universities
and industry. The study was carried out by several university experts and students in
the context of their BSc and MSc theses.
At least one energy profile was compiled for one of the representative products
of every participating company (cf. Fig. 3.4).
This first evaluation makes it clear in which areas and for which product
characteristics relevant energy consumption occurs. The findings were previously
unknown to some of the participating companies. Even more so as areas that were
identified had so far not been in the focus of ecodesign. The joint compilation of
energy profiles was also part of the necessary know-how transfer.
For many companies, the task of drawing up eco- or energy profiles is new.
Especially life-cycle-thinking and mapping out a practicable system boundary
is painstaking. Employees in the industry as well as students are not used
to comprehensively envisaging the individual life phases of a product which
would enable them to recognize unintended situations, which in turn would
allow them to make sensible system boundaries. Such a “holistic” way of
approaching systems is rather unfamiliar and, therefore, needs practice in

step with the real world. During this study in hand, it was taken care that
the commercial partners were able to acquire this know-how “on the job” and
were able to put it into practice.
In addition to this, the evaluation and interpretation of different “product
systems” proved to be difficult. Which testing method would be able to
quickly determine strengths and weaknesses? In this context, “cumulative
energy analyses” are of interest – a method which records and contrasts
corresponding energy usage. This approach also provides a simple conversion
into the CO2 - equivalent if needed.
After the energy profiles were created, the question, where to reduce consump-
tion with only minor changes and how big the total savings potential is overall, was
interesting for all parties involved. The next step was to determine the improvement
potential of different approaches and – as an estimate – to quantify them. Twenty
six profiles formed the basis for the subsequent evaluation. Eighteen profiles
concerned production machines; eight other products were domestic appliances
(coffee machines, washing machine, etc.) as well as furniture systems.
Production machines and appliances often are “active products,” which consume
a lot more energy while being run than is used during their own manufacturing pro-
cess. In detail, the following factors, which were essential for further understanding
and know-how transfer, can be deduced from the study:
Electricity consumption during usage as compared to consumption during manu-
facturing process (electricity consumption during usage by factor xy greater than
for manufacturing) (Berger Strategy Consultants 2009):
Factor 5: Average of all analyzed machines and appliances within the machine,
electric and electronic industries in Switzerland
Factor 2: Machine tools for (very) high precision manufacturing (cutting)
Factor around 20: Machine tools for high precision manufacturing and high
productivity
Factor 20–40: Machine tools for high speed cutting and high productivity
Factor 30–100: Machine tools for high productivity using higher temperature
(pressure die casting, photonics, etc.)
(More details in: ISO/TC 39/WG 12 N 22, 2010: results of the study above have
been integrated in this standard)
The focus of ecodesign for production machines clearly lies on the usage
phase. This is where ecodesign measures have the biggest impact. The energy
consumption for manufacturing this production machine varies between 1% and
5% of the total consumption and is, therefore, almost negligible.
Energy consumption abroad in comparison to Switzerland (Züst et al. 2010):
Factor 3: As 80% of Swiss machines are exported and constitute 50% of
created value in Switzerland, Swiss machines abroad consume an amount of
energy which is by factor 3 higher throughout all their life phases than for the
production in Switzerland itself.
40 R. Züst
If there is a high percentage of exports and at the same time a low percentage
of real net output in one’s own country (and this is the case for many highly
industrialized countries), the reduced energy consumption will mostly occur
abroad.
Relationship between CO2 emissions abroad in comparison to Switzerland
(Züst et al. 2010):
Factor 15: The European energy mix causes a CO2 production which is by
factor 5 higher than the one in Switzerland. That is why Swiss machines abroad
will cause a CO2 footprint which is on average 5 times bigger. If one also takes
into account that 3 out of 4 machines are exported, the factor increases to 15.
Depending on the regional energy mix in countries outside the EU, it can even
increase further.
With regard to CO2 emission, further distinctions can be made. Countries with
mountainous regions have a high percentage of electricity generated by hydro-
electric power stations available, which has an extremely tiny CO2 footprint. If
these countries export machines with clearly lower electricity consumption, what
is indeed exported are CO2 sinks. (So far) this achievement is not taken into account
when calculating the amount of CO2 each country produces.
In the context of the explorative study, ecodesign measures were discussed
together with the companies involved – constituting a further important element
of know-how increase and know-how transfer. Especially for components or
functions with high energy consumption, they were looking for new solutions. The
participating engineers were to understand the core elements of ecodesign as quickly
as possible so that they could help find solutions.
Within the last 3 years, approximately 30 workshops – including the ex-

plorative study mentioned – were held with experts from the industry and
universities. The goal was to scrutinize problems and to jointly find solutions.
If the mix of people within the teams was right – normally this was about
bringing together different views and experiences – practicable ecodesign
measures came into existence after a short period of time. As a rule, all
participants appreciated the joint learning process.
This is why this kind of team work has become a staple of further education
and training. A workshop is normally also part of ecodesign training courses
run by the author. The basic concepts of ecodesign are applied to a concrete
example, which has previously been chosen and prepared. The result is a
double benefit – on the one hand, ideas are generated for developing products
further, on the other hand, and ecodesign know-how is transferred and used
for the first time. A similar approach is used for university teaching: As a
teamwork task, the ecodesign process is run through using an example. In the
end, all contributions are presented individually and then commented on in
the plenum.
25%
20%
15%
10%
5%
0%
−5%
2009 2011 2013 2015 2017 2019
Fig. 3.5 Improvement potential with regard to electricity consumption for the machine building
industry (Züst et al. 2010)
For each one of the analyzed products, improvement measures were discussed,
and the potential for improvement within the next 10 years was estimated. This
makes an additional evaluation with regard to individual ecodesign strategies and
ecodesign measures possible; these can then be measured against the overall
improvement potential.
The explorative study shows that there is an improvement potential for the
machine building industry of 25% within 10 years (Fig. 3.5).
For the domestic appliance sector, the improvement potential is enormously
bigger, for the field of electric and electronic equipment somewhat smaller. The
majority of improvements can be realized at the user end as optimized usage. The
improvement potential at the production site, however, is relatively small.
If the calculations also include material consumption during usage and its grey
energy, the potential is reduced down to approx. 15%. The reason for this is the
significantly higher percentage of material costs, and therefore, the improvements
that have been implemented so far are with regard to material or wastage. When
estimating the improvement potential, a rise in efficiency, which is purely based on
an increase in production, has not been taken into consideration.
2.2 Radical Improvements Are Necessary: Commentary on the

Results
Already during discussions with the companies involved as well as during the later
evaluation, it becomes obvious that not only incremental improvements are possible
but also a further increase in efficiency or even radical changes involving new
technologies and solutions. In the following, the approaches that were discussed
will be divided into three areas or levels of innovation:
– “Face-Lifting” – Improvement of a (existing) product: Individual parts and
assemblies are changed. Typically, toxic substances are replaced, materials
42 R. Züst
which harm the environment are reduced, and the production process at the
manufacturer’s end is improved.
– “ReDesign” – Redesigning the product: The whole life cycle is scrutinized and
optimized. The focus is clearly on an existing product, respectively on selected
functional principles.
– “ReThink” – Implementing new functional principles: Also the functional prin-
ciples and the functions themselves are scrutinized and if necessary replaced by
innovative solutions.
Among others, the following approaches have been discussed and evaluated with
regard to their improvement potential for the three levels of innovation:
Face-Lifting (Züst et al. 2010):
– Optimizing the supply chain; shorter transport routes.
– Different materials, less material consumption, and more efficient production
process at the manufacturer’s end.
– The majority of these are incremental improvements of the product or its produc-
tion processes. Overall, these are improvements, which are easily implemented
but have little ecological use.
ReDesign (Züst et al. 2010):
– Optimizing the process (with regard to the product/the machine), more efficient
process cycles, etc., effective at the customer’s end
– Optimizing standby, more efficient drives, asynchronous motors, optimized drive
systems
– Less waste, better process control, etc., at the customer’s end
– The majority others of redesign involves measures to increase efficiency of
products, so that their user can achieve a higher or better value. Ideas for this
are widely known; in addition their implementation has partly already been
planned. The ecological benefits are existent; however, they do not really suffice
as strategic competitive advantage.
(Remark: In the VDMA, studies, which were already mentioned, show a 9%
increase of efficiency within the next 10 years due to a closer cooperation
between suppliers and customers.)
ReThink (Züst et al. 2010):
– New production and process technologies are used.
– Optimizing the system (machine/product as a whole is optimized); system
network and using symbiotic relationships.
– Lightweight design especially for quick translational and rotary changes of
movement.
– New/different kinematical arrangement of components and tools, change from
single- to multispindle machining.
– Optimizing the operational readiness/availability (energy saving mode, only offer
requested function); using power electronics; replace traditional transformers.
– Optimizing or replacing hydraulics, optimizing or replacing compressed air
and vacuum systems, optimizing extraction systems, optimizing high-pressure
cooling systems; alternative cooling systems; dry machining
– Others
Fig. 3.6 Achievable improvements in energy efficiency (Züst et al. 2010). Different levels of
innovation measures (shown in red)
– The majority of these are innovative approaches and new technologies for
more efficient processes to be used with MEM products (products of the Swiss
mechanical and electrical engineering industries). The risks when implementing
these measures and the related investment costs are partly considered as high;
however, the economic and ecologic potential is also high, and in addition to
this, the strategic competitive advantage achieved by rethink is undisputed.
The figure below (Fig. 3.6) shows the savings corresponding to the different levels
of innovation. In this context, it is interesting to see that improvements of 25%
or more within the next 10 years are only possible if “radical improvements” are
implemented as well. And for production machines, this means optimizing whole
systems rather than just individual components. It does, therefore, not suffice to
further optimize existing solutions. New solutions, especially in the field of “system
optimization,” are necessary.
It should also be noted that over the last 10 years, the energy consumption of the
mechanical engineering sector has already been reduced by 25%.
Two further independent studies show that with the help of product ecodesign,
a lot of energy can be saved, and the CO2 emissions can be reduced in the
sector of the manufacturing industries. The studies by Roland Berger Strategy
Consultants (Berger Strategy Consultants 2009) as well as the study by Prognos
AG (Prognos 2009), done by Prognos AG, ordered by VDMA 2009, which
were both commissioned by VDMA (industry association of German machinery
manufacturers), show a savings potential of approx. 80–90 million tons of CO2 on
the supplier’s as well as on the customer’s side for the manufacturing industries in
Germany within 10 years. The explorative study by Rainer Züst shows an annual
savings potential of ten million tons of CO2 until 2020 for the sectors of mechanical
engineering, domestic appliances and electrical, and electronic equipment, which
is an equivalent of approx. 50% of the Swiss mechanical, electrical, and electronic
industries. Ten million tons of CO2 is the equivalent of slightly more than 20% of
the current CO2 footprint of Switzerland (Züst et al. 2010).
This ecodesign potential is indeed considerable. That is why the mechanical in-
dustry has an important role to play in climate protection and resource conservation.
44 R. Züst
This is a challenge for ecodesign. Thanks to a broad analysis of potential within the
Swiss industry, the companies have been even further motivated and have started to
build up an initial ecodesign know-how.
Regulatory framework for the design of energy-efficient machines

Pioneering for ecodesign is the European directive concerning ecodesign of
energy-using products (EuP2009/125/EG). Recently, the European commis-
sion has also focused on machine tools. First analyses have been carried out
and published (see http://www.ecomachinetools.eu/typo/reports.html). The
focus is on equipment for precision machining of metal, which is primarily
used in the industrial sector. With regard to their energy consumption, these
products are certainly a relevant category.
It is not disputed that production machines have to be more energy
efficient. Due to a broad discussion, the topic becomes more and more relevant
for the users – with or without the EuP directive. Almost all of the power
consumption of a production machine is turned into heat; the production
techniques in question do normally not have heat sinks.
On the other hand, the heat input into the structure of the machine is the
most important cause for a lack of manufacturing precision. This is why in
precision manufacturing, this heat has to be actively dissipated, which causes
further energy consumption as well as further investment and operating costs.
More energy-efficient machines promise lower operating costs along with
higher production quality and consequently a higher added value. That is why
the machine users have a dual interest in energy-efficient equipment and pass
these expectations on to the supplier.
3 On the Lookout for Ways of Achieving an Overall

Optimization
Machines, especially production machines, vary in individual components (e.g.,

pumps and motors) in their unique systems architecture tailored to the customer
and the specific management. Management refers to component control with regard
to their functions. This accordingly results in higher or lower energy consumption.
For current production machines, 50–70% of energy consumption is unrelated
to the actual production process (Fig. 3.7), a common feature which is caused
by the choice of system structure and control strategies (logic). The individual
mechanical manufacturing processes are of secondary importance (Findings from
the KTI-project 9933.2 – Resource-Effective Manufacturing: measurement of
energy consumption for four machines with completely different manufacturing
processes (laser cutting, grinding, milling, and wire eroding); further findings from
data collection of turning machines) (Sandeep et al. 2010).
Power
7
5
Power [kw]
4 ca. 1/3
2
ca. 2/3
1
0
0 10 20 30 40 50 60
time
Fig. 3.7 Data from one machining cycle: consumption of energy (Sandeep et al. 2010)
The analysis of measuring campaigns in the industry involving 15 different

manufacturers of machine tools in 2010 shows that due to the high percentage
of fixed streams of energy consumption, time efficiency also means energy
efficiency. Therefore, as the fixed consumption is (very) high, it does not
make sense to slow down the actual machining process in order to achieve
lower direct energy consumption. Once again the aim was to motivate as
many companies as possible for the data collection and to discuss the results
and findings in a broader panel. In addition, subsequent ecodesign workshops
were held in each company.
The date collection itself took 2 days at the site plus preparation time
and detailed analysis. Approximately ten different consumption areas were
measured at the same time during longer production cycles. This was followed
by an analysis from a functional point of view. Per individual measuring
campaign, ten person-days have to be allocated; PhD, MSc, and BSc students
have also been called upon.
These measurements were funded by the Swiss Confederation with the
precondition that the general findings have to be available for nonparticipating
companies, too.
46 R. Züst
The project to process ecodesign knowledge and to establish it with a broad basis
in the Swiss industry is made easier by the high percentage of fixed consumption:
Shortening the machining cycles (D increase in productivity) is the daily challenge
for the users. With this strategy, the energy consumption of current machines can be
reduced at the same time. Only after a massive reduction of the base load it could
become interesting again to reduce productivity (e.g., in off-peak periods).
Do you know BON? BON stands for “Betrieb ohne Nutzen” (D operation
without benefit). It aims at a presence and demand-dependent management
(logic) of all energy-consuming functions.
In many cases, it is better to “simply” turn off the components that are not
needed outside the actual process itself. If there is no machining job, one could
turn off as much as possible or at least turn it down. With regard to production
machines, the components concerned are especially cooling lubricant pumps
and compressed air (which is often used as sealing air to protect sensitive
machine parts from overpressure). If no machining process is running, no
cooling system needs to be running. And if the cooling system is not running,
no or little sealing air is needed. The same question is always of interest – is
there a real demand for a certain performance or function? If there is not –
turn it off; if there is – how little is actually necessary (and not how much is
possible)?
Experts in building automation have been looking into this question for
some time. An ISO standard does already exist for this (SIA 386 110,
respectively EN 15 232), which simply shows how the vast thermal and
electric improvement potential can be used with the help of presence and
demand-dependent management (D logic). In the case of a lecture hall, for
example, which currently is not actively regulated, an optimized management
could save 50% thermal energy and approx. 10% electric energy. “All” that it
needs is an intelligent management.
Machine tools have got a high percentage of fixed energy consumption because
the demand for high quality requires temperature stability. One may ask how this
“overhang” can be reduced. To date the discussions with different companies have
produced four starting points for this question – two with regard to the machine
setup (especially the production process) and two in reference to the running of the
machine (especially the optimized management of energy-consuming components).
The approaches are the following:
(a) Structure/system architecture (e.g., cinematic structure/design)
(b) Type of components (e.g., degree of energy efficiency)
(c) Management of individual components (intelligent management strategies for
starting and stopping)
(d) Monitoring (optimization by user)
Basic structure of the machine Management of the machine

“Hardware” “Software”
structure choice and intelligent monitoring

architecture / efficiency of the management (interaction by
structural model components strategies the user)
5–20% ? 5–10% ? 10–30% ? 5–10% ?
Fig. 3.8 Estimated optimization potential (estimates based on results from 18 data collections in
2010 and 2011)
The following approximate optimization potentials have been calculated using

the data from measuring campaigns and example cases collected to date (from the
area of cutting/machining production processes) (Fig. 3.8).
One example per approach is shown below:
– System architecture/structural model: System architecture has a big influence
on energy efficiency. It can, however, not be fully described using basic rules.
Machine tools have to satisfy manifold requirements like functionality, safety,
adaptability, ease of service, etc., and therefore are designed in different ways.
On the one hand, this is with regard to the general design of machines, for
example, milling machines with horizontally or vertically operating spindles.
In addition, there are differences in the number of axles. On the other hand,
individual functions can be designed differently, for example, hydraulic or
electromechanical tool change, or additional functions (e.g., cooling of machines
and processes) are independent from one another and thus decentralized system
components.
– Choice and type of components: On the level of subsystems and system com-
ponents, even very different machines have a lot in common. Energy-efficient
components (e.g., pumps and motors), which are often used in more complex
machining tools/production systems, are therefore on offer by suppliers. One can
assume that these components will eventually be incorporated in new machines,
as long as there is no conflict due to costs.
– Optimization by using intelligent management strategies: Twenty percent or more
can be saved by using optimized management without increased acquisition
costs. The focus is on measures in the areas on which the user has no influence.
The supply with utilities, for example, cooling water, does often not happen in
a demand-dependent way but always has a overhang. That is why the question
should be asked under which conditions subsystems or components can be turned
off or down (D logic) This approach is of particular interest because no additional
costs are incurred while wear and waste heat are reduced.
– Support optimization by user (monitoring): Users do not always run their
machines within their intended capacity range. Specific support can optimize
productivity and thus indirectly reduce energy consumption per work piece.
48 R. Züst
Some measurements and calculations show that 10% of energy consumption can
be saved that way. This aspect is attractive as there is a strong synergy effect with
economic interests, i.e., an increase in productivity.
It is currently not easy for manufacturers of machine tools to recognize the
optimization potential in the abovementioned four areas, especially during the early
phase of product development. Additional services, methods, and know-how are
needed to make visible specific possibilities for improvement at the right time.
4 The Next Steps: Joint Development of Additional

Know-how
The challenge of “rethink” is to develop new approaches, respectively better types

of system architecture and management strategies and to implement these. For
this to happen, further know-how is needed, which is to be developed together
with universities within the next few years and to be made available for interested
companies. This joint action is a crucial element for future activities. The activities
concern three areas:
– Specific know-how in order to understand machines and in particular new
machine concepts, to extract fundamental know-how, and – if possible – to create
a methodological basis to better evaluate and optimize such complex systems,
– (Competence) network of different experts, who can be involved in concrete
projects and who can then ensure that the necessary, broad, interdisciplinary
know-how is available
– Suitable services and methods for companies, for example, brokerage events,
project workshops, or specific training modules
In the following, further activities for an effective outreach are described.
4.1 Further Increase of Know-how
Since early 2011, working groups with representatives from the Swiss industry
and university experts exist with the aim to jointly develop know-how for certain
problems, to devise planning guidelines, and to intensify outreach and education.
Currently, there are three working groups, which jointly develop creative solutions
for the following topics:
– Dealing specifically with waste heat: Production machines create waste heat,
which then has to be dissipated in a complex way. The idea is to develop different
approaches – depending on temperature level and machining power. For higher
waste heat temperatures and higher machining power, a heat recovery system
could well make sense, however, not for lower temperatures. That is why a
planning tool is currently being developed, which contains a decision tree and
which leads the planner in the industry as well as university students to the “right”
topic depending on the specific planning situation. For each one of these solution
areas, the necessary know-how, options for appropriate action, and an example
are formulated.
– Presence and demand-dependent management (logic): Due to the high level of

fixed energy, consumption outside productive periods in particular “pointless
consumption” should be reduced. In order to achieve this, some companies
have drawn up tables, which record the relationship between machining mode
and components which are switched on or off. Thus, it is visible at a glance
when and which energy-consuming components are switched on. It is of interest
to define new operating modes as well as turning components on and off
of in a differentiated way. The 15 measuring campaigns to date allow it to
devise simple planning tools without the need for further data collection at
machines.
– Energy monitoring: Currently, little experience with energy monitoring for
production machines is available despite the topic having quite some relevance.
On the one hand, the working group is discussing ways of process optimization
which are possible during manufacturing. Process alternatives are at the center
of this, for example, different wires for wire EDM. On the other hand, long-
term monitoring of relevant energy consuming components and machines,
for example, the consumption of compressed air, is also of interest. In this
instance, it is well possible that after a service or maintenance, the seal air is
readjusted.
Further projects are planned after completing these subprojects. These will in turn
be developed by an active group of representatives of the industry and universities.
Another area is R&D projects, which are – if possible – initiated and then also
worked on by a network of experts.
4.2 Competence Network
The idea for an independent competence network in the area “sustainable engineer-
ing” dates back to 2008. Since 2009, this network consisting of 50 researchers from
various institutes and universities as well 100 interested companies mainly from the
machining industry and environmental technology is up and running. The network
is financed by a funding institution of the Swiss Confederation. After a successful
start-up phase, the aim now is to improve and extend its services. The following
service areas are new:
– Scouting: Companies, which are interested in sustainable engineering and an
active know-how transfer with universities, are directly approached. An effective
push-pull process is at the center of this. Up to now, these activities are to be
found at www.eco-net.ch
– Project initiation: A “marketplace of ideas,” i.e., bringing together companies
and universities in the sense of a brokerage event, as well as support in initiating
new projects, is at the center of this. As the topic sustainable engineering is new
to many companies, the network puts various different experts at their disposal.
If this is successful, new R&D projects are created, which help the companies,
the universities, and also the network to enter new markets. Up till now these
activities are to be found at www.sustainableengineering.ch
50 R. Züst
– Expertise and support for investors: Outreach is another area that is to be newly
established and which especially concerns the specifically market implementa-
tion. Many people depend on technical expertise and further services in order to
lower the implementation risk. Only then is it possible to implement new and
also sustainable solutions.
MSc and BSc students are called upon for these tasks.
4.3 Appropriate Services and Methods
A third area of future “outreach and education” is concerned with feasible methods,
for example, simple and purposeful methods of analysis, modeling and simulation
tools, as well as methods and tools for effective “green marketing.” At the moment,
further methods and tools intended specifically for the Swiss machining industry
are developed by the network “Sustainable Engineering Network Switzerland”
indifferent projects, which are financed by the Swiss Confederation. The focus is
on modeling and simulation tools, which make a first critical evaluation of a new
machine concept possible in a very early planning phase.
Additionally, practical-oriented training is a work in progress. This course of
action enjoys the broad backing by the whole network.
5 Sustainable Engineering Without Collaborative Learning

Process?
Ecodesign, or sustainable engineering, is new. That is why new know-how has to

be gradually increased, be put at the disposal of the industry, and be integrated in
university teaching.
In Switzerland, ecodesign experts have chosen a collaborative approach for
“outreach and education.” In close cooperation with the industry and with university
experts and students, as well as with the support of industry associations and federal
agencies, the necessary know-how is developed, further research projects initiated,
and training courses and university education programs prepared. The persons
concerned, i.e., people in industry and university, have thereby turned into persons
involved. The high percentage of contributions by the industry shows that not only
the topic interesting is for the industry but also the manner of capacity building and
know-how transfer.
References
Der Beitrag des Maschinen- und Anlagebaus zur Energieeffizienz; bearbeitet von Roland Berger
Strategy Consultants im Auftrag des VDMA, 2009
Energieeffizienz in der Industrie – eine makroskopische Analyse der Effizienzentwicklung unter
besonderer Berücksichtigung der Rolle des Maschinen- und Anlagebaus; bearbeitet von
Prognos AG im Auftrag des VDMA, 2009
D. Sandeep, P. Xirouchakis, L. Weiss, A. Leuenberger, R. Züst, CTI 9933.2 RE-Manufacturing:

Concepts & Methods for Resource Effective Part Manufacturing, interim report (not published),
Zürich, 2010
Swissmem, Jahresbericht 2009, (Zürich, 2009), www.swissmem.ch
W. Wimmer, R. Züst, ECODESIGN-Pilot – Product-Investigation-Learning and Optimisation-Tool
(Kluwer, Dordrecht, 2002)
W. Wimmer, K. Lee, R. Züst, Ecodesign Implementation – A Systematic Guidance on Integrating
Environmental Considerations into Product Development, (Springer und Kluwer, Dordrecht,
2004)
S. Winterberg, Beitrag zur Umsetzung von Ecodesign in der Schweizer Maschinen-, Elektro- und
Metallindustrie, Master-Arbeit ETH Zürich, not published, Zürich, 2011
R. Züst, Vorlesung Ecodesign – Umweltgerechte Produktgestaltung; Vorlesungsunterlagen 2010,
ETH, Zürich
R. Züst, S. Züst, S. Studer, Ecodesign-Potenzialanalyse in der Schweizer MEM-Industrie – eine
explorative Studie, im Auftrag Bundesamt für Umwelt BAFU und Swissmem, Zürich, 2010
Implementing New Teaching Models at
the Massachusetts Institute of Technology 4
Jeffrey I. Steinfeld and Amanda Graham
Abstract
It has been widely observed that Education for Sustainable Development (ESD) –
or, as some prefer, Education for a Sustainable Future – presents a challenge
to existing systems of instruction and curricula. The empirical, reductionist,
discipline-based model which now forms the basis of university faculties has
served well in the past, leading to enormous expansion of human knowledge,
technology, and – with some exceptions – the global economy. However, this
model may not be adequate to address the issues and challenges of global
sustainability, and indeed many feel that this growth in human activity lies at the
root of the problems now faced by humanity. Accordingly, for ESD to succeed in
its purpose, ways must be found to bridge the gaps among multiple disciplines,
and to develop students’ capacity to synthesize the viewpoints these bring to
sustainability.
A variety of approaches are being taken to meet this challenge. These range
from wholesale restructuring of curricula and creation of new courses of study in
“sustainability science” or “energy systems” to incremental changes in existing
courses, along with supplementing formal curricula with research, networking,
and other opportunities for intensive experiential learning. This chapter describes
some of the innovative activities that have been undertaken at the Massachusetts
Institute of Technology (MIT). MIT’s approach is fundamentally discipline-
based and multidisciplinary, embodies the Institute’s motto of mens et manus
(learning by doing), and makes use of the campus itself as a laboratory for
learning. Among the examples described here is a graduate level subject on
sustainable energy (recently adapted to include undergraduates), a project-based
J.I. Steinfeld
Laboratory for Energy and the Environment, Department of Chemistry, Massachusetts Institute of
Technology, Cambridge, MA, USA
A. Graham
MIT Energy Initiative, Massachusetts Institute of Technology, Cambridge, MA, USA

DOI 10.1007/978-1-4020-8939-8 4,
54 J.I. Steinfeld and A. Graham
subject for beginning students that addresses topics ranging from energy saving
projects on campus to global environmental issues, the infusion of energy and
environmental topics into basic course requirements in science, engineering, and
social science, and making use of the Undergraduate Research Opportunities
Program to engage students in current research activity on these topics.
1 Introduction
As this handbook demonstrates, the goal of Sustainable Engineering is to blend top

quality engineering know-how and innovation with the demands of sustainability:
a healthy environment, an equitable and just society, and a long-term considera-
tion of the needs of future generations. Sustainable engineering “recognizes that
appropriately designed products, technology systems, and services . . . are critical
to better environmental and social performance across a globalizing economy”
(Allenby et al. 2009).
The students who are now in and who will be entering university classrooms
and laboratories are the ultimate stakeholders in this objective, since it is they who
will be pursuing their careers, leading their lives, and raising their families during
a period in which the limitations of the Earth’s resources, and the consequences of
ignoring those limitations, are becoming increasingly evident. They must be able
to understand how the Earth’s natural systems operate and how human systems
function, to appreciate what effect human activities and technology are having
on these systems, and to acquire a sense of responsibility for society, for future
generations, and for all the creatures with which we share this Planet. Engineering
education has been undergoing numerous critical re-evaluations as a consequence
of the rapidly expanding body of physical and biological science underlying the
technology, and the increasing complexity of the information networks within which
the engineer operates. In addition, it is necessary for the engineer to appreciate
environmental science, social and economic systems, and ethical values as well.
It is no longer sufficient to be able to make something that is innovative, that works
reliably, and that can be commercialized successfully. The “something” must also
enhance economic well-being and social justice, not harm – or even improve – the
environment, and not diminish the Earth’s supply of available energy and material
resources. How should the next generation of engineering students be educated to
realize these goals?
The intellectual challenge of bridging gaps among these disciplines and ways of
knowing is not easily met. It requires an approach to organizing and transmitting
knowledge which differs significantly from the one that most practitioners were
trained in and are familiar with. Yoshikawa (2008) has called this approach
“synthesiology,” which he defines as “the theory of integration of scientific and
technological knowledge from different disciplines with the needs of society.” This
concept bears a close relationship to the idea of “consilience” (Wilson 1998), which
is the synthesis of knowledge from different, specialized fields of human endeavor.
4 Implementing New Teaching Models at MIT 55
Fig. 4.1 Transdisciplinary education in energy and environment represented as interlocking

Borromean rings
These concepts are essential for addressing the problems that face human society
and the natural environment.
The idea of interlinked knowledge is important here. Rather than the typical
portrayal of sustainability science as lying at the intersection of (usually) three
disciplines in a Venn diagram, the model of the Borromean Rings shown in Fig. 4.1
provides a better representation of the intellectual dynamic. All three realms of
science, technology, and social sciences (including economics) are connected and
all are needed to prepare students to work in these fields. Together they form a strong
educational base; remove any one of them and the structure falls apart.
Realizing that this goal presents major challenges, Yoshikawa (2010) has argued
that problems of sustainability cannot be adequately addressed by subsuming their
study within traditional disciplines. This has been called a “transdisciplinary”
approach, which may be described as
. . . a cohesive, holistic, and democratic approach to scientific research, an approach that
is necessary if we are to achieve the aims of sustainability science to create knowledge for
action that will contribute to the well-being of the planet. The model includes multiple actors
from the three classes of natural, engineering, and social science in a process that refines
information with each cycle to produce actionable knowledge for sustaining humankind and
the planet we inhabit (Yoshikawa 2010).
Creating entirely new disciplines, and the academic departments and educational
programs to go with them, is a costly and time-intensive process which entails
lengthy and far-reaching negotiation with existing academic stakeholders. Never-
theless, some institutions of higher education have responded to this challenge by
establishing courses in environmental studies or sustainability science which are

separate and sometimes even isolated from the “mainstream” academic programs.
Such isolation can be intellectual as well as administrative, particularly when it
involves physical separation on the university campus. Such programs tend to attract
those faculty and students who are already committed to these ideas, but may have
little impact on the majority of engineering students.
Can existing academic disciplines be redefined to incorporate sustainability
concepts, and integrated so as to provide the transdisciplinary and holistic viewpoint
increasingly recognized as indispensable in this domain? Takeuchi (2010) suggests
that this may be possible, and even desirable in that by attempting to do so, it may
be possible to counteract the negative effects of the relentless fragmentation and
specialization that characterizes today’s academic and scientific endeavors.
2 The Approach at MIT
Emerging activities at the Massachusetts Institute of Technology are following

an integrative approach to meeting this challenge. MIT’s academic programs
are organized into thirty-one Departments (including interdepartmental divisions
and programs), each located in one of five Schools (Architecture and Planning,
Engineering, Humanities and Social Sciences, Management, and Science).1 As
faculty and student interest in energy and environmental issues has grown during
recent years, it has become increasingly clear that a rigid structure, in which
curricula and resources are controlled by individual Schools and Departments,
does not lend itself easily to educational innovations that transdisciplinary topics
may require. There was relatively little enthusiasm, however, for establishing a
completely new School or Department, for example, of “Sustainability Studies.”
In addition to resource constraints, there was a concern that students in such a
department might lose the rigorous grounding in an established discipline which
is the hallmark of an MIT education, and might have diminished opportunities to
interact with the larger community of students. The goal of rigor without rigidity
has been expressed in the Energy Education Task Force Statement of Principles as
follows:
An MIT graduate focusing on energy will have a solid base in a discipline or professional
field relevant to energy, combined with a broad understanding of the interlinked realms
1
The ensuing discussion uses the standard MIT terminology as follows: a course is a specified
program of study within a Department or Division; a subject is a specific one-semester or half-
semester class taught by one or more faculty and staff. Courses are designated by numbers from
1 through 24 and some additional acronyms such as “ESD” for Engineering Systems Design.
Subjects within courses are further designated by numbers “following the decimal point.” For
example, the Chemistry Department is known to every MIT student as “Course 5”; subject 5.60,
discussed later in this chapter, designates Thermodynamics and Kinetics as taught within the
Chemistry Department. MIT students typically enroll in four or five subjects per semester.
of science, technology, and social sciences as they relate to energy and associated
environmental challenges.
She/he will have specific expertise and the understanding of the broader context, tradeoffs,
and realms of action required to create, evaluate, and advocate meaningful solutions to these
challenges and effect change.
Indeed, this could be said to be a desirable outcome for any graduate of a degree
program.
The following section illustrates how some existing educational programs and
classroom subjects are being so redefined in the context of the MIT Energy
Initiative’s Education program, specifically the Energy Studies Minor established
in Fall 2009 (Energy 2009).
3 Old Disciplines, Teaching New Tricks
The Energy Studies Minor consists of a core curriculum based on three interlinked
subjects (as was suggested in Fig. 4.1) covering the realms of energy science
foundations, social science foundations, and energy technology and engineering in
context. In addition, students are required to take from 2 to 4 additional energy
electives from a list of 24 subjects. The curriculum is not based in any one School
or Department, but includes subjects across the Institute, representing all of the five
Schools. Some of the subjects have been developed specifically for the Minor, but
others have been taught for many years and have been reoriented to focus on energy
issues.
This section gives several examples of these subjects. Many of them are
undergoing continuous development as the needs of the students become more
clearly defined, but a good impression of their content can be obtained from listings
on MIT’s OpenCourseWare (OCW 2010). MIT OpenCourseWare (OCW), a web-
based publication of virtually all MIT course content, is open and available to the
world and is a permanent MIT activity. One thousand nine hundred different subjects
are currently listed in OCW. For each of the examples described, we give the OCW
url for the most recent listing of that subject.
3.1 5.60 Thermodynamics and Kinetics
http://ocw.mit.edu/OcwWeb/Chemistry/5-60Spring-2008/CourseHome/index.htm
Understanding the laws of thermodynamics is essential for calculating the
amount of useful energy that can be obtained from any process, from the burning
of oil and natural gas to the reactions in photosynthesis that convert light into
charge separation (and thus chemical energy). These laws provide information about
whether a process is spontaneous or not, and afford upper bounds on the efficiency of
that process. Thus, thermodynamics provides a unifying framework for considering
the energy balance and flow in all processes (Silbey 2009, private communication).
The subject, 5.60, has been taught in the Chemistry Department for many
years, originally under the rubric of Chemical Thermodynamics. Thermodynamics
is a core competency for chemistry, since it allows prediction of equilibrium
coefficients and concentrations and correlates a wide range of material properties
(pressure, volume, boiling point, melting point, surface tension, electrochemical
potential, etc.). As taught at MIT, the subject also points out the connection
to the microscopic, molecular properties of matter through statistical mechanics
(Beattie and Oppenheim 1979). Thermodynamics is also essential for understanding
biological and biochemical processes, and recent years have seen an increasing
proportion of the curriculum devoted to biological applications, to the extent of
co-teaching the subject with faculty in the Department of Biological Engineering.
To meet the requirements of an Energy Minor core subject, 5.60 has been
refocused on teaching students how to think about the energy challenge. In doing
so, the subject has returned to its origin as a means for understanding the amount of
work that can be carried out in a cyclic thermal process (Carnot 1824). New notes,
lectures, and homework problems have been developed to realize this objective.
Some of the topics and exercises covered in the energy centered version of 5.60 are:
• Calculation of the energy content of a range of fossil and non-fossil fuels from
First Law thermochemical cycles, and linking the result to the market price of
the fuels and to net carbon emissions
• The energy requirements and efficiency of a heat pump system
• Comparison of Rankine, Sterling, and Otto engines in terms of Carnot cycles
• Electrochemical work in a galvanic cell and a fuel cell
Additional topics and modules are being developed on an ongoing basis and will be
placed on the OCW Web site in due course.
3.2 5.92J/10.191J Projects in Energy
http://ocw.mit.edu/courses/chemistry/5-92-energy-environment-and-society-
spring-2007/
“Projects in Energy” is an introductory subject designed to equip students with
a fundamental understanding of the energy landscape and provide opportunities to
work with cross-cutting teams of faculty, staff and teaching assistants on developing
solutions to concrete energy challenges.2 The class was originally offered in 2007
as part of an experiment in Project Based Learning supported by internal MIT
educational innovation funds, and has been “recycled” to meet the requirements
of the Energy Studies Minor. Students are introduced to energy systems and their
2
The “J” designation indicates that the same subject is offered jointly through two or more
departments. In this case, 5.92J/10.191J was offered by the Chemistry Department (Course 5)
and the Chemical Engineering Department (Course 10) in Spring 2010. This is often advantageous
for students in a particular course, who are required to complete elective units within their own
School or Department. Additional examples of “J” subjects will be given in this section.
major components through guest lectures by researchers from across MIT and then
apply that knowledge in their projects. Lectures and presentations on basic energy
science and technology, project design and management, and communication and
presentation of findings include topics such as:
• Energy supply and demand, sources, conversion, and uses
• Estimation of individual carbon footprint and greenhouse gas emissions using a
Personal Energy Calculator developed for the Youth Encounter on Sustainability
(Ecospeed 2010; ACTIS 2010)
• Introduction to (or review of) basic thermodynamics principles, abstracted from
the 5.60 subject content (v. supra)
• Basic concepts of energy economics
• Relationship between energy production and climate change, using the “C-Learn”
interactive simulation tool (C-Learn 2010)
• Alternative and renewable energy options
• Practicums on public speaking and presentation, and on writing for the customer
and the public
Students are involved in all aspects of project design from the refinement of
problem statements to data collection and analysis, determination of conclusions,
and presentation of findings. Project teams work closely with experts, including
local stakeholders and leading technology companies. In Spring 2010, projects
carried out by students in the class included:
• Analyzing the “carbon footprint” of ongoing activity at MIT and designing
strategies for reducing greenhouse gas emissions at the institutional and personal
level, carried out with the assistance of the Campus Energy Activities (“Walk the
Talk”) task force.
• Evaluating wind energy resources at various locations on campus, preparatory to
installing wind turbines on campus which will generate significant amounts of
renewable energy, thereby displacing electricity from the gas-fired cogeneration
plant or that would need to be purchased from local utilities.
• Developing an energy strategy for a rural village in Limpopo Province, South
Africa, and writing the script for a documentary film about the project which will
be produced on location in Summer 2010.
• Designing renewable energy systems for a sustainable rural housing community
in the District of North Kohala, Hawaii. Both resources that can be integrated
into an island-wide grid and stand-alone off-grid energy systems will be con-
sidered. This project is a collaboration among faculty from the Department of
Architecture, the MIT, the MIT Public Service Center, and a local NGO in the
North Kohala District.
The subject concludes with a capstone exercise in which each team makes a public
presentation of its findings and recommendations.
In May 2010, MIT announced a partnership with its electric utility provider
to reduce on-campus electricity consumption by 15% over 3 years (Nstar 2010).
Significant faculty, staff, and student collaboration is envisioned as a major part of
this effort, and it is expected that the “Projects in Energy” subject will play a key
role in that regard.
3.3 8.21 Physics of Energy
http://ocw.mit.edu/courses/physics/8-21-the-physics-of-energy-fall-2009/
This subject is designed for MIT sophomores, juniors, and seniors who want
to understand the fundamental laws and physical processes that govern the sources,
extraction, transmission, storage, degradation, and end uses of energy. The subject is
accessible to any MIT student who has completed the physics, math, and chemistry
components of the General Institute Requirements.3
8.21 is not aimed specifically at physics majors. It is designed for any MIT
student, including, for example, an engineer, scientist, social scientist, or man-
agement, architecture or planning major, who wants to get a firm foundation in
the physical principles that constrain the energy landscape. The subject enables
students to approach energy issues in a sophisticated and scientific fashion, but
without having to take advanced subjects in thermodynamics, quantum mechanics,
or nuclear physics beforehand. Key features of the subject include:
• 8.21 focuses on the fundamental physical principles underlying energy processes,
and on application of these principles to practical calculations. Many important
quantitative analytical tools are introduced and applied. 8.21 is not intended to
be a survey course.
• 8.21 focuses on the physics. Tough political, economic, social, and ethical issues
have to be resolved if the “energy crisis” is to be ameliorated. Although they
are not discussed directly in 8.21, the subject provides the scientific foundation
for intelligent evaluation of those important considerations, and is intended to
provide the necessary background to approach those issues with a broad and
functional perspective on the physics of energy.
• Rather than following the traditional physics format of theory followed by
application, 8.21 integrates fundamental physics with practical applications to
energy systems of contemporary relevance throughout the semester. Much of the
reading and background material for 8.21 has been created specifically for this
subject, since existing introductory books and resources on energy physics do not
seem to be advanced enough for MIT undergraduates.
The first part of the subject focuses on end uses of energy. Analysis of basic energy
needs such as transport, heating, and lighting provides a context for reviewing basic
principles of mechanics and electromagnetism from introductory physics classes.
Also included are some aspects of quantum mechanics and thermodynamics which
are central to understanding questions in energy physics such as limits to efficiency
of conversion from heat energy to mechanical energy in an automobile engine.
The second part focuses on sources of energy. Further development of quantum
mechanics provides the background for an in-depth introduction to the physics of
nuclear power. The progress of solar energy is followed from its release in nuclear
3
The General Institute Requirements, required of all students for a B.S. degree, include six science
subjects, a laboratory subject, two restricted electives, and eight subjects in Humanities, Arts, and
Social Sciences (http://web.mit.edu/catalog/overv.chap3-gir.html)
fusion reactions in the Sun, through radiation to the Earth and absorption in terres-
trial systems, integrating material from several branches of physics and including an
introduction to the physics of semiconductors and photovoltaic technology. Basic
fluid dynamics is developed and used to describe the physics of wind and other
renewable resources including hydro, tidal, wave, and ocean power. Also considered
are the physics of hazards associated with some energy technologies, in particular
global warming and nuclear radiation.
The third part of the subject integrates a deeper study of thermodynamics with a
study of energy conversion, storage, and transmission methods. A complete list of
lectures can be found at http://physicsofenergy.mit.edu/students/schedule.php.
3.4 10.04J/24.114J2 A Philosophical History of Energy
The “J” designation in this case indicates that the subject is offered and taught jointly
by the Departments of Chemical Engineering and Philosophy – perhaps the only
such classroom subject that exists. Using a wide range of assigned readings and
short papers, the class examines concepts such as the development of the concept
of energy; in what sense does energy “exist”; how thermodynamics affects one’s
view of reality; and whether mathematics elucidates or obscures these questions.
The readings range widely from Aristotle, Descartes, Newton, Francis Bacon,
and Friedrich Nietzsche to Lavoisier, Sadi Carnot, J.P. Joule, Ludwig Boltzmann,
J. Willard Gibbs, and Ilya Prigogine.
Students taking this class receive credit toward their Institute-wide Humanities
and Social Science requirement and their communications skills requirement, as
well as being challenged to think hard about fundamental issues relating to energy.
One further perspective that would be of some interest is how these concepts link to
energy as a six trillion dollar per year global industry (give or take a trillion or so),
but the technology and social/economic subject requirements of the energy minor
help students to make these additional connections.
3.5 10.391J/1.818J/2.65J/3.564J/11.371J/22.811J/ESD.166J2
Sustainable Energy
http://ocw.mit.edu/courses/chemical-engineering/10-391j-sustainable-energy-
spring-2005/
During the late 1990s, discussions at MIT’s Energy Laboratory (subsequently,
the Laboratory for Energy and Environment) made it clear that there was a strong
need for an interdisciplinary graduate-level subject that “quantitatively presented
energy in a broad framework and addressed today’s sustainability challenges”
(Tester et al. 2005). The Sustainable Energy subject has been taught at MIT
since then. As the designation above indicates, the subject is offered jointly by
five Departments in the School of Engineering (Chemical, Mechanical, Materials
Science and Engineering, Nuclear, and Civil and Environmental), the Department
of Urban Studies and Planning, and the Engineering Systems Division. Enrollments
have typically been robust and have drawn graduate students (and a few undergrad-
uates) from departmental majors across all of MIT’s five Schools. For Fall 2009
and beyond, an undergraduate section of this subject was developed with support
from the Energy Education Task Force. Course materials have been published in
a textbook, Sustainable Energy: Choosing Among Options (Tester et al. 2005) and
updated on the OpenCourseWare system.
The curriculum includes:
• Overviews of energy demand, sustainability, resource availability, global change
(including climate change), and regional air pollution issues
• Specific energy technologies, including geothermal, hydropower, nuclear, biomass,
fossil fuels, wind power, solar power, and energy storage
• Energy use in buildings, road transport, and industry, with trade-off and policy
analyses
• A “toolbox” including assessment methodologies for resource availability, en-
ergy supply and demand scenarios, and economic feasibility; life cycle analysis;
and thermodynamic constraints
In addition to problem sets and exams, grades are based on students’ term papers
and presentations for projects chosen from a wide list of options. Among many
suggested topics are the following:
• How can policy instruments increase the deployment of renewable energy?
• Is a “zero net energy” building a realistic sustainable goal?
• Are hybrid and/or all electric vehicles a viable option for personal transportation?
• Can CO2 be successfully sequestered in the deep ocean, in depleted oil and gas
wells, or in aquifers?
• How much oil is there in the world?
• Is hydropower from Quebec a sustainable energy option for the Northeast USA?
• Can India meet its energy needs to support a developing industrial economy?
Clearly, these project topics all incorporate the scientific, technological, social, and
economic dimensions needed to address sustainable energy issues.
3.6 Student Research: UROP and CS-UROP
One of the earliest programs of its kind in the United States, MIT’s Undergraduate
Research Opportunities Program (UROP) cultivates and supports research partner-
ships between MIT undergraduates and faculty. As “UROPers,” undergraduates
participate in each phase of standard research activity: developing research plans,
writing proposals, conducting research, analyzing data and presenting research
results in oral and written form. UROP projects take place during the academic year,
as well as over the summer, and research can be done in any academic department
or interdisciplinary laboratory. Projects can last for an entire semester, and many
continue for a year or more. UROP students receive academic credit, pay, or work
on a voluntary basis. MIT students use their UROP experiences to become familiar
with the faculty, learn about potential majors, and investigate areas of interest. They
gain practical skills and knowledge they eventually apply to careers after graduation
or as graduate students. Eighty to ninety per cent of all MIT undergraduates take at
least one UROP during their program of study.
The MIT Energy Initiative sponsors and coordinates a range of UROP projects
specifically focused on energy efficiency and sustainability. The Campus
Sustainability UROPs (CS-UROPs), sponsored by MIT’s Environmental Programs
Office, help operational units such as the Department of Facilities and MIT’s
Environmental, Health, and Safety office address pressing sustainability challenges.
The Summer Energy UROPs, supported by MITEI member companies and donors,
can be conducted in any academic department or interdisciplinary laboratory. In
summer 2009, 16 undergraduate researchers worked on projects that included
developing organic materials for solar cells, modeling the performance of MIT’s
battery electric vehicle, and estimating cost curves for new natural gas sources.
Further information is available at http://web.mit.edu/mitei/education/urop.html.
Examples of UROP projects that have had substantial impact at MIT and in the
wider community include:
• Reducing energy consumption by fume hoods
Fume hoods, widely used by high-tech industries, hospitals, and universities,
help keep laboratory workers from breathing harmful chemical vapors but
consume a lot of energy by continuously drawing heated and cooled indoor air
through the face of the hood. A single fume hood running 24 h uses as much
energy as a typical single-family home in the Northeast USA.
Mechanical Engineering senior Steven Amanti surveyed fume hood use in
MIT’s Chemistry Department and found that many hoods were left in the fully
opened position even when laboratory personnel were not present. His analysis
showed that “If the unused hoods were closed, the consumption of electricity,
steam, and chilled water would be decreased by approximately 17% and save
the Institute $350,000 a year in utility costs.” (Amanti 2006) When this was
brought to the attention of MIT administrators and Department heads, a campus-
wide campaign was initiated to change the behavior of hood users in order to
conserve energy. A follow on UROP project concerns the use of SF6 as a tracer
gas for air flow in hoods. While non-toxic and unreactive, SF6 has a Global
Warming Potential in excess of 20,000 relative to CO2 and is simply vented to
the atmosphere when used in this way. The UROP project seeks to find a suitable
replacement tracer gas that will not contribute to global warming.
• Campus energy footprint
Numerous UROP projects and student theses have sought to quantify MIT’s
energy use and greenhouse gas emissions. Most have focused on building
operations and, to a lesser extent, on purchasing decisions. A recent UROP
study estimated carbon dioxide (CO2 / emissions generated from air travel by
MIT students, staff, and faculty. Working with data provided by the MIT Travel
Office for travel supported by the Institute’s research and education programs,
the analysis revealed that emissions from air travel are a significant source of a
university’s greenhouse gas emissions. It was estimated that the CO2 emissions
due to air travel by MIT personnel are approximately 58,111 metric tons, or
17% of MIT’s total CO2 emissions in 2003. This analysis offers an important
supplement to MIT’s current greenhouse gas emissions inventory, which is based
on Mechanical Engineering graduate thesis work by Tiffany Groode (2004) and
did not include air travel. As the data on air travel improves and methods for
analysis develop, MIT will better be able to quantify its overall carbon footprint,
and develop strategies for mitigating and/or offsetting these emissions.
• On-campus wind turbine assessment
MIT is considering installing a utility-grade wind turbine at one of its research
sites, and needs assistance in carrying out a feasibility assessment of the financial
and wind resource requirements. This UROP, which will review and assess the
necessary data to make recommendations for project development, is closely
linked with the 5.92J Projects in Energy subject described earlier.
These are just a few examples of the on-campus projects carried out by MIT
students collaborating with staff and faculty. By using the campus as a learning
laboratory, students are able to gain practical experience and to synthesize the many
varied skills and disciplines required to carry out a real-world energy project.
4 Summary
There are many and varied incentives for changing what is taught to students, and
the way they are taught, to emphasize sustainability as a core goal and value of
education. On one level, this is an eminently practical imperative for the future
career advantage of the students, as well as for the well-being of the economy
as a whole. It has been noted that “an expanding employment spectrum deals
with the survival of people, plants, and planet” (Science Careers 2009), and that
“transforming our economy through renewable energy, energy efficiency, mass
transit and rail, a new smart grid and other solutions to global warming, has the
potential to create millions of jobs, while reducing global warming emissions and
moving America toward energy independence” (Blue Green Alliance 2010).
The educational innovations described in this chapter, and many others being
developed at MIT and other universities, meet this challenge in several ways. First,
they are transdisciplinary (Yoshikawa 2008, 2010), linking elements of science,
technology, and the social sciences in the context of sustainability. The content is
rigorously developed, making use of quantitative, analytical methods such as life
cycle analysis and quantitative risk assessment when appropriate. And many of the
classroom subjects are results and application oriented, especially when linked to
educational strategies such as project-based learning and undergraduate research
projects.
There is an additional dimension to this transformation of the educational agenda,
namely, the moral and ethical imperative underlying sustainability. As Harte (1993)
has noted, science cannot remain value neutral when it comes to the applications
of science to technological systems which are capable of profoundly altering and
damaging global systems. This is especially true today, since modern technology
has provided the means to extend such damage worldwide, to other persons we have
never met directly, and to jeopardize the well-being of future generations (Harte
1993). The moral obligation to repair this damage has ancient roots. The mediæval
Kabbalah (Scholem 1974) speaks of “the breaking of the vessels,” which can be
understood in a modern context as the breakdown of connections between human
individuals, human society, and the larger natural systems of which we are all a part.
If human society is to survive and prosper, this breakage has to be succeeded by a
repair process called tikkun olam – literally, the repair of the world. This concept
of tikkun or repair has become a foundational principle of many environmental
movements, whether grounded in secular or spiritual principles, and should be a
foundational component of the educational system as well.
Today’s industrial society is, in fact, a complex, multivariate, global-scale
experiment testing the hypothesis whether human society is capable of achieving
a sustainable relationship with the natural environment. The outcome of this
experiment is still unknown, but the difficulty of carrying it out in a dispassionate,
objective manner is that the experiment can only be performed once, on a single
system – the Earth System – and if the experiment turns out badly the sample
cannot be returned to the Manufacturer for a free replacement! The outcome of
the experiment, therefore, needs to be “biased” to ensure, as best as can be devised,
the long-term well-being of humanity’s home on Earth, which makes its continuing
existence possible. The most effective “bias” that can be introduced is to educate
the next generation of leaders who are now and will be entering schools, university
classrooms, and laboratories in such a way that they will have the understanding,
the tools, and the moral outlook to make sustainability a reality.
5 Cross-References
Teaching Old Disciplines New Tricks: Sustainable Engineering Education
Acknowledgments
The authors wish to thank Jennifer DiMase for preparing Fig. 4.1.
References
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option=com content&view=frontpage&Itemid=53. Accessed 18 Nov 2011
B. Allenby et al., Sustainability Sci. 4, 7 (2009)
S. Amanti, Potential Energy Savings on the MIT Campus, SB Thesis, 2006
J.A. Beattie, I. Oppenheim, Principles of Thermodynamics (Elsevier, Amsterdam, 1979)
Blue Green Alliance (2010), http://www.bluegreenalliance.org/home. Accessed 18 Nov 2011
N.L.S. Carnot, Réflexions sur la puissance motrice du feu et sur les machines propres à développer
cette puissance (A. Blanchard, Paris, 1824)
C-Learn (2010), http://climateinteractive.org/simulations/c-learn. Accessed 18 Nov 2011)
Ecospeed, Software für Klimaschutz (2010), http://www.ecospeed.ch. Accessed 18 Nov 2011

Energy, Energy Studies Minor at MIT (2009), http://web.mit.edu/mitei/education/minor.html.
Accessed 18 Nov 2011
T. Groode, A Methodology for Assessing MIT’s Energy Use and Greenhouse Gas Emissions,
M.Sc. Thesis, 2004
J. Harte, The Green Fuse (University of California Press, Berkeley 1993), pp. 146–148
Nstar, MIT and NSTAR kick off first-of-its-kind energy efficiency program (2010), http://web.mit.
edu/press/2010/nstar-mit-alliance.html. Accessed 18 Nov 2011
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Accessed 18 Nov 2011
G. Scholem, Kabbalah (Keter, Jerusalem, 1974), pp. 140–144
Science Careers, It’s Getting Easier to be Green: Jobs in Green Science (2009), http://
sciencecareers.sciencemag.org/career magazine/previous issues/articles/2009 04 03/science.
opms.r0900069. Accessed 18 Nov 2011.
K. Takeuchi, in Sustainability Science: A Multidisciplinary Approach, eds. by H. Komiyama et al.
(UNU Press, Tokyo, 2010), in press
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Among Options (MIT, Cambridge, 2005), ISBN: 0262201534
E.O. Wilson, Consilience: The Unity of Knowledge (Alfred A Knopf/Random House, New York,
1998)
H. Yoshikawa, Sustainability Sci. 3, 169 (2008)
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(UNU Press, Tokyo, 2010), in press
Teaching Old Disciplines New Tricks:
Sustainable Engineering Education 5
Carolyn S. Mattick and Braden R. Allenby
Abstract
Engineering as a profession unquestionably contributes to the welfare of hu-
manity, yet it is becoming more and more evident that the standard engineering
curriculum, a product of the post-World War II era, is no longer optimal for the
globally competitive, entrepreneurial firms of the knowledge economy. Further,
as engineered systems become more widespread and increasingly coupled with
cultural and natural systems, the impacts of new technologies become more
unpredictable. Engineering in such a complex and rapidly changing environ-
ment requires engineers that are increasingly sophisticated with respect to the
challenges of sustainability and complex adaptive systems. Thus, an educational
system appropriate for the Anthropocene (the “Age of the Human”) is one that
builds adaptive capacity into the curriculum itself as well as its graduates. This
chapter suggests that a framework – a sustainable engineering method – might
facilitate the evolution of engineering education and constitute a structure for
imparting competencies to students that will prove valuable and relevant in the
twenty-first century. Though it cannot address all issues surrounding engineering
education and is therefore not a comprehensive solution, it is meant to serve as
a reference for educators as they conscientiously design each curriculum to meet
the needs of students, their future employers, and the world at large.
C.S. Mattick () B.R. Allenby

Center for Earth Systems Engineering and Management, School of Sustainable Engineering and
the Built Environment, Arizona State University, Tempe, AZ, USA
e-mail: cmattick@asu.edu; Braden.Allenby@asu.edu

DOI 10.1007/978-1-4020-8939-8 114,
68 C.S. Mattick and B.R. Allenby
It is not the strongest of the species that survives, nor the most
intelligent that survives. It is the one that is the most adaptable
to change.
Charles Darwin
Nothing is permanent except change.

Heraclitus of Ephesus
Engineering is a powerful societal force. As engineers conceive and create the built
environment, they inevitably influence social and environmental change. However, a
number of groups and individuals have recently expressed concern that engineers do
not sufficiently understand the context and implications of their work and that both
engineering practice and engineering education have failed to adapt to the needs of
a world that is growing in both population and complexity (National Academy of
Engineering 2005).
In this chapter, it is not assumed that engineering and its curriculum are failing or
need to be “fixed” in any way. On the contrary, modern life in developed economies
provides daily reminders that engineers are competent and responsible: Aircraft take
off and land safely; potable drinking water is readily available; communication
networks are fast and reliable. Engineering is among the somewhat unfortunate
professions that go unnoticed if done well. Attention is paid to it primarily when
mistakes are made – or when the public becomes disillusioned with the products (or
unintended consequences) of engineered systems.
That said, while engineering and its professional preparation may be adequate for
the moment (though some dispute this), there is always room for improvement. The
goals and paths to improvement are often elusive, however, and that is the topic of
this chapter. Hence it will provide an overview of some of the criticisms of existing
curricula followed by a discussion of calls for more sustainable engineering practice.
Throughout the text, a single framework – a sustainable engineering method – will
be offered as an example of one possible path toward a curriculum that meets the
needs of a complex and changing world. The goal of this engineering method is to
instill several competencies in students, which will be discussed below. Ultimately,
the framework remains one of many possible solutions and is itself merely a
preliminary concept. Moreover, the focus on incremental improvement presented
in this chapter does not obviate the possibility that radical rethinking of engineering
education may be necessary and desirable (Allenby 2011).
1 Calls for Reform in Undergraduate Engineering Education
The engineering curriculum as it stands today is largely the product of increased

federal funds for science after World War II. As universities hired more professors
5 Teaching Old Disciplines New Tricks: Sustainable Engineering Education 69
to conduct research and teach, the number of practicing engineers on the faculty
dwindled. Simultaneously, classes that stressed engineering science, theory, and
mathematics replaced the design-oriented courses of the 1940s and before (Lattuca
et al. 2006). The legacy of this transition is ambiguity as to whether universities
are “creating practicing engineers, or pre-professional engineering talent” (Yunhe
2010, p. 118). That is, depending on the school, engineering professors may be
primarily focused on research and not able to provide the examples and coaching
that a professional engineer would.
This may be the reason that most engineers today undergo two phases of
education: undergraduate study followed by apprenticeship. The undergraduate
experience is well known for teaching “the basics” underlying the practice of
engineering. Then, upon graduation, students generally enter into an apprenticeship
or mentoring relationship where they learn about the practice of engineering: design
processes, industry best practices, how to communicate with clients, etc. In some
cases, this apprenticeship may be formal and defined as in graduate school and
some companies. In other cases, young engineers may simply take a job where they
learn company expectations, methods, and technologies from a manager, through
corporate training, or on an ad hoc basis. Whatever form it takes, the value of this
largely unspoken and implicit tradition is underscored by the Professional Engineer
licensing process, which requires 4 years of engineering practice, typically under the
supervision of a licensed engineer (National Council of Examiners for Engineering
and Surveying n.d.).
This model might have worked in the mid-twentieth century when engineers
stayed at one company for their entire careers, industrial employers could afford
such an investment, and when what was expected to be learned on the job was
elaboration of skills and knowledge already learned by the student. Today, however,
a combination of accelerated turnover, increasing international competition, and
rapidly changing technology has rendered that paradigm obsolete. Today’s more
nimble and entrepreneurial firms need graduates who already have professional
skills and can hit the ground running (Kennedy 2006). Further, employers want
well-rounded engineers; they repeatedly emphasize the need to instill good com-
munication abilities, as well as more traditional business skills such as teamwork,
project management, leadership, decision making, and assertiveness (Finley 2005;
Fischbach 2008). They additionally indicate that engineers of the future will need
to foster innovation and be able to manage teams in a global context (Finley 2005;
Kennedy 2006). Many of these necessary skills and capabilities are currently not
taught well either by firms or by engineering schools. Moreover, to the extent that
the skills that are missing are not elaborative, but fundamental – the ability to write
well, for example – on the job training is simply inadequate. Good communication
skills are a product of years of education, not simply a module of a corporate training
program.
So even though apprenticeships are unquestionably valuable, and some on-the-
job training will be unavoidable due to technologies, processes, and expectations
unique to each firm, this economic environment has presented an opportunity, even
necessity, for engineering education to adapt. Thus, in the last decade, a number
of groups have called for reformation if not transformation of the engineering
curriculum, based in part on the changing needs of the workplace (Grasso and
Burkins 2010; Sheppard et al. 2009). Among their recommendations are the
introduction of problem- or project-based learning, the hiring of professors of
practice as instructors, limited-term appointments (i.e., the elimination of tenure)
for engineering faculty, and the development of closer relationships between
engineering schools and industry. Others are calling for a more sweeping redesign
of engineering education. The National Academy of Engineering has suggested
that the engineering undergraduate degree should become a liberal arts degree (a
“preengineering” or “engineer in training” degree), with the master’s degree con-
stituting the professional degree, similar to medicine or law (National Academy of
Engineering 2005). Indeed, it is likely that programs will experiment with multiple
strategies as they revamp their engineering programs. It is against this background
that one possible seed of a methodology for the professional engineering degree is
presented.
1.1 Thinking Like an Engineer
At the end of the nineteenth century, law schools transitioned from away from a
lecture-textbook method of teaching and took up the case method, requiring students
to take a more active engagement in classes (Stein 1981). Some view this as an
evolution away from teaching laws per sé and instead “teach[ing] students how
to think like lawyers” (Grasso and Martinelli 2010, pp. 14–15). Whether or not
physical laws are analogous to social laws is a matter for debate. Nonetheless,
if students are going to enter the workplace “ready to engineer” (Crawley et al.
2007, p. 6), then the challenge for engineering programs in the twenty-first century
is to impart the fundamental technical knowledge and skills of their discipline while
simultaneously instilling the processes of the discipline. That is, teach students how
to think like engineers – and, given the time and resource constraints on engineering
education as an undergraduate program, winnow the traditional curriculum to make
sure this can happen.
Although the ABET Engineering Criteria 2000 standards have resulted in
some positive changes (Lattuca et al. 2006), inertia and opposition to curricular
innovation mean that most coursework is still limited primarily to solving well-
defined problems through the application of specific techniques covered in a lecture
and assigned reading (Duderstadt 2010). This has the ultimate effect of creating
knowledge silos that are unconnected to each other and are difficult to transfer to
the real world. Courses requiring design and synthesis are currently in the minority
and may constitute a solution that is both too little and too late.
University of Illinois professor David E. Goldberg (2010) has observed students
struggling with seven skills when presented with a real-world senior design project
from sponsoring industrial firms. These include the ability to ask questions in order
to fully understand the problem and its boundaries, the ability to label the design
challenges and associated technology (this may come from a fundamental ignorance
of technology despite a demonstrated competence in science and mathematics), the
ability to model problems quantitatively (above and beyond routine engineering
calculations), the ability to decompose design challenges into smaller subproblems
that are more easily solved, the ability to gather relevant data via simple experiments
or library visits, the ability to generate ideas and visualize solutions, and the
ability to communicate solutions – both verbally and in writing. He suggests that
“the basics” of engineering should be reconsidered and perhaps retooled to make
thinking skills “more central to the engineering canon” (Goldberg 2010, p. 149).
James Duderstadt, University of Michigan President Emeritus agrees, stating,
“Clearly those intellectual activities associated with engineering design – problem
formulation, synthesis, creativity, and innovation – should be infused throughout
the curriculum,” and adds, “This will require a sharp departure from conventional
classroom pedagogy and solitary learning methods” (Duderstadt 2010, p. 28). Thus,
just as there is an intellectual divide between engineering students and practicing
professionals, there is a gulf between existing engineering curricula and those that
would promote integration of knowledge and holistic engineering skills (Grasso and
Martinelli 2010). The introduction of an engineering method as a central theme
in engineering education might be a first step in bridging both distances. In fact,
many firms utilize a basic engineering design process. Teaching engineering within
a similar framework could ease the transition from student to professional. Within
universities, an engineering method could become the scaffold into which existing
courses fit. That is, a course on basic kinematics could be expressed as providing
modeling and analysis tools whereas a design course would incorporate all steps
of the method. As the curriculum evolved, a larger subset of the method could be
introduced into more courses.
One final benefit afforded by an engineering method is that it provides a
process through which other important skills may be incorporated. Among these
are teamwork, communication, creativity, problem definition, lifelong learning, and
an active understanding of stakeholder values. The latter three warrant additional
discussion.
1.1.1 Problem Definition

As discussed above, much of engineering education involves the repeated working
of story problems for which the answers may be found in the back of the book.
This approach may provide students with a basis for problem-solving, but does not
begin to prepare them for problem-defining, “one of the most difficult phases of any
engineering project” (Grasso et al. 2010, p. 161). Yet, done well, identification of
the root problem or client goals can result in elegant and innovative solutions that
save time, money, and natural resources. To illustrate the point, consider the case of
Stockholm’s traffic. Stockholm consists of 14 main islands connected by 57 bridges.
In order to facilitate increasing transit into and out of the city, Stockholm approached
IBM with the possibility of adding another bridge. Traditionally, the problem would
have been defined as, “the built infrastructure is insufficient to support vehicle traffic
flow.” However, working together, Stockholm and IBM redefined the problem as,
“how can more people be moved into and out of the city while simultaneously
reducing traffic jams?” As a result of this change in perspective, a “tax and drive”
system was implemented that had the effect of reducing congestion and pollution,
and increasing public transportation ridership (Grasso and Martinelli 2010).
Problem formulation has been called the phase “where technological skill meets
the uniquely societal demands of restricted budgets, regulatory frameworks, public-
private collaboration complexity, public safety impact, historical context, and public
understanding” (Grasso et al. 2010, p. 161). Therefore, regardless of the specific
engineering method used, great emphasis should be placed on problem definition in
engineering schools.
1.1.2 Lifelong Learning

There is an old saying that, when you go to work, you will use exactly 5% of what
you learned in school, but you never know which 5% so you have to learn it all. The
problem is that a 4-year degree allows insufficient time to cover the ground from
which the critical 5% will emerge. Hence, in a full engineering curriculum, many
may see an unacceptable tradeoff between teaching specialized knowledge in the
classroom, and focusing on thinking skills. This is understandable but may be more
appropriate for an environment where information progresses slowly and engineers
spend their entire careers with one firm (Christ 2010). However, in the current
knowledge economy, information is increasing exponentially, is readily available,
and students are likely to have multiple jobs if not multiple careers (Christ 2010).
This is not to suggest that math skills and free body diagrams should not be a part of
the curriculum, but specialized knowledge in specific disciplines quickly becomes
antiquated, and relying on the state-of-the-art analytical tools of today will not serve
them well 20, if not 5, years from graduation (Christ 2010). This raises the difficult
possibility that much of the current curriculum may be increasingly obsolete, but
that many professors may be in a poor position to understand that.
More valuable is the ability to know when learning is required, how to approach
the learning, and how to synthesize and apply cross-disciplinary information to the
task at hand. Hence the challenge for educators is to provide students not with
a foundation of knowledge, but with “the foundation for a lifetime of continuous
learning” (Duderstadt 2010, p. 30). Twenty-first century engineers must master the
ability to “learn how to learn” (Gallegos 2010).
1.1.3 Cultures, Stakeholders, and Values

Engineering could be thought of as the application of science in service to society.
This is a relevant definition for a number of reasons. At a primary level is the
distinction between science and engineering. Even though scientists and engineers
may work in similar subject areas, scientists strive for objective observation whereas
engineers impact the world and, as such, operate in a realm of values (Koshland
2010). Though professional codes of ethics repeatedly underscore a commitment
to the public welfare (Florman 1994), and engineers tend to be very ethical people
(Allenby 2012), a failure to recognize that not all groups have values that match
his or her own – nor even each other’s – could result in anger, resentment, project
delays, or worse. The engineer should therefore seek out and respect the input of
stakeholders, while realizing that even the stakeholders may not agree. Balancing
conflicting values and requirements is a difficult task, but a project that conflicts
with stakeholder values will not be successful (Allenby 2012).
At a social level, in order to serve cultural groups well, engineers should
seek to understand them. In short, the application of science has the potential to
greatly improve the welfare of people, “but such technological interventions will
not succeed if they are applied in the absence of cultural or social understanding”
(Koshland 2010, p. 58). A solution that does not meet the needs of a culture will not
be used and will therefore be a waste of resources.
2 Sustainable Engineering
Because the dynamics of natural systems are becoming increasingly dominated

by the activities of the human species, some scientists are now referring to the
current geological period as the Anthropocene, or the Age of the Human (Allenby
2011). In response, more and more, client requirements are calling for sustainability
of engineered solutions. Even if they do not, many professional engineering
organizations have added environmental and sustainability considerations to their
codes of ethics, compelling their members to incorporate such considerations into
design specifications. This is not as straightforward as it seems. Like values, the
definition of sustainability varies from person to person and it falls to the engineer
to translate those, often abstract, ideals into solutions that actually work in the
real world (Allenby 2011). Furthermore, the goals of economic feasibility, social
desirability, and environmental preservation (the three pillars of sustainability) are
inherently in tension. Yet as the population and the impact of technology grows,
the need for engineers who can manage these conflicting goals becomes equally
pressing.
2.1 A Systems Approach
Sustainable engineering requires a systems approach to analysis and design (Allen

et al. 2008). More specifically, a sustainable approach would define not just one set
of boundaries encompassing the system of interest, but multiple sets of boundaries
describing different levels of integration and influence (Allen et al. 2008). As shown
in Fig. 5.1, these would range from the micro, or subsystem, level and extend beyond
the “traditional engineering sphere of influence” to consider the impact of a new
technology on society at large (Allen et al. 2008, p. 8).
Social Impacts
Operating Environment
(e.g., dispersed communities)
Infrastructure Technologies
• Built Infrastructure (e.g., roadways)
• Supply Infrastructure (e.g., electrical grid)
Automobile System
• Manufacture • Use • Recycle
Automobile
Subsystems
(e.g., motor, batteries) Economic
Impacts
Local scale Global scale
Environmental
Impacts
Fig. 5.1 Example of multiple system boundaries for an electric automobile design. The layers are
interconnected; changes made at one level affect all others (Based on: Graedel and Allenby 1998)
As an example, consider the concept of electric automobiles. At the subsys-

tem level, lifecycle impacts of nontraditional parts such as batteries should be
considered, including the availability of required minerals such as lithium. How
would a surge in demand of these resources impact the global markets? At the
infrastructure level, the engineer should consider what impact additional loads
would have on the electrical grid, as well as the need to add charging stations in
parking lots of offices and shopping centers. Finally, at the level of the operating
environment, what impacts might electric vehicles have on human behavior? Would
the perception of owning a “green” automobile encourage individuals to drive more?
Would the relatively short range of these cars encourage people to live closer to their
workplaces?
Although they may not currently be prepared for the task, the growing interest
in sustainable engineering has tasked engineers with a responsibility for the broader
social, economic, and environmental implications of their designs. Otherwise said,
good engineering can no longer merely provide a technological solution to an
immediate problem; it must challenge itself to consider the larger context, and long-
term implications, of the design (Gallegos 2010).
2.2 Complexity and Risk
Just as the layers in Fig. 5.1 are interdependent, they are also coupled with external
social, technological, and natural systems. The complex interactions between these
systems can result in emergent behaviors that are difficult to predict but can lead to
serious consequences (Allenby et al. 2009). For example, the expanded production
and use of corn-based ethanol for transportation in the United States in 2007
and 2008 resulted in higher food prices, followed by political instability abroad
(Allenby et al. 2009). Thus new technologies, being so integrated into the fabric
of society, have both positive and negative impacts, as well, often, as unintended
consequences. While engineers cannot be expected to be omniscient, they remain
in the best position to consider system-wide impacts and implications. Very often,
when deployed on a large scale – perhaps to a global population of seven billion
people – solutions to today’s problems create new problems tomorrow. Therefore,
as part of the normal design process, scenario projection may be employed as one
possible means to anticipate unintended consequences so they can be addressed as
part of the design (Wise 2010).
3 Toward a Sustainable Engineering Method
Calls for engineering reform suggest the need to introduce an engineering method
into undergraduate education but this also provides an ideal framework in which to
incorporate sustainability principles. The outline of one such method is presented
below and is based on a system engineering methodology provided by Wise (2010,
p. 233). However, the development of a method appropriate for a specific curriculum
is at the discretion of each individual school and represents a good opportunity to
collaborate with industry, government, and professional engineering organizations
(Donofrio et al. 2010).
Step 1. Analyze customer requirements. This step should entail asking questions
of the client in order to understand their expectations. Moreover, stakeholder
input should be actively sought and their values should be understood. In some
cases, there will be opposing viewpoints, consider why do these exist and how
can conflict be managed. Time should be spent researching the history of the
culture, the geographical, and or the issue to be addressed.
Step 2. Define the problem. Do the customer requirements address the actual
problem? Are there alternative solutions?
Step 3. Plan the technical effort. Define the boundaries of the system of interest.
Identify other systems integrated or coupled with the system of interest and
define other boundaries defining larger spheres of influence. Given these coupled
systems, identify potential risks associated with the project.
Step 4. Define potential solutions and conduct trade studies. Identify design
challenges and conduct research regarding solutions. Brainstorm to generate
high-level design ideas. Consider the alternatives in a systemic context and
evaluate social implications as well as lifecycle economic and environmental
costs. Develop scenarios to highlight possible unintended consequences at micro-

and macroscales.
Step 5. Optimize and evaluate alternatives. Further define and evaluate risks;
address unintended consequences.
Step 6. Design. If necessary, break the system into subsystems. Develop models
as necessary.
Step 7. Verify that requirements were met.
Step 8. Communicate the design to stakeholders. Prepare a comprehensive and
easy-to-understand written report and verbal presentation.
4 Summary
Engineering as a profession unquestionably contributes to the welfare of humanity.

But as engineered systems become more widespread and increasingly coupled with
cultural and natural systems, the impacts of new technologies become similarly
unpredictable. Engineering in such a complex and rapidly changing environment
requires engineers that are increasingly sophisticated with respect to the challenges
of sustainability and complex adaptive systems. The current educational paradigm
was appropriate for the world of 60 years ago. An educational system appropriate for
today is one that builds adaptive capacity into the curriculum itself and its students.
In short, education itself should be a complex adaptive system.
This chapter has suggested that a sustainable engineering method might provide
a framework for evolution and suggests a number of competencies that may prove
valuable to engineers as they create the twenty-first century world. This is, of course,
only a partial solution. Though it will be no easy task, it is up to educators to
conscientiously adapt each curriculum to the needs of students and their future
employers.
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Youth Encounter on Sustainability:
A Transdisciplinary, Multicultural, and 6
Immersive Education Program
Michelle Grant
Abstract
Tangible approaches to multi- and transdisciplinary teaching and learning are
gaining significance as the world becomes aware of the importance of education
in equipping society with the skills to address global challenges. The Youth
Encounter on Sustainability (YES) has been successfully running for 10 years
and provides a proven approach to solution-oriented, multi- and transdisciplinary
sustainability education for university level-students. To date, 1,200 young
leaders from over 110 different countries have been trained in the program and
form the active YES Alumni network.
This chapter presents the unique framework, approaches pedagogical method-
ologies and learning objectives that lie behind the YES program, and shows how
they have been implemented in various contexts. Furthermore, it explores how
the knowledge and skills acquired by the participants of the program equip and
inspire them to take the lead in addressing global challenges.
1 Background
In the year 2000, the Alliance for Global Sustainability (AGS) started an initiative,
under the title “Youth Encounter on Sustainability (YES),” to carry out 2-week
academic short courses to build the capacity of university students to address the
challenges of sustainable development. The aim was to bring together students from
all over the world to discuss, debate, and share diverse cultural and disciplinary
experiences. A key learning objective was for the students to plan their own visions
of a sustainable world and to explore their roles as emerging leaders.
A pilot version of the course was launched in Braunwald, a small alpine village in
Switzerland, during the summer of 2000. The course brought together 28 upper level
M. Grant
ACTIS (Activating Talent in Sustainability), Zurich, Switzerland

DOI 10.1007/978-1-4020-8939-8 94,
80 M. Grant
undergraduate and graduate-level university students from 24 different countries

to discuss “Sustainable Development and Agenda 21.” The aims of the program
were:
• To expose future leaders from diverse backgrounds to content that integrated
disciplinary specific insights into an extended frame of reference
• To sensitize them to the complex interconnectedness of systems and the relevance
of this for understanding global challenges
• To be a pioneer and experimental resource for university representatives promot-
ing sustainability-oriented teaching within and across university disciplines
• To design and deliver courses outside of the traditional curricula of the current
university structure
Following the success of the pilot YES program, two 17-day courses were
held the next summer, with each course involving 40 participants from approxi-
mately 25 different countries and as many different disciplines. At that time the
program brought together a majority of participants from the technical sciences
and engineering and exposed them to solution approaches at the interface of
science, policymaking, civil society, and the economic sector. The course has since
developed into a truly multidisciplinary program that brings together participants
from all fields of study.
To date, 35 international YES courses have been held around the world, in
Switzerland, Japan, Kenya, Costa Rica, Slovakia, Austria, Australia, and Serbia.
The courses outside of Switzerland are held in partnership with organizations
and institutions from that region, for example, the United Nations Environment
Programme (UNEP) in Kenya or INCAE Business School and CATIE (Tropical
Agriculture Research and Higher Education Centre) in Costa Rica. A total of 1,200
university students between the ages of 21 and 32 have been trained in the program,
representing over 110 different countries.
In addition, a series of special courses have been developed that delve deeper
into a focus topic within the sustainability agenda. These courses are targeted to
YES Alumni, to give them the opportunity to build on the knowledge and skills
developed in the basic courses, reconnect with colleagues in the YES Alumni net-
work, and provide them with additional practical training on project development,
management, and implementation. One such course has been delivered each year
since 2008, with each hosted in a unique location appropriate to the content focus.
This has been possible through close collaboration with organizations affiliated with
YES Alumni that act as a local partner. The following courses have been held
to date:
2008: “Water and Sustainability,” Sinai Desert, Egypt
Local Partner: Wadi Environmental Science Centre (WESC)
2009: “Food Security and Sustainable Agriculture,” Stellenbosch, South Africa
Local Partner: University of Stellenbosch Sustainability Institute
2010: “Social Enterprise for Sustainable Development,” Armenia, Colombia
Local Partner: AVINA
6 Youth Encounter on Sustainability 81
Until 2009, the YES courses were operated by the AGS through ETHsustainabil-
ity, the Center for Sustainability at the Swiss Federal Institute of Technology (ETH)
Zurich. In 2009, a specially created organization called ACTIS – Activating Talent
in Sustainability – was given leadership for running the course, though collaboration
with the AGS partner schools to deliver the program continues.
2 The Challenge: Leadership for a New Way of Living
We live in a time when over half of the world’s population is under 25 years of age
(UNFPA 2009). Of this youthful population, those fortunate enough to receive a
university-level education will be the leaders of tomorrow who will be tasked with
finding solutions to the polycrises currently facing the world. Unfortunately, the
majority of university education programs are still grounded in monodisciplinary
teaching that rarely bridges the gap between theory and practice. In short, most
universities are not preparing today’s youth to be tomorrow’s leaders.
As a product of the current system, many students believe that higher learning is
a relatively passive process where they are simply consumers and not also producers
(Ovens et al. 2011). In order to foster real leadership capacity, students must
be challenged to work collaboratively while also being independently motivated
learners (ibid.). Furthermore, in the current, system individuals are trained to focus
primarily on personal gain and career prospects, with little emphasis on the goal of
ensuring a humane future for all within the ecological limits of the planet. Instead,
learning is focused within specific disciplines and individuals are encouraged to
become increasingly specialized in a particular field. Through this process, students
lose the connection to larger issues and lack the skills to make linkages between
systems and design appropriate solutions that take into account social, cultural,
economic, policy, technological, and environmental questions.
3 YES as the Solution
The YES courses were developed to address the deficiencies in higher education
systems around the world to nurture leaders who have the skills and knowledge to
address global challenges and develop appropriate solutions. As it is an ongoing
process to mainstream Education for Sustainable Development (ESD) into institu-
tions of higher learning, the YES program aims to provide an alternative during this
transitory process, focusing on students in the tertiary stages of their education.
The importance of university-level students as stakeholders in the sustainable
development debate is well established. As tomorrow’s leaders and decision makers,
they will be the ones who must live and deal with the impacts of choices made
by previous generations and who have to chart the course for a more sustain-
able way of living. At this level of education, the students are well placed to make
82 M. Grant
MISSION:
Equip Young Leaders to Address Global Challenges
KNOWLEDGE CORE SKILLS VALUES
Cross disciplinary Critical Thinking Fostering and ethical

understanding of Future Visioning and moral framework
society and Creativity that reorients
environment and the Collaboration individuals and
challenges at the Systems Thinking societies towards
interface. Transferring sustainable lifestyles.
Knowledge to Action
Unique social, cultural and natural learning environment

World class faculty and facilitators
Carefully selected group of young leaders
Fig. 6.1 ESD model applied in the YES program
connections and begin to understand the world from a systems thinking perspective.
Furthermore, this is a very important time in an individual’s life where they make
important decisions about their future careers and directions. For this reason, the
YES courses have always focused on university-level students or recent graduates
as the target market.
The YES course implements the principles of Education for Sustainable Devel-
opment (ESD) through a unique model. ESD differs from conventional environ-
mental education in that it further addresses complex social issues, such as the
links between environmental quality, human equality, human rights, peace, and
the underpinning politics (Fien et al. 2004). Furthermore, development toward a
more sustainable society entails conceptually planning for new forms of future
living where every citizen has the necessary knowledge, understanding, skills, and
values for a productive and rewarding life in an educated, just, and open society
(Baud 2004). Thus, ESD must develop competencies for people to deal with highly
complex, ill-defined problems with a high degree of uncertainty. In order to address
this, the ESD model utilized in the YES program addresses three fundamental tiers,
as illustrated in Fig. 6.1.
The first tier of the model (Knowledge) addresses the need to establish a
cross-disciplinary knowledge base of our society and the environment, which
many students do not receive during their university education. This includes
an understanding of the natural sciences, technology, politics, economics, social
sciences, and the humanities, organized around sustainability concepts and issues.
An emphasis is placed on making connections to real-life situations and on the
complexity and interactions within and between natural and social systems rather
than the teaching of monodisciplinary knowledge.
The quest for sustainability demands alternative approaches where people are
engaged in new ways of seeing, thinking, learning, and working (Tilbury 2003). The
second tier of the model (Core Skills) highlights the need for ESD to nurture certain
core skills, such as the ability to think critically and systemically, to communicate
effectively across disciplinary and cultural boundaries, to cooperate and work in
partnership with others, and to move from awareness and knowledge to action.
Arguably the most challenging, yet most important, aspect of ESD is the need to
foster a moral and ethical set of values to reorient individuals and societies toward
more sustainable lifestyles. This aspect is addressed in the third tier of the model
– values. Although closely tied to culturally specific traditions, beliefs, and social
normative systems, we can identify a number of important values that are relevant
to sustainability throughout the global community. These include a respect for
human rights, the natural environment, democracy, peace and nonviolence, equity
(both intra- and intergenerational), biological and cultural diversity, and social and
economic justice. Innovative didactical and pedagogical methodologies are required
to address this aspect of ESD that consider the basic psychological assumption that
behavioral change can only be induced when the learning process involves both
cognitive and emotional elements.
4 Implementing the Model
The entire YES course has been developed around a series of guiding principles,
which are considered key to achieving the goals of the program. These include:
• Creating a long-term impact on personal and professional lives of participants
• Targeting young leaders with demonstrated capacity to be change makers
• Creating a platform that is multicultural, multidisciplinary, and collaborative
• Having a solution-oriented approach
• Creating a solid alumni network for continued support
• Offering opportunities for continued learning and support
• Delivering immersive and intensive programs
• Maintaining content at a high academic level
• Integrating social, cultural, and creative elements
In order to implement the theoretical ESD model of the YES course within the
guidelines of these principles, three aspects have been given particular attention:
firstly the content framework, secondly the pedagogical approach, and thirdly the
course setting and logistical components.
5 Content Framework
In terms of the content framework, the YES course is set up under the um-
brella theme of “Living for 10 Billion people by 2050” and is structured in
four modules. These modules complement each other and are based on the
84 M. Grant
Basic YES Framework Living for 10 Billion people
Sustainable Development: an Ecological-Social Concept
Natural Systems Human Systems

• Climate • Social, Political & Economic Systems
• Earth Systems • Psycho-Social Needs: Behaviour and

Consumption, Education, Social
• Biodiversity Relationships
Physical Needs
• Energy and Materials
• Nutrition and Health
• Living Space
Institutional
Economy Sector
Drivers
Social-
Civil Society
National and International Governmental Institutions
Fig. 6.2 YES program content framework
framework shown in Fig. 6.2. The methodological approach of the YES course
is based on a gradual progression of thinking, proposing, and working out prac-
tical solutions to guide humanity toward a sustainable future. To realize this
goal, throughout each module students develop a basic understanding of the
key concepts, examine the potential goals relating to SD at local, regional, and
global levels; and think about possible solutions to reach these goals. Social
drivers play a pivotal role in the realization of solutions, and for this reason, the
course takes an integrative approach to look at the role of three core “social-
institutional drivers” – the economic and private sector; civil society; and local,
national, and international governance as crosscutting themes for each module (see
Fig. 6.2).
6 Pedagogical Approach
The pedagogical approaches utilized in the YES program engage participants in a

variety of lectures, student presentations, poster sessions, simulation games, and
small-group and plenary discussions with an interdisciplinary and international
faculty and facilitation team. In addition to these approaches, the course also
includes evening lectures and informal discussion sessions with invited guests and
experts, cultural events, field trips, artistic and creative activities with a professional
artist, and small-group case study and project work. These differing methodologies
seek to engage the students through a holistic approach involving both cognitive and
emotional learning processes that encourage creativity and new styles of problem
solving. An important focus of the program is to facilitate processes whereby the
students themselves contribute to and drive the learning process. In this manner, they
are encouraged to become self-motivated learners while learning from the diverse
experience and backgrounds of the other members of the participant group.
Within different modules of the course, students are required to work in
small multicultural and multidisciplinary groups to address challenging, real-world
problems, for which there is no single or simple solution. In working together
to investigate the problem and formulate a solution, the students must cross
disciplinary boundaries and play roles that differ from their traditional ones. In this
manner, instructors facilitate, rather than teach, and students are encouraged and
given tools to become self-directed learners (Lipson 2006). For the duration of the
course, participants work in a project group on one large case study, culminating in a
final report and presentation to the plenary at the end of the course. In recent courses,
this has involved the students looking into one particular issue covered in the
program modules and developing a concrete initiative to address the challenge. The
initiative could be project based or involve establishing an organization; however,
the focus was on a tangible activity that the students can continue to develop and
implement when they finished the YES course. Coaching is also provided around
project development, implementation, and fund-raising.
Another important component of the course is the inclusion of practical activities
such as workshops, field trips, and role-playing. In the energy and materials module,
for example, the students participate in a hands-on ecodesign workshop where they
calculate energy consumption in various stages of a product’s life cycle and then
work on improving the design and production process in order to minimize the
ecological footprint. When possible, this is conducted in partnership with a company
located locally, and a field trip is arranged where participants can see the production
process firsthand and then present their recommendations to the management.
A professional artist joins the group for the duration of the course to encourage
back reflection on their experience in the course and to help participants process the
course content. The artist guides the students in painting and drawing activities in
small groups to reflect on their cognitive and emotional growth and transformation
during the program. Over the duration of the course, the participants work together
to produce a mural which helps them process their experiences in the program and
how it has shaped their conceptualization of sustainable development.
7 Course Setting and Logistical Components
Over the 10 years that the YES course has been running, the organizers have
identified a number of critical aspects for the success of the program, as outlined
below.
86 M. Grant
7.1 Diverse Disciplinary Backgrounds
Each YES course is truly multidisciplinary. A typical group of participants would

include around 35 students from 20 different disciplines, such as Engineering, Law,
Medicine, Journalism, Economics, Business, Environmental Science, Chemistry,
Anthropology, Psychology, and Development Studies. It is an aim of the YES
organizers every year to involve students from a large variety of disciplines so as
to take advantage of their different perspectives and skills and allow for a truly
multidisciplinary dialogue. In this way, participants learn to see challenges from
different perspectives and are encouraged to take a broader systems approach to
problem solving. Prereading material is made available and a preassignment is
allocated to ensure that the participants are well prepared and on similar levels of
understanding before the course.
7.2 Diverse Cultural Backgrounds
Each YES course includes participants from, on average, 27 different countries. The
participants are grounded in a wide spectrum of cultures, ethnic backgrounds, and
religions. The YES approach has always been to encourage this cultural diversity
and provide a platform through which understanding and mutual respect may
flourish.
7.3 Avoidance of Financial Discrimination
The difficulties of the poor of our planet are a significant part of sustainable
development concerns, and the YES organizers give special attention to helping
students lacking financial resources. The approach is to look at each individual
case so as to offer opportunities to students from poor countries but also to
those who may face financial difficulties as citizens of wealthier nations. The
aim is for each participant to contribute something as part of the total fee. The
participation fee includes all food, accommodation, local transport, and activi-
ties for the duration of the program. Participants fund their own international
travel.
7.4 Gender Equality
The first priority of the YES organizers is to select a group of participants based on
merit and leadership capacity. A wide variety of criteria are used in the selection
process including educational, extracurricular, and professional experience and
demonstrated leadership capacity. At the same time, the organizers aim to create a
participant group that is disciplinary and culturally diverse. In addition, the selection
process aims at keeping a balance between male and female participants.
7.5 Promoting Action
YES students are certainly capable of formulating theoretical analyses and reports,
but they are not limited to this. The YES team addresses this potential in its
participants during the course by involving them in practical exercises, introducing
them to existing alumni initiatives and start-ups, and offering them support as
members of the alumni network (now over 1,200 in number) to initiate activities
themselves following the course.
7.6 Faculty Involvement
A diverse group of faculty taking part in YES is as important as a diverse group of

students. The YES faculty are top-level academics from the four partner universities
of the Alliance for Global Sustainability (AGS). Over the years, faculty members
from other universities and organizations (e.g., INCAE in Costa Rica; Humboldt
University in Berlin, Germany; TU Vienna; International Water Center, Australia;
UNDP, UN Habitat, and UNEP in Nairobi among many more) have been brought in
to give input on their areas of expertise as well as their perspectives on sustainability
from different knowledge fields.
7.7 Participation of Guest Speakers
Discussions with guest speakers are an important feature of YES. Experts in-
volved in sustainable development from governments, media, business, NGOs, and
academia are invited to engage in dialogue with the participants in an open and
participatory format.
7.8 Inspiring Natural Setting
The physical location where the course takes place contributes significantly to the
educational experience. The YES course locations have included the Swiss Alps,
Mt Fuji in Japan, the countryside surrounding historic Bratislava in Slovakia, the
Rift Valley in Kenya, an ecovillage in South Africa, the Sinai Desert in Egypt,
and the coffee-growing region of Colombia. Each of these locations combines
unique natural and man-made settings and provides opportunities for outdoor
activities in connection to the content of the course. An ideal environment for a
holistic educational experience is one that encourages attentiveness and reflection
through group interaction and personal activities, promoting the development of a
collective feeling of a need for action. Having students live and work together in an
isolated and inspiring environment plays an important role in building a connected
community of dedicated leaders.
88 M. Grant
8 Outcomes
Most programs I wouldn’t consider life changing – I would consider YES an exception.
YES Student, August 2006 Course
The true success of the YES program is demonstrated through the outcomes from
the course and the pool of alumni, currently numbering 1,200 individuals in 110
countries. Through its unique approach, the YES course makes participants feel
they are a part of a global community, committed to addressing the challenges of
sustainable development. Too often, youth working in these fields feel marginalized
and like they are dealing with enormous and complex global issues in isolation. The
YES experience makes them feel a member of a community of youth around the
world from many different cultures and disciplines who can support one another to
continue and strengthen their endeavors.
Evaluations that have been conducted by ETHsustainability and ACTIS with
alumni after their completion of the course have demonstrated a wider impact of
the YES program. Many participants redirected their professional and personal lives
after attending the course, for instance, by starting sustainability-related programs
at their own universities, completely changing their career paths toward issues of
sustainable development, becoming more involved in ESD, integrating sustainable
practices and concepts into their projects, and by trying to reduce their own
ecological footprints.
In addition, alumni have gone on to create their own projects and organizations
as a direct result of the course. A recent survey (ACTIS 2011) identified that
approximately 40% of alumni have gone on to start their own organizations or
projects after the course. For example, the highly successful “myclimate” (see www.
myclimate.org) was started by a group of YES Alumni students based at ETH
Zurich in 2002. Focusing on CO2 compensation for air travel in the voluntary
market, the group has now become an industry leader. They have now expanded
their operations into climate-neutral companies, events, and products, including
large-scale events such as the 2006 FIFA World Cup and the World Economic
Forum in Davos.
Another notable initiative is the “Latin American Forest Policies and Research”
project initiated by a group of YES Alumni, through an organization they estab-
lished, called the “International Student Initiative for Action on Climate Change
(ISIACC).” This group has dedicated itself to researching and developing policy
recommendations for governments across Latin America, which aim to address the
issue of avoided deforestation and climate change. The group had great success with
policies being adopted in Mexico, Colombia, and high-level policy negotiations
carried out in Brazil. The group is currently in the process of legally establishing
local chapters across the region to further their activities.
These few examples of the many actions of the large pool of YES Alumni
students are testament to the success of the ESD approach taken in the YES course
to build up the capacity of the next generation of decision makers to address global
challenges. This group of individuals is an exceptional resource of committed agents
of change, and there is currently a focus on efforts to leverage this talent pool.
A social networking platform has been launched as a formal means for the members
of the alumni to communicate and collaborate around the world.
Additionally, ACTIS has developed a suite of special courses for YES Alumni
that offer participants an opportunity to deepen their knowledge and practical
experience in a particular focus area, gain training on project management and
implementation, and further develop their leadership skills. Such courses have
been held on water and sustainability (Sinai Desert, Egypt), food security and
sustainable agriculture (Stellenbosh Ecolodge, South Africa), and social enterprise
for sustainable development (El Eje Cafetero, Colombia).
Participants are selected into the program based on a number of criteria, including
leadership capacity. The course further strengthens this capacity and also provides
the individual participants with access to a global network of like-minded peers,
which opens up further work and education opportunities. The 2011 survey of YES
Alumni (ACTIS 2011) identified that approximately 43% of alumni have gone on
to hold leadership positions such as CEO, Founder, Director, or Manager in diverse
organizations.
9 Conclusion
The Youth Encounter on Sustainability (YES) has been a resounding success, but
it is just the beginning. The concepts of ESD must be integrated into teaching and
learning at all levels if we are to develop the capacity to address the challenges
we face as a global community. ESD must not become a specialized discipline in
itself, but must be diffused into our educational practices in schools, universities,
and all learning institutions. It is, in the end, simply effective education that fosters
the capacity for individuals to be responsible world citizens.
References
ACTIS Global Survey of YES Alumni, Research & Analysis: Rodrigo Santos (2011)
R. Baud, ‘Y.E.S. – student education in sustainability’ public education in a knowledge society:
creativity, content, and delivery mechanisms. Delhi sustainable development summit, New
Delhi, February 2004
J. Fien, R. Guevara, J. Lang, J. Malone, Australian country report UNESCO-NIER regional
seminar on Policy, Research and Capacity Building for Education Innovation for Sustainable
Development, ESCO Australian National Commission. Education for sustainable development,
Tokyo (2004)
A. Lipson, Project Based Learning Literature Review (MIT Teaching and Learning Laboratory,
MIT, Cambridge, 2006)
P. Ovens, F. Wells, P. Wallis, C. Hawkins, Developing Inquiry for Learning: Reflecting Collab-
orative Ways to Learn How to Learn in Higher Education (Paperback) (Routledge, London
2011)
D. Tilbury, Emerging issues in education for sustainable development, in Education for Sustainable
Development in Nepal: Views and Vision ed. by B.B. Bhandari, O. Abe (IGES, Kanagawa,
2003), pp.29–40
UNFPA, Factsheet: young people and times of change (2009), http://www.unfpa.org/public/home/
factsheets/young people
Transdisciplinary Approaches to
Engineering R&D: Importance of 7
Understanding Values and Culture
Alan Colin Brent
Abstract
The emerging classification of Sustainability-oriented Innovation Systems places
an emphasis on the social elements of change, as well as the technological. How-
ever, sustainability-oriented problems are too vast for one person or discipline
to comprehend; thus people tend to want to collaborate, meaning they form
teams. As a further extension to address sustainability-oriented problems, there
is an increasing emphasis on transdisciplinary research and development (R&D)
efforts, whereby coproduction transgresses boundaries, and science becomes
visible before it becomes certain. To reach the objectives of transdisciplinary
R&D efforts will require two key concepts: the gathering of information from
experts, namely, knowledge transfer; and making connections between them,
namely, knowledge integration. Nevertheless, challenges have been noted in
terms of academic tribes that impede teamwork, and, importantly, the lack of
combined thought and action in R&D. This chapter explores the collaboration,
between disciplines, that has been described as the means of meeting the
requirements of transdiscplinary R&D to identify, structure, analyze, and deal
with specific problems in such a way that it can: grasp the complexity of
problems; take into account the diversity of life-world and scientific perceptions
of problems; link abstract and case-specific knowledge; and develop knowledge
and practices that promote what is perceived to be the common good. However,
the latter brings into question how values and culture influence collaboration
and thus transdisciplinary R&D efforts. The chapter subsequently builds on an
introduced conceptual framework to understand how the values and culture of
individuals in a transdisciplinary R&D team, as well as those of the organization,
A.C. Brent
Centre for Renewable and Sustainable Energy Studies, Faculty of Engineering and the School of
Public Leadership, Faculty of Economic and Management Sciences, Stellenbosch University,
Stellenbosch, South Africa
e-mail: acb@sun.ac.za

DOI 10.1007/978-1-4020-8939-8 90,
92 A.C. Brent
determine the potential success or failure of the R&D effort. A case study in the
bio-energy field is used as basis. The R&D project, which spanned over 3 years
in South Africa, required a transdisciplinary team of engineers and scientists of
various fields to collaborate with stakeholders outside the R&D team. The case
emphasizes that the lack of engineering disciplines to recognize, understand, and
incorporate values and culture into R&D practices will lead to project failure;
pre-empting and managing expectations of social change (often) far outweigh
the necessity for technological change. A number of recommendations are thus
made to improve sustainable engineering R&D practices.
1 Introduction
It is now well understood that the dominant systemic features of the current global
economic system are unsustainable (Soderbaum 2009; Swilling 2010). Numerous
indicators show economic activities to be direct causes of global instabilities,
including, among others, climate change, resource depletion, and ecosystem and
habitat destruction (UNEP 2010). The increasing need for economic system tran-
sitions toward more sustainable trajectories is evident and a pressing concern for
decision- and policy-makers worldwide (Elzen et al. 2004). Many private and public
sectors, thus, now pursue the potential opportunities offered by the global “green
economy” (UNEP 2011). These sustainable transitions in the economic system
would necessitate appropriate (engineering) research and development (R&D)
efforts that are transdisciplinary in nature; such efforts require knowledge co-
creation with societal participants that are intrinsically involved with real-world
complex problems that require solutions (Regeer and Bunders 2009). However, from
a sustainability perspective it would seem that current R&D efforts are (often) not
focused on, or well organized for, real societal needs to address the problems of
sustainable development (Brent and Swilling 2011). Specifically, engineering R&D
practitioners now need to understand how values and culture influence collaboration
and (potentially) impede transdisciplinary R&D efforts. This chapter intends to
deepen this understanding by applying a conceptual framework, which has been
developed to analyze the influence of values and culture on R&D projects, to a case
study relating to engineered bio-energy options for rural areas in South Africa.
2 R&D and Sustainability-Oriented Innovation Systems
Innovation is viewed as a key driver of economic progress. Conversely, the greater

economic system in itself, to a large extent, determines the trajectory of innovation.
Furthermore, the conceptual understanding of innovation, and hence its application,
is diversified by theoretical heterogeneity. This is due to a plethora of theoretical
understandings stemming from different epistemic origins and varying user contexts
(Peneder 2010).
7 Transdisciplinary Approaches to Engineering R&D 93
Fig. 7.1 Representation of the concept of decoupling (Source: UNEP 2009)
The dominant view of innovation over the past two decades relates to techno-
logical progress, competitiveness, and economic growth (Acs 2000; Coenen and
Lopez 2010). This strong tradition stems from an era where resource constraints,
and ecological and social pressures were not as apparent as they are today.
Environmental pressures and social inequalities are precisely the reason that narrow
understandings of innovation, and innovation systems, are being challenged to
include alternative, wider and more suitable conceptions (Lundvall et al. 2009).
The agglomeration of several and aligned incremental or radical innovations is thus
required that results in system innovation and, at a macro level, a national system of
innovation (NSI), which is increasingly supported as a capable avenue for achieving
sustainable economic growth (Stamm et al. 2009), or “decoupling” (see Fig. 7.1).
Where transitioning toward sustainable development is concerned, the innovation
literature (Geels 2002; Smith et al. 2010) places much emphasis on the multi-level
perspective (MLP) as a theoretical framework for understanding the dynamics of
this transition.
The MLP has been criticized for its select focus on (physical) technology
and the exclusive focus on the emergence of system innovation within niche
environments. Although the MLP provides a valuable framework for the integration
of a variety of theoretical perspectives on innovation and evolutionary economics, it
can be improved upon. Nevertheless, the MLP framework accommodates two useful
levels, namely: the socio-technical landscape, or exogenous context, that brings
about pressure upon the socio-technical regime, consisting of policy, regulation,
technology, industry, science and culture; and socio-technical niche innovations, or
small networks of actors, which support the introduction of novel ideas, concepts,
products, and processes (Peter and Swilling 2011). This notion fits into an emerging
classification of Sustainability-oriented Innovation Systems (SoIS) that places an
emphasis on the social elements of change, as well as the technological (Elzen
et al. 2004; Stamm et al. 2009), thereby providing for a more vibrant culture of
innovation. Such a SoIS, in turn, then requires a different, concerted approach to
R&D to address sustainability-oriented problems that are identified in the NSI with
the transition to a green economy.
94 A.C. Brent
3 The Requirement for Transdisciplinary R&D Projects
Aasen et al. (2010) describe the development of R&D practices, and highlight
that, since the 1990s, R&D has shifted its focus based on an increasing recog-
nition that the practices need to be more oriented toward strategic goals (of
society) and the production of relevant knowledge (Hessels and van Lente 2008).
The concept of “Mode 2” knowledge production was then introduced to denote
“knowledge produced in the context of application, by so-called transdisciplinary
collaborations” (Hessels and van Lente 2008). Such coproduction efforts transgress
boundaries (see Fig. 7.2), and science becomes visible before it becomes cer-
tain (Collins and Evans 2002). In “Mode 2” (see Table 7.1), the distinction
between basic and applied R&D is no longer relevant, and the overall objective
is to respond to perceived needs for new applications, involving the necessity of
taking into account the different requirements, values, and demands of collab-
orating partners (in society). R&D teams are then guided by societal concerns,
rather than being driven by techno-scientific possibilities with vague promises
(see Fig. 7.3); thus, there is an increasing emphasis on transdisciplinary R&D
projects.
society
science
discipline
knowledge
production
society
science
discipline
knowledge
production
Fig. 7.2 Transdisciplinary R&D projects transgress boundaries (Source: Brent and Swilling 2011)
Table 7.1 The distinction between “Mode 1” and “Mode 2” knowledge production (Source:
Aasen et al. 2010)
Mode 1 Mode 2
Academic context Context of application
Disciplinary Transdisciplinary
Homogeneity Heterogeneity
Autonomy Reflexivity/social accountability
Traditional quality control (peer review) Novel quality control
Exploring possibilities Searching of options
Science push Society pull
Inward orientation Outward orientation
Soc
Soc
Soc
Soc R&D
Soc Soc
R&D
R&D
Soc
R&D R&D
Fig. 7.3 The R&D shift from a techno-scientific orientation to that of societal concerns (Source:
Voß 2009)
To reach the objectives of transdisciplinary R&D, projects will require two

key concepts (Carlson 2007): the gathering of information from experts, namely,
knowledge transfer; and making connections between them, namely, knowledge
integration. The latter is the creative extension of knowledge transfer and occurs
when there is a convergence of different knowledge – from different sources –
and within this convergence, solutions are found that transcend the boundaries
of specific disciplines. The convergence occurs through collaboration by forming
R&D teams that include nonscientific (or engineering) participants from real-world
problem contexts (Nortje 2011). Nevertheless, when considering the necessity of
larger transdiscplinary R&D projects to be inclusive of all stakeholders, challenges
have been noted in terms of academic tribes that impede teamwork (Sillitoe 2004),
and, importantly, the lack of combined thought and action in R&D management
(Quinlan and Scogings 2004).
This chapter explores, through a case study in the bio-energy sector, the
collaboration, between disciplines and stakeholders, that has been described as the
96 A.C. Brent
means of meeting the requirements of transdiscplinary R&D to identify, structure,

analyze, and deal with specific problems in such a way that it can (Pohl and Hirsch
Hadorn 2008):
1. Grasp the complexity of problems
2. Take into account the diversity of life-world and scientific perceptions of
problems
3. Link abstract and case-specific knowledge
4. Develop knowledge and practices that promote what is perceived to be the
common good
The latter, especially, emphasizes the importance for engineering R&D practi-
tioners to understand how values and culture influence collaboration and (poten-
tially) impede transdisciplinary R&D efforts.
4 Conceptual Framework to Understand the Influence of

Values and Culture in Transdisciplinary R&D Efforts
This chapter utilizes a conceptual framework that was derived to analyze the effect
of values and culture in transdisciplinary R&D efforts. The framework, which is
summarized in Fig. 7.4 and described in greater detail elsewhere (Brent and Swilling
2011), highlights, for the engineering R&D practitioner, the complexity in the R&D
process (Voß 2009):
1. R&D processes should refer to real-world problems, which involves the chal-
lenge of translating nonscientific questions into issues that can be addressed
scientifically, and taking knowledge from outside the realm of science into
account.
2. Researchers participate in “social experiments” and thus face the challenge of
taking into account the attitudes, beliefs, notions and perceptions, interests,
and capabilities of persons and groups within society whereby nonscientific
knowledge and normative aspects are integrated into the R&D process.
In terms of the latter, a dynamic environment for continuous experimenting
and learning must be allowed whereby transdisciplinary R&D efforts then adhere
to the principles of learning organizations. Two issues emerge from the literature
(Williams 2008) as important to support the building blocks of learning organiza-
tions, namely:
1. Organizational structure. Lipshitz et al. (2002) look to roles and procedures
that enable organizational members to collect and analyze data, and Reger and
von Wichert-Nick (1997) argue that organizational learning needs hierarchy-free
communication and flow of information.
2. National culture and internal organizational culture. Lipshitz et al. (2002) found
that the cultural values that promote learning are transparency, integrity, issue
orientation, inquiry, and accountability. Similarly, Reger and von Wichert-Nick
(1997) emphasize that learning requires a culture of supporting teamwork, which
supports experimentation, and is open to risks.
Complexity of
R&D efforts
Systems
Number of
People relationships
Values and Number of
bellefs parts
Nonholonomic
Capabilities constralnts
Interests
Non- linearity
Asymmetry
Notions and
perceptions Hierarchy and
emergence
Communication
and control
Stakeholder culture / values:

Acceptance and expectance of power distribution
Focus on own priorities or that of the larger system
Tolerance for uncertainty and ambiguity
Organisational structure:
Time orientation
• Hierarchy-free
Activity orientation
communication and flow
Attitude towards human nature of information–
Conflict or harmonious seeking continuous exchange
between process, teams
Internal organisational culture: and the organisation as a
Transparency whole
Integrity Adequate • Joint question and goals
Issue orientation -joint planning and clear
process, team,
Inquiry / experimentation goals
organisation
Accountability • Establish good
communication
Team work management and
Open to risk mediation
• Equality of members/
stakeholders
Fig. 7.4 Conceptual framework to analyze the effect of values and culture in transdisciplinary
R&D efforts (Brent and Swilling 2011)
Cultural values are of key importance in terms of how stakeholders of a

transdisciplinary R&D effort may influence the adaptive learning, and subsequent
emergence, of the R&D effort. Cultural values, in turn, have been described in terms
of: acceptance and expectance of power distribution; focus on own priorities or
that of the larger system; tolerance for uncertainty and ambiguity; time orientation;
activity orientation; attitude toward human nature; and conflict or harmonious
seeking (Hofstede 2002; Das and Kumar 2010). An implicit assumption of the
theoretical notions of cultural values is that the variability across cultures is
dominated by different orientations and not the absence of any one particular
orientation. The conceptual framework thus assumes that while all of the variations
may be present in all cultures, the relative salience of such variations differs across
cultures.
Where different cultures, and values systems, need to collaborate toward a
common goal, good communication is essential. In a transdisciplinary R&D effort,
98 A.C. Brent
in particular, Roux et al. (2010) emphasize that, only once a proper understanding
(not necessarily agreement) of the various stakeholders’ contexts and perspectives,
basic trust, and a common language are achieved, are the stakeholders ready to
transform the knowledge that is produced at a disciplinary level to have meaning at
a pragmatic or normative level; and coproduce the new knowledge that transcends
disciplines and contributes to broader societal goals.
van Haaften (2003) emphasizes that the management of transdisciplinary R&D
efforts needs to acknowledge cultural biases and facilitate communication if the
common goals are to be achieved. Also, from an organization structure perspective,
as stated above, learning needs hierarchy-free communication and flow of informa-
tion (Reger and von Wichert-Nick 1997). Hollaender (2003) also argues that careful
planning and active management of communication and coordination are vital to the
success of transdisciplinary R&D projects. To this end, the conceptual framework
builds on the recommendations that were made by participants of transdisciplinary
R&D teams; these outcomes inform the requirements for organizational structure
in Fig. 7.4.
5 The BIOSSAM Case Study
Bio-energy, as an alternative energy option, can potentially contribute to a wider

range of economic, social, and environmental objectives, and facilitate sustainable
development. The assessment, management, and monitoring of the various bio-
energy development options are complex in nature and deliver varying benefits,
depending on the appropriateness of the implementation, management structure,
as well as the degree of uptake and adoption. Therefore, both public and private
sector policy-makers, decision-makers, and technology developers (at the local,
regional, and national levels) require robust methods to assess and manage proposed
bio-energy interventions. The response of the South African government was a
transdisciplinary R&D effort to develop and establish the Bio-energy Systems
Sustainability Assessment and Management (BIOSSAM) portal (Stafford and Brent
2010). The basis for the portal is an analytical approach that incorporates planning
for sustainability and the use of decision-support tools and modeling to assess
and manage the entire bio-energy value chain. It provides a complete assessment
of the costs and benefits of various bio-energy options and uses a participatory
process, which involves multi-stakeholder engagement coupled with expert and
public opinion, and transparency in the decision-making process. This facilitates
technology transfer and promotes stakeholder buy-in, thereby increasing the long-
term success of the bio-energy intervention. The increased understanding of the
bio-energy systems, gained through the BIOSSAM approach, can also help to
formulate supporting institutional arrangements and policies that can enable bio-
energy developments to improve livelihoods while facilitating a new green economy
and aiding a low carbon development path. The details of the BIOSSAM approach,
and associated methods, are described elsewhere (Stafford 2011), and illustrated
in Fig. 7.5.
Fig. 7.5 The analytical framework of BIOSSAM showing the cycle of active learning and R&D
for the assessment, management, and monitoring of bio-energy interventions (Source: Stafford
2011)
The BIOSSAM R&D effort was undertaken over a 3-year period from the second
quarter of 2008 to the first quarter of 2011. The research team comprised of over
ten individuals, through the different phases of the effort, from various disciplines,
including engineering, environmental, economic, social, and business sciences. A
specific case study was used as basis to develop the range of BIOSSAM methods,
which focused on the utilization of invasive alien plants (IAPs) on the Agulhas
Plains of the Western Cape Province of South Africa (see Fig. 7.6) to produce bio-
energy for different applications (Stafford 2011). The entity that was used to engage
the various stakeholders was the Agulhas Biodiversity Initiative, which, in turn,
comprises of business owners; commercial farmers; rural communities, including
subsistence farmers; and ecotourism entrepreneurs; among others.
5.1 Bio-energy and the Case of IAPs on the Agulhas Plains of

South Africa
Invasive alien plants (IAPs) are one of the greatest threats to plant and animal
biodiversity. Of the estimated 9,000 plants introduced into South Africa, 198
are currently classified as being invasive. It is estimated that these plants cover
100
Fig. 7.6 The location of the Agulhas Plains at the southern tip of Africa
A.C. Brent
about 10% of the country and the problem is growing at an exponential rate
(Stafford 2011).
IAPs result in a net loss of value amounting to some US$100 million per year to
the Cape Floristic Region (CFR) in the Western Cape Province of the country. This
includes significant costs due to the impact of IAPs on water resources (utilizing
7–13% of the available surface water) and the loss of income for the wild flower
and tourism industry. The cost of clearing IAPs represents a considerable burden,
and farmers are unlikely to clear IAPs due to financial reasons unless there are gains
from clearing their lands (such as aesthetic values) or appropriate incentives are
put in place (such as payment for ecosystem services). The flora of the CFR is
highly threatened and designated as a biodiversity conservation “hotspot.” The Cape
Action for People and the Environment (C.A.P.E.) Program unites government and
civil society in a strategy to conserve biodiversity, while creating benefits for all the
people of the CFR. The Agulhas Biodiversity Initiative (ABI) is a pilot landscape
initiative that builds on a partnership between South African National Parks and
Fauna and Flora International; the partnership was initiated in 2004.
The BIOSSAM intervention explored the opportunity to reduce the cost and
burdens of clearing IAPs by producing bio-energy, referred to as IAP2Energy.
Multi-stakeholder engagement and a process of planning for sustainability (see
Fig. 7.5) developed the vision, principles, criteria, and indicators that can be used to
guide the assessment and management of IAP2Energy-related projects. The vision
was established as:
Landowners, business, government, civil society and communities in the Agulhas Plains
area are working together to enable the sustainable production and use of green energy
derived from invasive alien plants to conserve biodiversity, restore the land, and promote
resilient and continuous livelihoods for the equitable benefit of all (Stafford 2011).
The top four issues or sustainability indicators that both stakeholders and the
R&D team considered most important were identified as:
1. Minimize impacts on natural ecosystems
2. Job creation
3. Skills development
4. Certainty of benefits to local people of the Agulhas Plains
A key aspect is the delicate balance between ensuring that the process is
economically feasible without being driven by market demands that would create
the dependency on IAPs and provide incentives for the farming of IAPs. IAPs are
considered a nonrenewable resource since the eradication of IAPs is the ultimate
objective that complies with government legislation so that the farming of IAPs
will not be permitted. In this IAP2Energy pre-feasibility assessment, the project
lifetime was 20 years in order to synchronize the IAP2Energy technology lifetime
with the proposed period of IAP biomass eradication (resource depletion). Four
areas on the Agulhas Plains were identified (to minimize transportation costs), and
the available IAP biomass stocks within these areas were estimated to have a total
energy content of 25TJ, which could generate 12MW of electricity and thereby
provide sufficient energy for at least 20,000 people over a 20-year period, about
102 A.C. Brent
half the people resident on the Agulhas Plains. This indicates a considerable bio-
energy potential and there are established commercial technologies available that
can generate valuable bio-energy products from these IAPs; examples of thermal
conversion process are given in Table 7.2.
The technology options were explored and developed into feasible scenarios
(see Fig. 7.7). The scenarios were scored and ranked using weighting values that
were determined by the stakeholders, using a Multi-Criteria Decision Analysis
(MCDA) technique, and performance data for the defined IAP2Energy scenarios,
using a life-cycle approach where the entire value chains (production to end use)
were analyzed. The most appropriate IAP2Energy scenarios (in order of preference)
were:
1. Compressed logs
2. Pyrolysis for charcoal
3. Gasification for electricity
4. Combustion for electricity
This choice was largely determined by the preference for localization and
resource efficiency in terms of minimizing impacts on natural ecosystems. The
smaller, modular technology approaches are localized, namely, using wood chips
directly in efficient combined heat and power stoves, and have the added benefits of
developing local skills and capacity in their manufacture, sales, and maintenance.
Changes in the practices of usage can greatly improve the overall efficiency, for
example, more efficient stoves and energy efficient appliances. All stakeholders,
Table 7.2 Available thermal processes to convert biomass to bio-energy

Conversion Intermediate Technology
technology Examples of fuels products End use status
Combustion Wood logs, chips Heat and steam Heat, electricity Commercial
and pellets, (steam turbine, (boilers and
agricultural stirling engine, steam
residues, chicken reciprocating steam turbines)
litter engine)
Gasification Wood chips and Heat and gas Heat (boiler), Demonstration/
pellets, agricultural electricity (engine, early
residues gas turbine, fuel commercial
cell, combined
cycles), transport
fuels (methanol,
hydrogen)
Pyrolysisa Wood chips and Pyrolysis Heat (boiler), Commercial
pellets, agricultural oil + by-products electricity (engine, (slow),
residues (product gas, char) turbine) demonstration
(fast)
a
Pyrolysis can be categorized as slow, intermediate, and fast
1. Compressed logs
Harvesting
Combustion in stove for cooking
and space-heating
(hot-water)
Hammer Mill Log
3-5mm chips Oven dry to extrusion
10% moisture
Short-haul
transport
2. Combustion to produce Electricity
Electricity for cooking, space-

heating, hot-water
lights, radio, TV etc.
Stack in 3. Gasification to produce Electricity

windrows
Air dry Electricity for cooking, space-
(50% To 30%) heating, hot-water
lights, radio, TV, fridge etc.
4. Slow Pyrolysis for Charcoal Briquettes

7 Transdisciplinary Approaches to Engineering R&D
Mobile chipper
Combustion in stove (or braai)
Ca 20-30mm
for cooking and space-heating
wood-chips
(hot-water)
Grinding
Carbonisation Oven-dry
Long-haul machine Briquette
making Briquettes
transport
5. Household combustion for Combined Heat and Power Combustion in stove for cooking
Hot-water and space-heating,
Basic electricity for 2-4 lights and
Cell- phone/radio
HARVESTING IAP2ENERGY FACTORY END-USE
Fig. 7.7 The IAP2Energy scenarios (1–5) showing the bio-energy value chain from IAP biomass harvesting to the end use of the bio-energy product (Source:
Stafford 2011)
103
104 A.C. Brent
therefore, recognized that the implementation strategy should more carefully con-
sider end user energy efficiency, preferences, and needs.
6 Reflections on the BIOSSAM Transdisciplinary R&D Effort
The R&D team was engaged, after completion of the IAP case study, to obtain some
insights in terms of how cultural values, and organizational structure, including
communication, affected the transdisciplinary R&D effort. The comments that were
received are summarized in Table 7.3 according to parameters of the conceptual
framework (of Fig. 7.4).
The R&D effort was very exploratory-oriented and therefore evolved, as a
project, over the 3 years. However, on reflection, the R&D team members felt
strongly that the project was not explicitly conceptualized from the outset as a
transdisciplinary R&D effort and communicated as such. The consequence was
that the transdisciplinarity of the R&D effort was not internalized by all the team
members and the organization. Values and culture subsequently influenced the
R&D effort, overall, in a negative way. In terms of the values and culture of
the stakeholders and team members, the most important parameters that must be
considered to improve the outcomes of transdisciplinary R&D efforts are:
1. Focusing on the priorities of the overall R&D effort, rather than sub-components
thereof, to encourage some cohesion and common purpose
2. Instilling a tolerance for uncertainty and ambiguity and thereby stimulate more
innovative thinking
3. Striking a balance between “doing” and “being” orientations, to ensure that the
R&D effort strives toward the common purpose
As to the values and culture of the organization, the most important parameters
that must be adhered to are transparency, accountability, teamwork, and, especially,
openness to taking risks. Because these issues were not addressed adequately, in the
BIOSSAM case, the team members, of the different work packages, easily retreated
to disciplinary domains, or comfort zones, rather than consciously engaging with
the transdisciplinary nature of the work of the project as a whole. To this end
it would be useful to have a scene-setting workshop at the beginning of the
project, with at least annual refreshers, where transdisciplinarity and integrative
thinking and focus are emphasized as the points of departure. This would include
engaging with the different world views and perspectives of each of the team
members, and the stakeholders. Being aware of these upfront, rather than to discover
them through conflict and contestation in the project work, would significantly
improve the productivity and outcomes of transdisciplinary R&D efforts. The case
thus emphasizes that the lack of engineering (and other) disciplines to recognize,
understand, and incorporate values and culture into R&D practices will lead to
project failure; pre-empting and managing expectations of social change (often) far
outweigh the necessity for technological change.
Table 7.3 Reflections on the outcomes of the BIOSSAM transdisciplinary R&D effort pertaining to the IAP2Energy case study on the Agulhas Plains of South
Africa
Positive
effect on
the R&D
Parameter effort? Reflection based on comments received from the R&D team members
Stakeholder values/culture:
Acceptance and expectance of Expectations, and acceptance, of power distribution had to change through the process, which caused
power distribution friction. For example, although the participating stakeholders and the R&D team members engaged on an
equal footing, which was experienced as overly positive, the situation did arise where the team leader had
to make judgments on taking the research forward, which was met with resistance, particularly if such
decisions were perceived to infringe on disciplinary discourse
Focus on own priorities or that of The dominant culture was that of fulfilling one’s own needs, which meant that the holistic vision and
the larger system goals of the larger system was difficult to achieve. Individual team members felt that it was extremely
difficult to influence the overall R&D process to encourage some cohesion and common purpose, despite
the logical necessity for doing so. Eventually they felt compelled to focus on their own priorities (and
deliverables) in isolation of the broader project goals

Tolerance for uncertainty and From the onset, the project did actually display itself as handling an “ill-defined” problem where clarity
ambiguity on many issues was identified in the course of the project life span. BIOSSAM portrayed itself as an
open-ended learning project where the ideas and thinking were not confined in a box but rather organized
in a way that it allowed thinking outside the box. Although there was acceptance of uncertainty and
ambiguity upfront, vague outcomes were not dealt with well, especially the stakeholders (from the
Agulhas Plains) that were seeking definite answers from the process and team members with strong
discipline orientation. Time frames and limitations on funding meant that uncertainty could not always be
indulged or explored. This may have hampered innovative thinking. The uncertainty grew toward the
latter stages of the project (rather than the opposite which should have been the case); the consequence
was a complete breakdown of tolerance among some of the team members
(continued)
105
106

Positive
effect on
the R&D
p
Time orientation The orientation of the BIOSSAM project was long-term from the outset. This is due to the understanding
that the actual impacts of the project would be felt after the formal project had ended, which was 3 years. All
parties could thus accept that the identified “solutions” would be medium- to long-term in nature
Activity orientation: “doing” or In the project as a whole there was very much a “doing” orientation – not enough time and attention to
“being” orientation reflection of the ultimate purpose of the tasks, namely, the “being” orientation. Differences of perceptions
between doing and being orientations were also experienced, with no clear characteristic associated with a
stakeholder type or an R&D team member type of participant. The consequence was many frustrations in the
larger group
Attitude toward human nature Initially, there was a general acceptance of human nature and its influence on the R&D process. However,
toward the end, there was a growing tendency, as perceived by some team members, in terms of individuals
retreating into the terrain of their own disciplines and being defensive about their domain/boundaries; thus,
reflecting human nature in terms of retreating into familiar/safe territory
Conflict or harmonious seeking Although there were strong opinions, especially between the (disciplinary) R&D team members, there was a
general sense that a harmony was to be found. Nevertheless, perhaps attributable to a lack of common
purpose and defensiveness about disciplinary territoriality, some members felt that there was a sense that
some team members held the “ultimate truth,” which prevailed as a negative aspect throughout the project
Internal organizational values/culture:
Transparency Some perceptions were that it was difficult, at times, to track what was happening through the R&D process,
with the formation of smaller teams to deal with specific aspects of the R&D effort. Thus, very little
communication occurred with no collaborative working within the team. Another issue that impacted on the
transparency of the project was the geographical split of the project team members that proved challenging,
although, at first, it was perceived to be of strategic advantage
A.C. Brent
p
Integrity In general it was felt that the organization had integrity, although, at times, project work with large teams
could lose this characteristic. This was not experienced to be an issue with this R&D effort in that the team
member perceived the management thereof to be executed with integrity. Thus, there was an underlying
commitment to finding common ground and purpose
p
Issue orientation All participants were able to concentrate on the issue at hand; there was clear communication about the
expectations and intentions of the BIOSSAM and opinions on the work that need to be done. There was also
communication on the budget when it did not correspond to the deliverables and a discussion among the
team on what action plans need to be done to correct the situation; and the progress and status report of the
project also kept the team informed and aware of what is on track and what needs intervention
p
Inquiry/experimentation All participants were eager to engage in an exploratory-type mode. However, overall the perception was that
the emotional commitment is developing slowly – there is still a fear of stepping fully into the
transdisciplinary way of working and thinking. Thus, there was a tendency to accommodate the changes
resulting from the new ideas, but at the same time keeping the overall goal of the project in mind
Accountability All participants accepted accountability of their respective contributions to the R&D effort. Nevertheless,
some observations were that the “stakeholders who were engaged in the IAP2Energy case study testing
process were drawn into a badly designed and truncated process that raised expectations and then they were
just left hanging.” So the project team obtained what they needed (to some extent) but the stakeholders
merely had information extracted from them and received nothing in return
Team work It was agreed that the organization attempts to instill teamwork that is multidisciplinary in nature, but, still,
scientists (and engineers) battle with teamwork unless the team members all have similar world views and
points of engagement.
Open to risk The organization is extremely risk-adverse, and this manifested in, especially, the R&D team members’
behaviors
(continued)
107
108

Positive
effect on
the R&D
Organizational structure:
Hierarchy-free communication The operational structure of the organization, particularly in terms of financial resource allocations, meant
that communication, in many instances, was not hierarchy-free. This, in turn, was not conducive to working
together in a spirit of cooperation and joint accountability, which led to delays in the R&D effort
Joint planning, including The R&D questions and goals were reasonably formulated in the larger group, but the planning was, at first,
questions and goals left to the team leader, and then occurred ad hoc in the smaller teams. This modus operandi was not
conducive to working together in a spirit of cooperation and joint accountability, which made the R&D
management process extremely challenging
Good management mediation The management tools and practices of R&D efforts are well established in the organization, but there were
differences in opinion as to their effectiveness. Unwillingness to learn or be exposed to different ways of
thinking and knowledge (risk aversion) and a lack of humility/flexibility, and defensiveness on the part of the
key team members including the technical project manager, caused serious conflict and damaged working
relationships
Equality of The organization structure was “flat-based” oriented. However, some members of the team perceived
members/stakeholders themselves to know more than the others, namely, to hold the “ultimate truth,” and so, especially during the
case study, there was much conflict, contestation, and judgment rather than collaboration on an equal footing
in an environment of mutual respect
A.C. Brent
7 Summary
The BIOSSAM case showed that, for a transdisciplinary R&D project to be

successful, there must be acceptance across the board that power dynamics will
change throughout the R&D effort. Furthermore, stakeholders and R&D team
members must be willing to relinquish their own priorities for the good of the
larger R&D effort, and be tolerant to uncertainty, ambiguity, and risk. The nature
of some disciplines is to be observant, while that of others is to get something
done; this difference in values and culture needs to be managed carefully. A
specific occurrence was the formation of smaller teams, especially disciplinary-
and problem-oriented, which made the management of these teams toward the
larger goal challenging. To this end, management with integrity plays a key role
to ensure openness and truthfulness of all participants in the R&D effort. From an
organizational structure perspective, communication channels remain a challenge,
and especially, the joint planning and formulation of R&D questions and goals,
which are vital for the success of transdisciplinary R&D efforts. Other R&D
management practices, methods, and tools appear to be secondary.
A key cultural aspect that emerged from the R&D effort was the crucial impor-
tance of attitudes. If the correct attitudes toward transdisciplinary are not instilled
upfront, and maintained throughout the R&D effort with sound communication
practices, then the effort will surely fail. This also places the responsibility for
project success on participating members, as stated by Swindoll (2006):
The longer I live, the more I realize the impact of attitude on life.
Attitude, to me, is more important than facts. It is more important than the past, than
education, than money, than circumstances, than failures, than successes, than what other
people think or say or do. It is more important than appearance, giftedness or skill. It will
make or break a company : : : a church : : : a home.
The remarkable thing is we have a choice every day regarding the attitude we will embrace
for that day. We cannot change our past : : : we cannot change the fact that people will act
in a certain way. We cannot change the inevitable. The only thing we can do is play on the
one string we have, and that is our attitude : : : I am convinced that life is 10% what happens
to me and 90% how I react to it.
And so it is with you : : : we are in charge of our attitudes.
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Section II
Water
Sustainable Water: Introduction
8
Keith R. Cooper
A systems engineering approach must be applied to solving the sustainability issues

dealing with the world’s water, food, and energy demands (see Fig. 8.1). The earth
must be looked at as a total system, which integrates these resources through
physical, biological, and social networks, which are constantly in flux. The other key
component is the economic factor, which unfortunately favors the rich and punishes
the poor when it comes to distribution of adequate safe water, food, and energy
resources. The public health issues and toxicological effects become critical when
water resources are impacted by environmental and/or anthropogenic activities.
Engineering and scientific innovations have made major advances in producing
potable water from seawater and gray water, but the demand and costs have limited
the adoption of these methods. In poorer communities, engineering solutions for
water treatment and power production must reflect the regional resources available
and the abilities of the local workforce to construct and maintain facilities.
The world’s water reserves must be managed as a total system which incorporates
sound policy decisions on a world-wide and regional basis. The current global
warming trend is placing additional stress on areas already precipitation poor, as
well as causing excessive flooding in other regions. Individual countries, sustainabil-
ity efforts have proven to be somewhat effective in local regions, but are ineffective
in protecting regional and shared world-wide resources. In order to solve such
complex issues and avoid the tragedy of the commons, international cooperation
on protecting environmental resources is essential. The world population growth
continues on a logarithmic rate and is disproportionally concentrated in countries
and regions where the demand will soon outstrip their water resources impacting
their food supply and creating public health concerns. Therefore, sustainable
engineering solutions must be appropriate for the society for which they are to be
used and maintained.
K.R. Cooper
Department of Biochemistry & Microbiology, Rutgers, The State University of NJ,
New Brunswick, New Jersey, USA
e-mail: cooper@aesop.rutgers.edu

DOI 10.1007/978-1-4020-8939-8 129,
116 K.R. Cooper
Population Growth
Agricultural Demands Demands
Potable
Climate Change Water
Supplies
Engineering &
Technology
Advances To
Industrial Demands Increase Available
Potable and Reuse
Water Supplies
Fig. 8.1 Impacting factors (red) that decrease freshwater supplies and engineering remedies
(green)
1 Cross-References
Fundamental Toxicology Methods and Resources for Assessing Water-related

Contamination
Groundwater Contamination: Role of Health Sciences in Tackling
Impact of New Technologies: How to Assess the Intended and Unintended Effects
of New Technologies?
Sustainable Water Management in Response to Global Changes
Chlorine Self-Production Plant Solution
for Effluent Water to be Used in Irrigation 9
in Gaza Strip
Andrea Micangeli, Nicola Iannuzzo, and Stefano Esposto
1 Description of the Application
Exploring technology for the environment and society is an essential activity within
the research applied in International cooperation.
Some important work has been done toward community-level disaster readiness
which ensures contingency plans are in place. This level of planning leads to more
applicable designs due to consideration of local knowledge and constraints prior to
a disaster event (Droste 1996; Foster 2000).
Greater disaster preparedness can therefore create the opportunity for longer-
term success of emergency interventions (Luff 2001a, b).
Generally speaking, “technology for self-reliance” refers to processes, structures,
and products aimed at developing a social pattern that still finds its basis in
technological principles, instruments, and models.
Self-reliance and access are two core issues in “technology for self-reliance”:
• Access (financial, social, and technical) is to be guaranteed to the public.
• Self-reliance is the result of the process through which effective capability and
social functionality have been developed.
Self-reliance means building productive social relationship instead of dependent
relationship. Self-reliance process must guarantee the ecological and social self-
reliance of its components.
The described project solves a problem and makes the beneficiary free from an
external support.
Differently, the project would fail because it could not create real development
but rather further dependency. Our aim was to increase sustainability, meaning the
autonomy of the project and its efficiency. This can be achieved first by identifying
the correct technical solution and shifting all possible costs to the start-up phase,
A. Micangeli () • N. Iannuzzo • S. Esposto

Interuniversity Research Centre for Sustainable Development, CIRPS – University of Rome
“Sapienza”, Rome, Italy
e-mail: andrea.micangeli@uniroma1.it; andrea.micangeli@gmail.com;
nicola.iannuzzo@gmail.com; stefanoesposto@gmail.com
DOI 10.1007/978-1-4020-8939-8 88,
118 A. Micangeli et al.
combined with external help that requires minimal running costs over the years and
can be maintained by the beneficiary (Esposto 2009).
Thereafter, the resources required during the life of the project should be
monitored to determine whether they are internal or external, with a preference for
internal resources that can be supplied by the community and/or local authority, i.e.,
Gaza Municipalities.
In order to survive, mankind must ensure that the ecosystem of which we are part
remains functional. This will require not only responsible use of natural resources
such as water, but also implementation of a wide range of measures that will allow
future generations to maintain their ability to cope with the ever-changing conditions
with which they will be faced.
CIRPS, the Interuniversity Research Center on Sustainable Development of
University of Rome “Sapienza,” has been working on supporting these two pillars.
In particular, the activities and the studies for International Cooperation run by the
CIRPS focus on:
• Small social environment
• No environment-impact energies
• Chlorine self production
• Disadvantaged work groups
• Permanent area of crisis or of social tension both urban and rura
Chlorine gives an additional disinfecting potential by the residual active chlorine,
an important factor to ensure tap water to be consistent within the quality standards
(Oussedik 2001; Porteous 1996; Semiat 2000).
A useful technology that can be applied is the on-site production of chlorine
through electrolysis (OSEC) (Esposto et al. 2004). Many NGOs in India, Asia, and
South America experimented this system in various villages (Lantagne et al. 2001).
It consists of a mature technology used in the private sector for chlorine production.
The only requirement for its proper functioning is common salt and electricity,
available in Gaza by the Grid or by Photovoltaic System. The maintenance of the
titanium electrodes is easy and many devices have the inverse-polarity system for
cleaning and avoiding scaling.
A difference in capital cost will be accepted by the external actors for the sake of
reaching a sustainable development level. All the options considered can guarantee
a supply of water comparable to the SPHERE standards or beyond (World Health
Organization 2011).
Possible problems related to presence of metals like excess of iron or nitrates in
the water are not considered (Esposto and ICRC 2009).
The Research Unit CIRPS offered a technical and scientific collaboration to the
NGO CRIC (Centro Regionale d’Intervento per la Cooperazione) for the project
“Improving living conditions of Bedouin communities living in Gaza Strip by
enhancing the economy of most vulnerable households and food security” (cod:
ECHO/-E/BUD/2007/02033).
Between the 7th and 14th of October 2008, CIRPS and Palestinian Hydrology
Group worked together in Umm Al-Nasser village in order to carry out the following
activities:
• Establishment of one grazing area in Umm Al-Nasser village
• Assistance in the installation of an On Site Electro Chlorination (OSEC) System
9 Chlorine Self-Production Plant Solution 119
• Training on OSEC system use and maintenance and water disinfection

• Awareness course on “Use of Water and Household Hygiene”
In particular, the following activities were performed:
• Establishment of the farm
• Construction of a Treated Waste Water Filtration System (TWWFS)
• Purchase and distribution of alfalfa seeds
• Supply and installation of OSEC system
• Water analysis
• Rehabilitation works for land
• Construction equipments of TWWFS
• Provision and installation of OSEC
• Materials and equipments for grazing area
The following risks were taken in consideration:
• Escalation of the conflict due to the increase of the Israeli military attacks and
internal clashes
• Increase of the conflict intensity with Israel
• Eretz crossing closure for expatriates, delaying in the implementation of the
activities
• Project time extension – increasing in the supporting costs
• Impossibility to access areas adjacent to the “Buffer Zone” due to the Israeli
Army jeopardizing action acts
• Lack of cooperation by Bedouin Associations, or communities
• Destruction of works and equipments by the Army after the military intervention
The technical mission was carried out by Andrea Micangeli, PhD, professor
on “Sustainable Development and International Cooperation” at University of
Rome “Sapienza.” The awareness course was carried out by Dr. Irene Costantini
(Linguistic and Cultural Mediation Degree) and Dr. Simona Fernandez (Political
Science Degree). Figure 9.1 shows a first uneasy approach to the technology that
required time and dialogue to be overpassed toward the final successful installation
(see also Fig. 9.2).
2 Achievements in Sustainable Engineering
The water treatment process includes sedimentation, pressurized filtration, and

disinfection by sodium hypochlorite produced on the spot. Many developing
communities require safe, inexpensive water treatment systems which are simple
to operate and require a minimum of power and chemical inputs. Chlorination
of water is the most widely used method in emergencies when an appropriate
terminal disinfection has to be ensured in order to prevent waterborne diseases
(Droste 1996).
It must be clearly stated that the objectives of CIRPS as an academic institution
are different from those of NGOs or other relief-dedicated agencies (e.g., Inter-
national Committee of the Red Cross (ICRC), military forces, and UN-umbrella
bodies). While the latter have different theoretical emergency relief capabilities to
bring aid to torn areas for longer-term goals, the aim of CIRPS is also the innovation
Fig. 9.1 First approach to the new technology
Fig. 9.2 Assembling the chlorine production system
and the improved efficiency of appropriate technologies with a view to improving

the degree of autonomy of the target community. Thus, for instance, the “rehabil-
itation” of a water pumping station means for CIRPS not only bringing it back to
proper operation, but also making it possible for the local community to manage it
continuously, including maintenance (Wilderer 2007; Iannuzzo et al. 2011).
As matter of fact, chlorine and its compounds have the following well-known
features:
• Effectiveness as oxidizing agent.
• Simplicity and rapidity in the measurement of the strength and concentration of
the chemical agent in water allowing a constant monitoring of the trial.
• Persistence of residuals (i.e., a residual concentration in treated water), providing
an important protection against recontamination.
The presence of a free chlorine residual of 0.2–0.5 mg/L in water ensures that
postdelivery contamination is minimized; this is particularly important in contin-
gency situations or in developing countries, when families buckets or containers for
water storage are not very clean.
Other treatments as ozonization and especially ultraviolet irradiation can be very
effective at the delivery point but leave no residual disinfection capacity.
The process of sodium hypochlorite electrochemical production in situ has
several advantages in supporting rural developing communities if compared with
processes such as chlorination by gaseous chlorine or concentrated hypochlorite
solution.
2.1 Hypochlorite Generation Problems and OSEC Solutions

in Gaza Strip
Hypochlorite generation solves some of the problems associated with the avail-
ability of imported products. Moreover, it allows to avoid the hazards in case
of accidents during transportation by trains and trucks, both those associated
with the storage of gaseous chlorine and those related to the handling of such
chemicals.
Commercial chlorine compounds, Ca(ClO)2 tablets, and NaOCl bleach are
characterized by high concentrations in order to reduce transport and storage costs;
particularly in case of high temperatures, the stability of the solution decreases as
the available chlorine content increases.
Hypochlorite generation overcomes the instability of commercial disinfectants,
since it has a lower chlorine concentration and is produced on a daily basis (Khelifa
et al. 2004; Khouzam 2000; Kraft et al. 1999).
Anyway, even though hypochlorite solutions are less hazardous than those
employing chlorine gases, utmost precaution should be adopted in order to avoid
contact with skin and to protect containers against physical damages, given the high
concentration of the solutions.
Before using active chlorine, the content should be checked due to the reduction
of strength occurring during the storage phase.
Installation of OSEC system means:
• Continuous supply of reliable disinfectant
• Increased autonomy for local population
• Employment of local skills for managing the process of chlorination
• Independence from foreign importation of chemical agents.
Then, the most appropriate system for the production of chlorine in an isolated
environment and emergency situation, such as the Gaza Strip, was the OSEC system
(MK4CM model), produced in Italy and assembled on site with the help of the local
partners (PHG and the Municipality of Umm Al-Nasser); villagers have been trained
in its use and maintenance.
3 Method and Approach
3.1 The Existing Water Treatment System (TWWFS) for Irrigation
The Treated Waste Water Filtration System (TWWFS) used until 2006 in the
community of Umm Al-Nasser is very simple and consists of few component parts
(see Fig. 9.3).
The water was extracted from the lake through a 20-m-long pipe and connected
to an electric centrifugal pump, prevalence of 30 m, capable of a range of more than
200 m3 /day. The suction head of the pipeline was abandoned on a raft, at a sufficient
depth to avoid any aspiration of sand. Furthermore, on the head a protective grating
was placed to avoid clogging due to bulk solids.
From the pump, the water was sent directly to the purification system, consisting
of two filters in series: the first a sand filter with a porosity made up of silica particles
with diameters ranging between 1.5 and 5 mm, the second a double plastic disk filter.
Once being filtered, water went through a PVC pipe about 800 feet long and 6 in.
in diameter to reach the fields to be irrigated.
The main pipe, located underground, was divided into many sub-pipelines,
located underground, from which there were pipes ending with a diameter of 16 mm
and discharging water into a basin of about 8 m2 . A plant diagram is shown in
Fig. 9.4. This water was available for irrigation.
3.2 The Water Quality Problems Related to the TWWFS Plant
The water coming out of this plant presented problems in terms of amount of
suspended solids and coliform bacteria, because no disinfection was provided in
the purification cycle.
Chemical and physical water analysis were made from 2003 to 2006 with a
frequency of three times per year. These tests showed a gradual worsening over time.
Table 9.1 shows the main parameters not covered in the international standards
which render the water unusable and hazardous to health: the 5-day biochemical
oxygen demand (BOD5) and chemical oxygen demand (BOD) tests are a measure
of the relative oxygen-depletion effect of a waste contaminant, the total suspended
solids (TSS) is the mass of dried solid remaining on the filter (Passino 1995).
As it can be seen the number of total fecal and E. coli coliforms, pathogen
indicators, have a very high value. Data concerning the chemical analysis of water
for the period from 2003 to 2006 show a deterioration of water quality mainly due
to the multiplication of colonies of coliform bacteria, which cannot be folded down
using a simple filtering system, as it is the case for BOD and suspended solids.
1: Treatment plant
9 Chlorine Self-Production Plant Solution
2: Effluent lake (3 Mm3)
Fig. 9.3 Umm Al-Nasser water treatment plant

123
20 metri
Lago Pompa Filtri
Terreno
800 metri
Fig. 9.4 Diagram of the TWWFS water treatment plant in the Umm Al-Nasser area
Table 9.1 Main water BOD5 10–100 mg O2 /L

quality parameters
COD From 65 to 303 mg O2 /L
TSS From 26 to 107 mg/L 10 mg/L
Coliforms 10 >1,000 cfu/100 mL
The water coming out from the plant, elusively treated by filtration, presented
problems in terms of suspended solids and coliform bacteria because no disinfection
was provided in the purification cycle. In fact, the plant was capable to remove
40–50% of BOD and 50–70% of total suspended solids.
3.3 The New Plant
In the framework of this project, a new area for grazing was defined and with the
technical contribution of CIRPS and PHG (Palestinian Hydrology Group) the water
treatment plant was renewed. Two new filters were installed and a chlorine self-
production plant was installed for an appropriate disinfection of the treated water to
be used in irrigation (Fig. 9.5).
An area of grassland of 35 Dunum was created on land belonging to the
Palestinian Authority, run by the Municipality of Umm Al-Nasser, divided into
blocks by 1 Dunum each and managed by 35 different families in the village. The
land was cultivated with alfalfa seeds and harvest collected twice a provided fodder
for animals at 10 days per block (see Fig. 9.6). The entire community has benefited
from the overall project.
Through the construction and renovation of the plant filtration it was possible to
filter up to 100 m3 per day and a new system for disinfection was added.
The device used is an OSEC (On Site Electro Chlorination) designed to provide
a solution of sodium hypochlorite (NaClO) in continuous mode from salt water.
Chlorination is necessary to reduce or destroy the presence of pathogens in the
Fig. 9.5 Chlorine injection in the aqueduct
Fig. 9.6 Alfalfa cultivation
water and the disinfection of the water with plain chlorine helps to permanently
standardize the sewage treated at healthy levels.
There is no impact of chlorination on the soil or the groundwater, because the
amount of brackish water required for the system is small (100 m3 /day) and can be
OSEC Device
Hypochlorite
transportation
Storage
20 metres
P.D.
Lake P.A. Filters

Hypochlorite input
Land
800 metres
Fig. 9.7 Diagram of the renewed water treatment plant in the Umm Al-Nasser area
stored in small tanks near the system. Water is electrolyzed to obtain completely
sodium hypochlorite and hydrogen, the first used in the disinfection process and the
second developed without impact on the slopes.
The release of sodium hypochlorite in the pipeline takes place through a metering
pump from a storage tank, located in the same environment of the filters.
For security reasons the OSEC device was placed in the Municipality, in a
suitable environment, making it necessary to transport the tanks of the solution.
A schematic diagram of the system taking into account the changes implemented
is shown in Fig. 9.7.
3.3.1 The OSEC Plant Features

The OSEC Plant (made by Gaia Research Company) has been assembled with the
help of the local partners (PHG and the Municipality of Umm Al-Nasser). This
unit operates in continuous flow mode generating an equivalent chlorine amount of
125 g/h. The machine produces sodium hypochlorite from a 3% solution of sodium
chloride and water, releasing hydrogen gas, thanks to a multi-step process, of which
the main one is the electrolysis of the solution. When sodium chloride is added in
water, it dissociates into cations according to this relation:
NaCl NaC C Cl

After the application of electric current to the electrodes begins the oxidation and
reduction, respectively, of:
2Cl Cl2 C 2e Anode .C/

2H2 O C 2e H2 C 2OH Cathode ./
Therefore, the overall reaction is:
2NaCl C 2H2 O 2NaOH C Cl2 C H2
Sodium, present near the cathode in the form of ion, binds to the hydroxyl group
(OH) to form sodium hydroxide (NaOH), which reacts with chlorine gas (Cl2 ) as
sodium hypochlorite.
So, at room temperature, the process occurring in the cell can be summarized
with the following expression:
2NaCl C H2 O NaOCl C NaCl C H2
Usually, this reaction is immediate and the development of chlorine gas is very
low. The hydrogen gas produced can be recovered in order to use it in one or more
fuel cells. The energy produced by such cells can be used to reduce the energy
consumption of the production of sodium hypochlorite or for other purposes.
The gas is ejected into the atmosphere in small quantities and the sodium
hypochlorite is pumped into a collection tank.
The output from the cells to the collector on top of the cell is fed to a sprinkler on
top of the cooling tower (see diagram in Fig.9.8). From there, the solution falls down
to the base of the tower and is cooled by an upward air flow from a blower. At the
base of the tower, a second pump feeds the hypochlorite solution (recirculation),
through a flow meter, back again to the electrolytic cell. This cooling action is
necessary considering that each cell dissipates approximately 250 W.
3.3.2 Layout and Operation of the Installed OSEC MK4CM

The OSEC MK4CM operates in continuous flow mode generating an equivalent
chlorine amount of not less than 125 g/h at a concentration of 6–7 g/L. The
chlorine is generated immediately each time the cell is electrically powered and is
continuously produced. This is an advantage with respect to a batch mode operation
because in case of electric power interruption the unit immediately interrupts the
chlorine production. By recovering of the electric power, the unit immediately starts
again to produce chlorine at the preset concentration of 6–7 g/L.
The OSEC MK4CM technical specifications are:
• Electrolytic cell equipped with DSA (Dimensionally Stable Anodes) electrodes
• Equivalent chlorine production: 100 g/h
• Brine composition: 3% sodium chloride (NaCl) solution in water
• Brine and hypochlorite solution flow rate: 22 L/h
128
GAIA RICERCHE - Firenze - Italy

1 BRINE TANK
2 BRINE FEED PUMP
3 ELECTROLYTIC CELL
4 FLOW METER 8
5 RECIRCULATING PUMP
6 COOLING TOWER
7 AIR INTAKE
8 HYDROGEN EXHAUST
9 ELECTRIC FAN
10 HYPOCHLORITE SOLUTION COLLECTOR
11 INJECTION PUMP 6
7
9
4
1 3
2 11
5 10
Schematic diagram of MK4CM osec chlorinator
Fig. 9.8 Layout of the chlorine production

A. Micangeli et al.
• Salt consumption: 0.66 Kg/h

• Brine storage capacity: 300 L
• Sodium hypochlorite solution storage capacity: 300 L
• Power supply: input 220–230 V a.c., single phase, output constant current (30 A)
• Total power input: 350 W
• Scale protection: polarity reversal of the electrolytic cells current every 1=2 h
• Dimensions: 7645110 cm (assembled); power supply cabinet: 332043 cm
• Weights: main unit 25 Kg, power supply 25 Kg
To operate the system, first, a brine solution is prepared in two brine preparation
tanks. Then, 220 L of clear water are poured into each tank adding 6.6 Kg of salt.
The use of two tanks permits the preparation of the brine in one tank, while the brine
in the other is being pumped into the electrolytic cell. Using the electric mixers, the
salt is completely dissolved. The solution produced in this way has a concentration
of 3% of sodium chloride. At this stage, the production of hypochlorite occurs. The
brine feeding pump sucks this solution pumping it into the electrolytic cell where it
is electrolyzed and converted to sodium hypochlorite.
As the power input to the electrolytic cell is approximately 500 W, part of this
energy is used to produce hypochlorite from chloride and part is dissipated by
heating the solution.
Therefore, the output from the electrolytic cell is recirculated through a forced
air cooling unit, keeping the solution at a temperature of 30–35ıC.
Finally, the hypochlorite solution feeds a storage tank ready to be used. A dosing
pump is installed on top of this tank to feed the hypochlorite solution into the water
to be treated.
Before using the hypochlorite produced, it is necessary to examine the residual
chlorine in order to set the appropriate dosage of hypochlorite into the pipe.
The chlorine concentration is measured semiquantitatively by visual comparison
of the color of the measurement solution with the color fields of a color disk (see
Fig. 9.9).
The amount of water that can be purified according to the desired concentration
of the free available chlorine (FAC) and to the amount of chlorine deliverable by the
chlorinator is calculated with the following formula:
1; 000
Amount of treated water (L/h) D amount of chlorine produced (g/h)
FAC.mg=L/
The release of sodium hypochlorite in the pipeline (Fig. 9.10), containing the
wastewater for field irrigation, is also done by the pump from a storage tank and
occurs in succession to the filter system.
The turbulent flow in pipes instauration means that the wastewater is filtered and
the disinfectant are mixed in a nearly uniform way: This mixture will be the final
solution of the system.
Chemical and physical water analysis were performed to test the efficiency of
the treatment plant, as shown in Table 9.2, demonstrating the correct operation of
disinfection.
130
Fig. 9.9 Chlorine concentration measurement

A. Micangeli et al.
HYPOCHLORITE
SOLUTION
OUTLET
DOSING PUMP
9 Chlorine Self-Production Plant Solution
THERE MOST BE ALWAYS A SPACE

BETWEEN PIPE END AND SOLUTION!!
HYPOCHLORITE
STORAGE TANK
Fig. 9.10 Release of chlorine in the pipeline (picture and outline made on site)
131
Table 9.2 Water quality analysis results

Samples with chlorination Samples without chlorination
Samples test 1 2 2 2
pH 7.14 7.31 7.4 7.3
EC (mS) 1,890 1,898 1,880 1,890
TDS 945 949 940 945
Total chloride (mg/L) 260 300 270 310
Free residual Cl (mg/L) 0.52 0.55 0.32 0.40
Fecal coliform- F.C/100 mL 50 57 2 * 102 2.2 * 102
2
Total coliform 90 87 2.7 * 10 2.5 * 102
3
E.coli 300 397 1.7 * 10 6.5 * 103
Helminth eggs Nil Nil Nil Nil
Nematode eggs Nil Nil Nil Nil
Listeria Nil Nil Nil Nil
Salmonellas Nil Nil Nil Nil
4 Main Challenges and Lessons Learned
4.1 OSEC Maintenance
The only maintenance necessary regards the formation of scale deposits (calcium
carbonate) in the electrolytic cell and on its outlet piping.
During electrolysis at the cathode, the calcium salts (bicarbonate and sulfate)
become insoluble (due to high pH) and precipitate forming a solid deposit on the
cathode. The polarity reversal produces a dissolution of this deposit (at the anode
the pH is acidic). In this way the electrode is maintained clean, but part of this
precipitate flows into the outlet piping of the electrolytic cell and, if in large quantity,
could cause a possible obstruction to the liquid flow.
The maintenance consists in checking the scale formation in the outlet pipes of
the electrolytic cell, which are transparent. To eliminate the scale there is a two-step
procedure:
1. The electrolytic cell power supply has to be turned off and, leaving the pumps
running, the whole system should be flushed with some unsalted water in order
to eliminate any hypochlorite solution in the system.
2. After this a 5% solution of hydrochloric acid (about 10 L) should be prepared
and flushed through the whole system until the scale deposits disappear. Before
being operated again, the system should be flushed with clean water and then
with some brine.
The frequency of this operation depends on the water hardness. With a medium
hardness of 8–15ıF (French degrees), the frequency could be once every 15 days–
1 month.
In case of hard to very hard water (15ı F to >30ı F), this operation becomes too
frequent and time consuming. In this case, it is suggested to install a commercial
water softener unit that eliminates any scale problem.
5 Environmental Communication About the Contribution
5.1 On-Site Course on the Use and Maintenance of the

Electro-Chlorination System and Water Disinfection
In the first part of the project, local technicians took an entry survey in order to test
their knowledge of chlorination and OSEC.
During the course, each piece of the unit was explained through theory and
practical examples on how to assemble the unit to make the technicians aware of
its complexity.
Once the unit was assembled, the first analysis results showed that the plant was
working properly.
Participants could see the plant working and various investigations on the treated
water and free residual chlorine were carried out.
The Team discussed with the beneficiaries on some technical specification such
as electrolytic cells, equivalent chlorine production, other chlorine concentrations,
brine composition and salt consumption, sodium hypochlorite storage, power
supply, and scale protection.
The Team discussed with the technicians and water managers about the OSEC’s
usage (Fig. 9.11).
The Team discussed OSEC Plant maintenance problems and organization of the
work to be done.
Then the participants were given time to answer specific questions. The techni-
cian took the impact text and SOTU test (Survey on technology users) at the end of
the lesson.
Fig. 9.11 Training course on maintenance

5.2 Awareness Course “Lecture on Use of Water in Agricultural

and in Household Hygiene”
The global access to water, underlying its importance, was showed to the 35
beneficiaries of the grazing area in Umm Al-Nasser village. The beneficiaries were
interviewed to understand the situation of water access in the Umm Al-Nasser
village. Some relevant pictures were showed to the public in order to introduce the
following questions:
• From where do you bring water? From which kind of sources? Who brings water?
• How much water do you use for domestic use?
• How much water do you use for drinking, eating or cooking?
• Where do you store water at home?
• Do you clean water tank? How many times in a week?
• How do you preserve water well or pipes?
• Do you think that certain diseases are caused by lack of water?
• Do you think that certain diseases are transmitted by dirty water?
• Are food cases utilized only for this purpose?
• Are water tanks utilized only for this purpose?
• Which kind of latrines are available?
• Where do you wash your clothes?
The main features for recognizing a drinking water were exposed to them:
• Chemical characteristic: rubbish contamination
• Physical characteristics: temperature and being without solid material
• Microbiological characteristics: fecal contamination
• Organoleptic characteristics: odorless and colorless
A certain kind of rudimental filters that people can easily build without any
technical tools or knowledge, such as sand filters, candle filters, cloth filters, and
porous stone filters, were introduced to them.
6 Summary and Outlook
The supply of water to population living in developing countries is one of the

challenges to increase the accessibility to the basic needs. All around the world,
many international organizations and nonprofit actors carry on projects to assist the
population in need. The main aim of these actors is to maximize the benefit of the
beneficiary with the project trying to give the most durable solution to a problem.
The best way to acquire a long-term effect is to guarantee, after the completion of
the project, a degree of independence from external assistance and a correct balance
in internal resources exploitation, caring gender issues (Fig. 9.12). Thanks to an
increased sustainability, the possibilities of a future of water delivery on the long-
term decrease, and a validation of the capital cost involved in the completion of the
project itself can be provided.
Fig. 9.12 Gender issue within chlorine production
In an emergency situation and closure as in the Gaza Strip, the self-production of

chlorine through the unit OSEC seemed to be the best way to disinfect water without
having to depend on the commerce of chlorine, which is currently impractical.
The OSEC system can be connected to the network or to an electric generator to
provide a solution of sodium hypochlorite (NaClO) in continuous mode from salt
water. Hypochlorite, when mixed with water to be purified, allows to obtain purified
water for 10,000 L/h (240 m3 /day) at a concentration of 1 mg/L. Salt water can be
taken from the sea and the Bedouin have been instructed on how to get chlorine and
mix it with water to purify it.
The irrigation water disinfected with chlorine to avoid contracting any infectious
waterborne diseases caused by microbes commonly found in the waste water and
chlorine is known to be effective in destroying a variety of bacteria, viruses, and
protozoa, including Salmonella, Shigella, and cholera Vibo.
The tests carried out in situ, dating back to 2008, dealing with the problem of
the presence of pathogenic organisms in wastewater, show how the problem of
contamination was passed excellently, reporting the values within the safety limits.
Acknowledgments
Special thanks for the technical support to:

Dr. Eng. Elisabetta Zappitelli
Dr. Eng. Emanuele Michelangeli
Sustainable Energy Systems s.a.
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A. Kraft, M. Stadelmann, M. Blaschke, D. Kreysig, B. Sandt, F. Schroèder, Electrochemical water
disinfection. J. Appl. Electrochem. 29, 861–868 (1999)
D. Lantagne, P. Oates, N. van Zyl, Point-of-use water filtration in rural Haiti (MIT Environmental
Engineering, MIT Media Lab Development by Design Conference, Cambridge, 2001), http://
www.thinkcycle.org. Accessed July, 2001.
S.M. Oussedik, Demineralization of brackish water at albien well “Aı̈n Sahara” for portable water
supply for touggourt city, Desalination 137(1–3), 103–111 (2001)
R. Luff, Oxfam Water Supply Scheme for Emergencies – Coagulation and Disinfection (Oxfam
Technical Manual, Oxfam Humanitarian Department, Oxford, UK, 2001a)
R. Luff, Oxfam Water Supply Scheme for Emergencies – Filtration, (Oxfam Technical Manual
2001, Oxfam Humanitarian Department, Oxford, UK, 2001b)
R. Passino, Manuale di conduzione degli impianti di depurazione delle acque (Zanichelli/ESAC,
Milano, 1995)
A. Porteous (ed.), Desalination technology. Dev. Bull. Electrochem. 12, 327–328 (1996)
R. Semiat, Water Int. 25, 54–65 (2000). Res. Bull. 10, l–10 (1993)
P.A. Wilderer, Sustainable water resource management: the science behind the scene. Sustain.
Sci. (2007). doi:10.1007/s11625–007–0022–0 Integrated Research System for Sustainability
Science and Springer (2007)
World Health Organization, Guidelines for Drinking-Water Quality, 4th edn. (World Health
Organization, Geneva, 2011) ISBN 978 92 4 154815 1
http://www.severntrentdenora.com
www.aquaclor.net
Fundamental Toxicology Methods and
Resources for Assessing Water-related 10
Contamination
Keith R. Cooper
Abstract
This chapter provides a brief overview of basic toxicological methods and
approaches which can be used by engineers in the field to make a rapid
environmental risk determination. In addition, Internet sites which deal with
specific contaminants, standard operating procedures, and methods for assessing
deleterious effects on organisms living and depending on ecosystem resources
are provided.
1 Introduction
When talking about a systems engineering approach to solving these problems, it is

critical that humans be included as an integral part of the World Ecosystem and not
as a separate component acting independently. Sustainability of freshwater water
supplies is a major issue for both developed and developing countries. Decreasing
freshwater water supplies, due in part to climate change and increasing population
densities (Fig. 10.1), are a major threat to stability around the globe (Brown et al.
1998; Brown 2003; Grumbine and Xu 2011). In certain parts of the world, scarcity
of water is already having a major impact on the habitability of lands, which
results in migration of humans and animals into water richer areas (Fig. 10.2).
Water shortages will become more frequent due to increasing population growth,
over pumping of aquifers/rivers, climate change, hydroelectric power, and shifts
in food preferences (Wada et al. 2010). Water disputes will likely be the cause
for major regional conflicts. Approximately seven billion people currently inhabit
the earth and it is estimated to rise to nine billion by 2044. The current top five
countries for total population include: China (1.3 billion), India (1.1 billion), the
K.R. Cooper
Department of Biochemistry & Microbiology, Rutgers, The State University of NJ,
New Brunswick, New Jersey, USA
e-mail: cooper@aesop.rutgers.edu

DOI 10.1007/978-1-4020-8939-8 98,
138 K.R. Cooper
Fig. 10.1 Worldwide population density map (Map Source: Center for International Earth Science
Information Network) and water severity areas (arrows)
United States (300 million), Indonesia (240 million), and Brazil (200 million). Water
sustainability is driven by having sufficient quantities of usable water to maintain
human needs, crop irrigation, livestock, and ecologically important animals and
plants. The density of a population also can result in threats to sustainability of
local and regional resources (Fig. 10.1). Water usage is directly related to population
density, agriculture, and ecosystem needs, and if demand outstrips supply then the
ecosystem is not sustainable.
Water is essential for all life and both chemical and biological contaminants from
both natural and anthropogenic sources can dramatically limit the suitability of
water for human, animal, and plants. It is important to realize that local actions
(eutrophication, overfishing, altered food types, industrialization, and fossil fuel
usage) can impact water and water-related resources both locally and in some cases
on a worldwide basis. The interconnectivity is due to the sharing of the air sheds,
watershed, and oceans. The ramifications of economic prosperity, unfettered indus-
trialization, and increased dependence on fossil fuels without proper environmental
controls and regulations can result in both local and international water supplies
becoming contaminated. The health and well-being of humans and all other species
is inseparable from the health and well-being of the world ecosystems (Edwards
2005). Human beings have the responsibility to maintain the quality of water,
air, and soil to enhance the well-being for all species (The Netherlands National
Environmental Policy). For any successful sustainable program there are Four E’s:
Ecological sustainability, Economic sustainability, Equitable resource allocation,
and Education of the population. All of these concepts need to be included in any
sustainable engineering approach that will be successful over the long term. If any
of the Four E’s is not met, then long-term sustainability is unlikely. Therefore, it is
essential that novel engineering approaches be developed to remove both biological
and chemical contamination, as well as recycle water and limit natural resource
damage.
10 Fundamental Toxicology Methods and Resources 139
Airshed
Long and Short Range Transport
Volatile Compounds
Suspended Particles & PRECIPITATION
Volatile Compounds
Watershed
BIOTIC FACTORS
Humans, Animals, Plants & Microbes
EROSION &
DIRECT DISCHARGE
Terrestrial Environs: Soil Surface Water & Estuaries

Erosion, Deforestation & Impermeable Discharging into Oceans
Land Cover INFILTRATION
ABSTRACTION
RECHARGE DISCHARGE
Ground Water Aquifers
Fig. 10.2 Pathways for contaminant movement (arrows) between the abiotic matrices comprising
the ecosystem. Biotic factors can modify fate and transport of contaminants within an ecosystem
by increasing or decreasing bioavailability
This chapter provides a brief tutorial on basic toxicological concepts, tools, and
information that are important for an engineer to be aware of when determining the
suitability of a treatment process or the threats to a community or its ecosystem.
1.1 Toxicological Information Resources
This chapter provides a brief overview of both human and ecological toxicolog-
ical approaches and standard sample collection methods. These topics are too
expansive to be adequately covered in a single chapter; therefore, references
to additional resources are provided throughout the text and within Table 10.1.
140 K.R. Cooper
Table 10.1 Listing of standard operating procedures (SOPs) and other resources used in toxico-
logical assessments from various government agencies
Agency Information available
WHO: IPCS WHO works to establish the scientific basis for the safe use of chemicals,
and to strengthen national capabilities and capacities for chemical safety.
http://www.who.int/ipcs/en/
USEPA Emergency SOPs for sampling air, water, sediment, and soil along with specific
Response Team methods for analysis: general field sampling, sampling equipment
decontamination, general air sampling, surface water sampling,
groundwater well sampling, sediment sampling, and soil sampling. www.
ert.org
USEPA: NCEA The mission of NCEA is to provide guidance about how pollutants may
impact our health and the environment. The compound of interest can be
searched to see if a review has been carried out. http://www.epa.gov/
ncea/index.htm
USEPA Duluth, ECOTOX database released in 2000 by the USEPA and managed by the
Minnesota USEPA Duluth laboratory has extensive ecological data both for
terrestrial and aquatic species. http://www.epa.gov/ecotox/ecotox home.
htm
US National Park Environmental Contaminants Encyclopedia, Ed. Roy Irwin Discussing
Service www.nature.nps.gov/hazardssafety/toxic//
NOAA (USA) NOAA Status and Trends and Mussel Watch. http://ccma.nos.noaa.gov/
and UN about/coast/nsandt/welcome.html and International Mussel Watch. http://
ccma.nos.noaa.gov/stressors/pollution/assessments/as intl mw study.
html
Syracuse Research Chemical, physical, and fate data on specific compounds PHYSPROP
Corp. (USA) and BIOLOG for microbial degradation database
http://srcinc.com/what-we-do/efdb.aspx
Oak Ridge National Ecological Risk Analysis: Guidance, Tools and Applications (www.esd.
Laboratory ornl.gov/programs/ecorisk/ecorisk.html)
ATSDR (USA) Provides individual chemical Toxicological Profiles (www.atsdr.cdc.gov/)
ATSDR Agency for Toxic Substances and Disease Registry, ICPS International Programme
on Chemical Safety, NCEA National Center for Environmental Assessment, NOAA National
Oceanographic and Atmospheric Administration, USEPA United States Environmental Protection
Agency, WHO World Health Organization
The approaches described in this section are standard operating procedures (SOPs)
used in toxicology assessments and will be useful in designing assessment protocols
at any location. The sampling protocols are from a number of different government
agencies and are listed in Table 10.1. Depending on the availability of resources, the
SOPs can be modified to allow for some level of assessment with the understanding
that the robustness of the results could be affected. The country in which an
engineer is working may have SOPs that are available through the Environmental
Ministry or comparable industries. It is important to realize that rules and regulations
promulgated in highly developed countries for individual contaminants may not
be appropriate or achievable for less developed countries since the relative risks
from different pathogens or starvation may far out way the risks from an individual
contaminant. There are a number of USEPA Web sites with specific compound
assessments such as IRIS Toxicological Reviews http://www.epa.gov/iris/, pesti-

cides http://www.epa.gov/pesticides/reregistration/status.htm, and Drinking Water
Standards and Health Advisories http://www.epa.gov/ost/. The values derived fol-
lowing these assessments are to protect the public based on very low risk numbers: 1
in a million or 1 in 100,000 and although desirable to be achieved may be impractical
and not achievable in less developed countries.
2 Routes of Entry of Pollutants into Ecosystems
This is a simple overview of the fate and transport of chemicals of concern. It is

important for any ecological based assessments to realize that chemicals of concern
(COCs) can enter an ecosystem by many routes (transport through air, water, or
soil/sediments) from point and nonpoint sources. The fate of the COC can be
impacted by a number of physical parameters. Any town or city, whether small
or large, is part of a larger water- and air shed, which has many different inputs.
Therefore, it is essential that the surrounding lands adjacent to and within a drainage
area be examined in relationship to their surrounding environs. Establishing a
baseline level of chemicals present in the surrounding area and waters is important
to be able to determine increases or decreases in a particular chemical. Because
a number of chemicals occur naturally, it is important to understand the naturally
occurring levels (Table 10.2). The flora and fauna that are present in surrounding
areas are important in assessing the potential impact of specific COCs on the
organisms and potentially humans. Because of the diversity of the plant and animals
(ecological receptors), it is impossible to assess each species independently. It is
vital, therefore, to identify representative or surrogate species that can be used to
assess potential impacts on larger groups of organisms. Establishment of specific
sites that can be monitored yearly over decades provides valuable chemical trend
information. This is one of the underlying principles for historical and continued
collection of Mussel Watch Data (oysters, mussels, and clams). This data set has
existed since the mid-1980s and allows for assessing change in chemical occurrence.
The use of a surrogate species may not always be the most sensitive organisms’ but
they do allow for evaluation of a single species over multiple years as an indicator
of improvement, remaining constant or deterioration of the organisms exposure and
possible health. If such a species is identified, that specific species should be used as
an indicator species for that location. If a sensitive species approach is taken, then
protection of this species will protect other more resistant species. Biochemical and
physiological parameters can be evaluated at the cellular and individual level which
may or may not have effects at the population and community level, but can be
correlated with COCs and habitat alterations.
It must be realized that individual species can be impacted by nonchemical
stressors that can have deleterious effects. Physical parameters such as pH, alka-
linity, salinity, dissolved oxygen, water transparency, and temperature can result
in the loss of keystone species. It should be recognized that physical parameters
often limit distributions of organisms. Therefore, plants and animals living in an
142 K.R. Cooper
Table 10.2 Element levels Crustal Crustal Crustal

present in earth’s crust
Element average Element average Element average
(parts per million, mg/Kg)
(As reported in Mason H 1,400 Ge 1.5 Tb 0.9
B. Principles of Li 20 As 1.8 Dy 3.0
Geochemistry, Third Edition) Be 2.8 Se 0.05 Ho 1.2
B 10 Br 2.5 Er 2.8
C 200 Rb 90 Tm 0.5
N 20 Sr 375 Yb 3.4
O 466,000 Y 33 Lu 0.5
F 625 Zr 165 Hf 3
Na 28,300 Nb 20 Ta 2
Mg 20,900 Mo 7 W 1.5
Al 81,300 Ru 0.01 Re 0.001
Si 277,200 Rh 0.005 Os 0.005
P 1,050 Pd 0.01 Ir 0.001
S 260 Ag 0.07 Pr 0.01
Cl 130 Cd 0.2 Au 0.004
K 25,900 In 0.1 Hg 0.08
Ca 36,300 Sn 0.2 Pb 13
Sc 22 Te 0.01 Bi 0.2
Ti 4,400 I 0.5 Th 7.2
V 135 Cs 3 U 1.8
Cr 100 Ba 425
Mn 950 La 30
Fe 50,000 Ce 60
Co 25 Pr 8.2
Ni 75 Nd 28
Cu 55 Sm 6.0
Zn 70 Eu 1.2
Ga 15 Gd 5.4
ecosystem can be impacted both by physical parameters and COCs. Because of this
fact the EPA’s (1992) Framework for Ecological Risk Assessment includes “stressor
response” which would include physical parameters as do later EPA documents
(USEPA 1993, 1995, 1997a, b, 1998). The classic example of this is the effect
of pH in freshwater systems and the loss of species dependent on pH tolerances.
These physical parameters are easily measured and should be incorporated into any
monitoring plan, since they have profound effects on COCs’ bioavailability and
uptake (Rand et al. 1995; Schwarzenbach et al. 2003).
The selection of the animals and plants to be used in the risk assessment will be in
some cases site specific. Generally, there will be both terrestrial and aquatic species
and associated toxicity data used for determining which, if any, COCs pose a hazard.
The selected species may also be used as indicator species that can be collected and
analyzed for COCs. The sampling may be done to determine if COCs are reaching
elevated levels. This will also allow for COC trends to be developed. Samples of
water, soil, sediment, and air may be collected in concert or as independent samples
to establish reference or baseline levels. In many locations, there is no plan in place.
High volume air samples and semipermeable membrane water and soil samples
could be added if grab samples would not be able to detect COCs (Huckins 2002;
Petty et al. 2000; Sun et al. 2008).
2.1 Fate and Transport
Pollutants can enter an ecosystem through both human activities and from naturally
occurring processes (weathering of rocks, volcanic activity, and others). While
knowledge of sources will give you important information on the type of con-
taminants your environment might be exposed to, the concentration or dose of a
compound will dictate the response observed in the wild (Crane and Newman 2000).
As all toxicologists know “The Dose Makes the Poison” and once this level has
been exceeded, toxicity will be observed (Di Giulio and Newman 2008; Eaton and
Gilbert 2008). In all of the different matrices (surface and groundwater, sediments,
and terrestrial soil), there are both point and nonpoint sources of contamination.
Ecosystems are impacted from contamination contributed from atmospheric, terres-
trial, and aquatic sources (Suter 1993, 1998). Below is a brief description of sources
of contaminants entering into the different media and illustrated in Fig. 10.2.
The conceptual diagram shown in Fig. 10.3 illustrates the requirement that the
chemical can be bound or in a free state during exposure. Generally if the compound
is sequestered on a particle or other organic material, it is not available to be taken
up by an organism since the compound must be free to be able to be transported
across a biological membrane. A number of factors, such as charge and size, as well
as others, can determine whether a compound will be taken up by an organism. The
free compound must diffuse or be transported across the membrane. Once inside
the cell, the compound can be metabolized, stored, or excreted. If the compound
reaches a target tissue where it causes toxicity at sufficient concentration then
sublethal or lethal effects may be observed (Lehman-McKeeman 2008) (Fig. 10.4).
The physical/chemical environments in which they exist can dramatically alter the
chemical species which is available for accumulation (Spacie et al. 1995; Sprague
1985). These general principles apply to organic compounds as well as metallic
compounds (USEPA 2007).
Atmospheric contamination can enter the terrestrial soil and surface waters
through precipitation (wet deposition) or from suspended particulates (dry deposi-
tion) (Loganathan and Kannan 1994; Scheringer 2009). There can be a contribution
from both the terrestrial soil compartment and the surface water compartment into
the atmosphere via particle suspension and volatilization processes. The contamina-
tion of the terrestrial soil from atmospheric deposition or from crustal compounds
(background) can flow into the surface waters and end up in suspension or
depositing on the bottom as sediment. Groundwater can become contaminated from
compounds leaching into the groundwater (Burgess et al. 2010). Surface waters
can also contaminate groundwater when they are in direct contact (e.g., saltwater
intrusion) or as the groundwater is being recharged. Groundwater contamination
144 K.R. Cooper
Bioavailability Bioconcentration or Bioaccumulation
Soluble Species C Internal

Desorption E Transport &
L Distribution Toxicity
L Target
M
E
M
B
R
A
Bound to N Metabolism, Storage or
Particle Free E Excretion
EXPOSURE ACCUMULATION EFFECTS
Fig. 10.3 Conceptual diagram for evaluating bioavailability to organisms from a compound (suns)
present in the environment in a bound (NOT BIOAVAILABLE) and free state (BIOAVAILABLE)
for exposure, uptake across the biological membrane resulting in bioaccumulation within the
organism, and subsequent internal transport and distribution
can reach surface waters in the basal flow of rivers and through seeps. The ability
of a compound to move between these different compartments is determined by
the physical/chemical properties of the individual compound. Biotic factors can
result in modifying the amount of a COC that could be released from any of
these compartments. Regional point sources (cities, superfund sites, and industrial
activity) of contamination can result in contamination spreading into several of these
compartments.
The movement of contaminants through the different matrices and ultimately into
plants and animals (environmental fate) is determined by the physical characteristics
of the compound (molecular weight, lipophilicity, chemical species) and that of
the environmental compartment it is entering (Fig. 10.4). Bioavailability is an
important concept that determines what levels of specific compounds will be present
in the biota inhabiting contaminated and noncontaminated environments (Birak
et al. 2001; Rand et al. 1995). Bioavailability is determined by many factors that
determine how much of the compound or metal is in a free state that can be taken
up by an organism or plant. Physical/chemical properties of the matrix into which a
compound is associated and the properties of the surrounding medium will affect the
level of compound that is free to be taken up by the organism. Factors such as pH,
total organic carbon, and acid volatile sulfides can dramatically effect the uptake of
a compound (DiToro et al. 1990). A full discussion of release from a specific matrix
100
LOAEL
Percent Response
50
NOEL
LC 50 = 40 mg/L
0
10 50 100
DOSE mg/L
Fig. 10.4 Dose-response curve with no observed effect level (NOEL). Lowest observed adverse
effect level (NOAEL) and LC50 indicated on the graph
and the uptake mechanisms based on characteristics of a metal or organic compound

are too complicated for this introductory chapter (Jorgensen et al. 1991; Sample and
Suter 1994; Sample et al. 1996; Schwarzenbach et al. 2003; USEPA 2003).
A critical physical characteristic of a compound is polarity, which will determine
the compound’s affinity for polar (water) and nonpolar matrixes (lipids and nonpolar
materials). In the case of water, oxygen draws electrons away from the two hydrogen
atoms, which creates a partial negative charge on the oxygen and a partial positive
charge on the hydrogen atoms. Because of the polar nature of water, cations and
anions (i.e., positively and negatively charged compounds) are attracted to water
and are soluble. These include inorganic salts (alkali earth metals) and polar organic
compounds containing polar groups (e.g., alcohols, acids, and amines). Compounds
that are nonpolar generally will partition into nonpolar compartments that contain
lipids (such as living organisms) and organic carbon (organic enriched particles).
An important property of chemicals, which is used in estimating the potential to
accumulate into a living organism is the octanol/water partitioning coefficient (Kow /.
As the name implies, it is the concentration of a compound in octanol divided by the
concentration of the compound in the water phase at equilibrium. This is a measure
of the hydrophobicity of the compound. This value can be used to estimate the
bioconcentration of compounds into organisms. In a similar fashion, compounds
will partition between the different compartments described in Fig. 10.3 based
on physical/chemical properties of the compound (e.g., Henry’s constant relating
distribution of volatile compounds between air and water and soil) (Lyman et al.
1982; Suter 1993; Schwarzenbach et al. 2003).
The residence time of the parent compound and its metabolites are determined
by the compound’s molecular stability (Lyman 1995). There are many methods by
146 K.R. Cooper
which a compound can be broken down in the environment (e.g., hydrolysis, auto-
oxidation, photolysis, and enzymatic biotransformation). The rate of breakdown
of a compound will determine the half-life in any particular medium (Newman
and Unger 2003). Persistent organic pollutants (POPs) are generally recalcitrant to
physical, chemical, and biochemical transformation (e.g., PFOA/PFOS, DDT/DDE,
PCBs, and 2,3,7,8-sustituted dioxins). However, in some instance, metabolism (e.g.,
Benzo(a)pyrene, dieldrin) and photolysis (e.g., petroleum hydrocarbons) can result
in activation of a compound to reactive chemical species that can result in cellular
transformation leading to cancer, developmental effect, or acute toxicity.
Metals are nonbiodegradable and do not breakdown in a similar fashion to
organic compounds in the environment (Faustman and Omenn 2008). Metals can
exist as multiple converting species that are determined by the environmental
chemistry of the medium they are located in. In the case of metal contaminants,
they also are persistent and their ionization state will affect their residence time
and transport within the environment (USEPA 2007). USEPA’s Framework for
Metal Risk Assessment (http://www.epa.gov/osa/metalsframework) is a document
that discusses in great detail each of these issues and should be referred to when
dealing with metal risk assessments (USEPA 2007). In the case of mercury, the
metabolism to methyl mercury results in at least one bioavailable and toxic form of
the metal. The presence of other metals such as selenium can antagonize the uptake
of mercurial species (Dang and Wang 2011). Metals that are deposited onto the soil
or into sediment can have very long residence times and may become mineralized
and not biologically available. It is important to note that geological deposits,
and the earth’s crust, are comprised of a number of metals that contribute to the
general background concentrations for a specific region even without anthropogenic
contributions. Background levels of metals in the earth’s crust are summarized
in Table 10.2. Background metal concentrations can vary over several orders of
magnitude based on the soil type, geography, and other factors. Additional sources
of regional and state soil metal levels can be obtained from U.S. EPA ecological soil
screening levels (EcoSSLs) document (USEPA 2003). Site-specific assessments will
require gathering information on naturally occurring levels and the metals potential
to impact flora, wildlife, and humans. A good case study of human activities and
geochemistry is the arsenic levels present in Bangladesh that has contaminated
groundwater supplies and is a major health issue (Burgess et al. 2010).
2.1.1 Atmospheric
The air shed that overlies a watershed can contribute large quantities of contam-
inants that are associated with particle deposition, gases, or as dissolved in rain
or snow. The sources of contamination can be from both local and long distance
transport. Incineration of waste and production of energy using coal and other
sources can contribute to atmospheric contamination. Other sources include internal
combustion engines, pesticide use on production agriculture, and volatile organic
compounds that are used in refrigerants, solvents, and industrial processes. The
magnitude of toxic chemical releases that may occur on a yearly basis into the
atmosphere is often not appreciated, nor the resident time that these contaminants
have in the atmosphere (Loganathan and Kannan 1994). From anthropogenic
sources it is estimated that 6 billion tons of CO2; 100 million tons of SOx , 68 million
tons of NOx , and 1.1 million tons of chlorofluorocarbons (CFCs) are released.
Regional and local sources often contribute to higher local concentrations and
corresponding higher concentrations entering surface water, soils, and biota.
2.1.2 Soil
Contamination of soil can occur through deliberate contamination from dump-
ing of industrial and municipal wastes (metals, organic compound radioactive
material), direct application of pesticides or herbicides, application of sewage
sludge (heavy metals, nitrates, phosphates, detergents) and other soil amendments,
and atmospheric deposition of long- and short-range contaminants (metals, sulfur
dioxide, nitrogen oxides, dioxins, and furans and other organic compounds). The
soil characteristics (organic content, buffering capacity) can affect the fate of the
contaminants deposited on the soil and their impact on flora and fauna (Travis and
Arms 1988). Erosion of soils is one of the major means by which contaminated
soils can reach surface waters and also contribute to sediment contamination.
Because watersheds represent large drainage basins, upstream soil contamination
can impact downstream water and sediment quality, as it is deposited at the
mouth of the rivers and bays or simply deposited in a slow moving portion of
a stream. In many instances, soil acceptable levels of contamination are based
on human and or terrestrial wildlife risk assessments and exposure is assessed
differently for terrestrial pathways. But those same concentrations in soils, when
deposited into aquatic systems, can cause deleterious effects to aquatic organisms.
In some instances, studies indicate aquatic organisms are more sensitive to certain
compounds in sediments, when the same level in soils would not elicit a response in
terrestrial organisms.
For metals, it must be recognized that they naturally occur in the earth’s crust
and represent nonanthropogenic background levels (Table 10.2). The values in this
table allow for a quick reference benchmark for comparison to a soil sample. It
should be emphasized that these are just general numbers and regional background
levels should be consulted. Background levels can be directly compared to collected
samples to determine if the collected samples are significantly higher and could
indicate a local source. The actual concentrations would then have to be examined to
see if the levels are at a toxic threshold level or higher. This result would determine
what actions might be taken.
2.1.3 Surface Water

Surface waters receive anthropogenic (man-made) inputs from atmospheric de-
position, non-point source run off from terrestrial sources (petroleum products
from automobiles, road salt, etc.) and point source discharges (sewage treatment
plants, industrial discharge, landfill leachate etc.). There are also natural sources
of contaminants such as the earth’s crust and natural processes (petroleum seeps,
volcanism) that release compounds and metals into water and into the atmosphere.
Transport in water can occur either by being in solution or in suspension as
a micelle, an electrically charged particle formed by an aggregate of molecule,
or associated with particulate matter. Compounds and metals can adsorb onto
148 K.R. Cooper
particulate matter in suspension and some of these contaminant-enriched particles

will eventually settle out in bottom sediment. In rivers, pollutants can be transported
over great distances where they can enter into estuaries and ultimately the oceans.
Contaminants associated with eroding soil can be a major source of chemicals
entering into surface waters. Release of pollutants into moving surface water is
followed by dilution and in some cases degradation. The point of entrance will
normally represent the area where you will observe the highest concentration
followed by a concentration gradient downstream. The stream flow and physical
characteristics may result in depositional areas that should be sampled. In some
instances, such as sewage outfalls, there may be a change in the biota upstream
from the outfall when compared to biota present downstream from the outfall.
The difference from upstream to downstream biota may reflect a contaminant or
physicochemical parameters that impact the biota. In the case of small lakes and
ponds, where there is no major outlet, chemicals may buildup in these waters. It is
also important to understand that freshwater and salt water organisms may respond
differently to the same compound, and because of this the no observed adverse
effect level (NOAEL) levels are often different (Fig. 10.3). The surface waters
and the associated particulate fractions are sinks for accumulating contaminants
as they move from upland into estuaries and into the oceans. Surface waters can
be contaminated from many different sources resulting in numerous anthropogenic
(man-made) compounds being present.
2.1.4 Sediment
Particulates can be either suspended in the water column and or deposited along
the bottoms of rivers, estuaries, and depositional areas (sediments) in the ocean.
Sediment originates from the contribution of soil washing into the surface waters
and from breakdown of organic matter in the receiving waters. Sediment can become
contaminated from land sources, as well as from contaminants that accumulate in
organisms and or adhere to the sediment from the water column (Fig. 10.4). The
physical and chemical characteristics of the sediment will influence the amount
of contamination. Sediments with high organic content and or charge will have
elevated levels of organic and metals, respectively. The smaller the particle size, the
greater the surface area to volume ratio and the higher the contaminant enrichment.
Therefore, sediments with large grain size containing mainly sand will have little or
no metals or organic contaminants associated with them. Sediment particle size also
influences contaminant bioavailability both from physical/chemical characteristics
and an organism’s size-specific particle selection. Bioavailability can be reduced
in clay and silt sediments compared to coarser sediments. Thus when conducting
sediment analyses, it is important to evaluate both grain size and total organic carbon
(TOC) in order to assess your contaminant results effectively.
2.1.5 Ground Water

Groundwater, as defined, is water located below the surface of the soil and can
be found in the soil pores (sometimes called pore water) or fractures in the
geological deposited soils. An aquifer is a saturated zone where usable quantities
of water can be withdrawn. Groundwater is recharged from rainwater leaching

into the subsurface areas. Groundwater, unlike surface waters, flows very slowly
and discharges into seeps or springs that feed into surface waters, sometimes over
decades. Therefore, contamination that reached the aquifer decades ago may only
now be being discharged into rivers and springs. In any one area, there can be
several aquifers that are confined to different depths by geological formations.
Generally, the shallow aquifers are at greatest risk of contamination. Contamination
of groundwater can occur from pollutants seeping into the soil and leaching into the
groundwater. Contamination can often occur from septic fields, underground storage
tanks, direct injection into deep wells, or leaching from surface soil applications.
The rate at which a contaminant leaches into an aquifer is determined both by the
soil and chemical characteristics. A general rule is that sandy soil generally allows
for easier penetration of contaminants than higher organic containing soils and clay.
Aquifers that are below bedrock areas can become contaminated through cracks and
fissures in the rock, well fracking, or contamination from abandoned wells. Contam-
inants entering the groundwater can include metals, volatile organic compounds,
petroleum products, and leachable pesticides. Contaminant movement within the
aquifer is determined in part by the polarity of the compound. Once contamination
of an aquifer occurs, it is very difficult to remediate the contaminants. Degradation
and mineralization of contaminants in aquifers occurs very slowly because of the
lack of bacteria, light, and oxygen tension. Because of the slow recharge of aquifers,
dilution of the contamination is minimal. Pump-and-treat (air stripping–volatiles,
activated carbon–organics, and chelation–metals) and recharge measures are often
used to remove contaminants, but these are expensive approaches.
3 Ecological Risk Assessment
The basic underlying principle of an ecological risk assessment is based on the

USEPA Guidelines for Ecological Risk Assessment (USEPA 1992, 1995, 1997a). In
any situation, it is necessary to follow a step-wise approach to evaluating potential
hazards from chemicals of concern (COCs) to the terrestrial and aquatic wildlife and
flora located at each location. The general approach has been adopted by USEPA
(1998) where there is the Problem Formulation where integration of available
information on potential COCs is carried out. The ANALYSIS PHASE attempts
to obtain measurement for COCs (exposure analysis) or unusual abiotic conditions
(stressor response profile) that exist. The final phase is the Risk Characterization
(risk estimation). The final approach is to make scientific-based management
recommendations that may include the following: (1) no action necessary COCs
fall below any level of concern; (2) identify specific targeted baseline sampling
for historical reference for any future incident; (3) specific targeted sampling
approaches for confirming elevated COCs; and (4) remediation of contaminated
sites or engineering modifications to reduce impact. The amount of available
information on COCs present in the biota and the different environmental matrices
150 K.R. Cooper
(Problem Formulation and Analysis Phase) will affect the extent and uncertainty
of the Risk Characterization that can be made and what management options are
available. There is a need to follow up on any action that is taken to determine if the
chemical effects are remaining the same, improving, or declining.
3.1 Screening Level for Ecological Risk Assessment
It must be realized that a “hazard” in toxicology is determined by the risk of

a compound causing an adverse effect and actual exposure to that compound
(Risk Exposure D Hazard). The Risk component incorporates a specified
exposure dose under specific conditions. Therefore, there is no hazard if a COC has
no adverse effect at a specific dose/concentration (risk component). If the organism
does not come into contact with the chemical (exposure component), then there is
no Hazard and the compound is not a COC. In either event, there will be no adverse
effect. Although there are many approaches to estimating hazards that incorporate
modeling, estimating the movement through fate and transport models and food
webs, those methods are beyond the scope of this chapter. If the concentration
of a COC in an organism is greater than the environmental media (soil, water,
or sediment) it is living in, then the COC is said to bioconcentrate. When the
organism’s COC burden is from both environmental media and food intake, then
the COC is said to bioaccumulate. Biomagnification of a COC occurs when at each
trophic level in the food web has a higher amount of COC than the trophic level
below (Newman and Unger 2003).
Bioconcentration (BCF) and bioaccumulation (BAF) factors are two parameters
which are important in both terrestrial and aquatic organisms for assessing the
Hazard based on steady-state body burden. The steady-state tissue concentrations
represent the maximum levels that are expected based on a particular level of
exposure. The steady-state level is achieved by the accumulation, distribution,
metabolism, and elimination of a compound within an organism (Fig. 10.3).
BCF D concentration in organism/concentration in ambient medium (10.1)

BAF D concentration in organism/concentration in food and
external media .ingested prey=water=soil=sediment/ (10.2)
In aquatic ecosystems where the main route of exposure is through the water
column, then the BCF is an appropriate means to estimate body burdens. If food,
abiotic media, and ambient water concentrations are important exposure routes, then
(10.2) should be used to calculate the BAF. In the case of terrestrial organisms BCFs
and BAFs can also be calculated, but require more detailed information (Sample and
Suter 1994; Sample et al. 1996; Suter 1993). In the majority of cases, the BAF (10.2)
is the appropriate value to be calculated for terrestrial wildlife.
It is known that most wildlife do not remain on a contaminated site or consume

only contaminated food which would result in an area use factor (AUF) of less
than 1. The conservative approach is to assume AUF an equal to 1. An AUF of
1 would assume that the organism only eats contaminated food or water for their
entire life. While this assumption simplifies the assessment, due to the mobility and
the diverse diets of most wildlife, it is likely to overestimate the actual exposure
experienced. It should be remembered, however, that the purpose of the screening
assessment is to identify potential risks and data gaps to be filled. As more data
are collected, these assumptions can be modified to reflect the actual amount of
time that a species spends within a specified area. A similar approach is used to
determine appropriate land use designations of contaminated sites based on human
contact time.
What is discussed below is an evaluation of contaminants’ ecological risk based
on a simple two-tiered approach. This approach follows closely with that reported by
Sample and Suter (1994). In the Hazard Quotient (HQ) approach, the concentrations
of the contaminants in the environments are compared to the no observed adverse
effects levels (NOAELs). These screening values are based on literature surveys for
values that have been reported to cause no adverse effect (No Observed Adverse
Effect Level – NOAEL or the Lowest Observed Adverse Effect Level – LOAEL).
The second approach incorporates the exposure of oral ingestion of contaminated
media to reach an internal dose. This approach gives a benchmark that is either
exceeded or not, based on known adverse effects in organisms compared to
their determined dose. This approach is simple yet allows new information to be
incorporated as new studies are carried out that better define the NOAEL or LOAEL
values (Crane and Newman 2000). When these values are less than the toxicological
benchmarks, the contaminant should be excluded from any further consideration
(Hazard Quotient Approach). This assumes there are not contributions from other
compounds to lower the internal dose necessary to cause toxicity. Although a much
more elaborate evaluation is carried out for human risk assessment, the approach
described below can be used as a starting point.
3.2 Hazard Quotient (HQ) Approach
The approach follows closely that proposed by Suter (1993). In the first tier, a
screening assessment is performed where concentrations of contaminants in the
environment are compared to a no observed adverse effect level (NOAEL)–based
toxicological benchmarks. These benchmarks represent concentrations of chemicals
(i.e., concentrations presumed to be nonhazardous to the biota) in environmental
media (water, sediment, soil, food, etc.) that should not result in an adverse effect.
One of the principal sources for the values that are used for this calculation is the
NOAA Screening Quick Reference Tables (SQuiRT), which are available online
at (response.restoration.noaa.gov/book shelf/122 squirt cards.pdf) for reference. If
site-specific values or more recent literature based information is available, then
152 K.R. Cooper
these values can be used for screening purposes. Within the NOAA SQuiRT tables
are background levels for inorganic (p. 2) and organic compounds (pp. 5–8) in
freshwater and marine sediments, fresh and saline surface water and ground water.
These tables also give different effect levels: threshold effects levels (TEL), probable
effects level (PEL), and effect range medium (ERM) which provide increasing levels
of effect. This document also contains two tables summarizing specific extraction
and detection methods for inorganic trace elements (p. 9) and organic compounds
(p. 10) and a summary table listing appropriate containers for each analyte,
preservation methods, maximum holding times, and required sample size (p. 11).
Tables 10.3 and 10.4 are quick references for matrix and acceptable methods and
holding times and storage parameters.
In practice, when contaminant concentrations in food, water, soil, and sediment
resources are less than the threshold toxicological benchmarks, the contaminants
may be excluded from further consideration Buchman (1999). As stated above, this
assumes no additive or synergistic effects from similar contaminants. The PEL and
ERM values allow for comparison to the increasing likelihood of an effect on the
biota. In the case of sediment values, the levels are provided both for freshwater
and marine sediments for inorganic and organic compounds sampled by NOAA.
Another source for freshwater sediment screening values is MacDonald et al.
(2000). To determine which contaminants pose a risk, an HQ is calculated, where
HQ D media concentration/benchmark. If the HQ 1, contaminant concentrations
are sufficiently high that they may produce adverse effects. This basically means that
the concentration observed in the environment is greater than or equal to a threshold
or known effects level (i.e., PEL or ERM) and there is an increased likelihood of
that compound may have an adverse effect on the organism and warrant further
investigation. An HQ < 1 means there is no risk based on the laboratory derived
values.
Example Calculation:
Values in ppb (ug/Kg) dry weight.
Threshold effects Probable effects Effects range

level (TEL) level (PEL) medium (ERM) Source
Arsenic 7,240 41,600 70,000 NOAA
SQUIRT
Arsenic 40,000/7,240 D 5.5 40,000/41,600 D 0.96 40,000/70,000 D 0.57
sample value TEL HQ > 1 PEL HQ < 1 ERM HQ < 1
sediment
40,000 ppb
Arsenic would be considered a chemical of concern since it was above the TEL
value. If the PEL and ERM had HQ > 1, the detected concentration would indicate a
probability of increasing toxic responses to benthic organisms. Scientific judgment
needs to be exercised when multiple compounds of similar mechanisms of toxicity
Table 10.3 Recommended analytical methods by matrix being analyzed

Analyte Method number Instrument Matrix
PAHs 8270D GC/MS S, SD, X
PCBs 8270D GC/MS S, SD, X
Total petroleum 8015B GC/MS S, SD, X
hydrocarbon 418.1 GC/FID
Pest/PCB 8080/SW-846 GC/MS S, SD, X
608 W
Oil C Grease 5520A+F IR and Fluorescence W
Dioxins/Furans 8280B GC/MS S, SD, X
8290A
Metals EPA-600/CFR40 Flame AA W
7000B 7010
6010B ICP S, SD, X
SW-846
VOA 8240/SW-846 GC/MS S, SD
624/CLP W
Grain size ASTM D422-63 NA S, SD
Total organic carbon SW 846-9060 NA S, SD
S soil, SD sediment, W water, X tissue, NA not applicable
Table 10.4 Summary of collection and holding requirements based on analyte and specimen
Analytical Container type and
parameter Matrixa volumeb Preservation Holding times
Pest/PCB S 8 oz glass 500g 4ı C 7/40 days
TAL metals S 8 oz glass 10–100g 4ı C 6 months
TAL metals XE 8 oz glass 10–100g 0ı C 6 months
Pest/PCB XE 8 oz glass 10–100g 0ı C 7/40 days
Pest/PCB XM Foil/Ziploc 500g 0ı C 7/40 days
TAL metals XM Foil/Ziploc 100g 0ı C 6 months
Pest/PCB SD 8 oz glass 500g 4ı C 7/40 days
TAL metals SD 4 oz glass 100g 4ı C 6 months
Pest/PCB XF Foil/Ziploc 500g 0ı C 7/40 days
TAL metals XF Foil/Ziploc 500g 0ı C 6 months
Pest/PCB XI Foil/Ziploc 100g 0ı C 7/40 days
TAL metals XI Foil/Ziploc 100g 0ı C 6 months
Pest/PCB W 1 L amber 1,000 mL 4ı C 7/40 days
TAL metals W 1 L poly 1,000 mL 4ı C 6 months
Lipids X Foil/Ziploc 1–10g NA 7 days
Grain size S,SD 32 oz glass 10–1,000g NA NA
TOC S,SD 8 oz glass 1–10g 4ı C 28 days
a
Matrix: S soil, W water, SD sediment, XE earthworm tissue, XF forage fish, XI invertebrate,
X animal lipids, XM mammal
b
The container type is indicated but the amount needed is determined by the selected analytical
technique and anticipated concentration level. The values listed in the table are recommendations,
and actual amounts should be discussed with the analytical laboratory carrying out the analysis.
The amounts collected can change the detection limit for each analyte
154 K.R. Cooper
may be present in a sample or another factor may result in greater sensitivity of the
organism to a contaminant.
Therefore, if the concentration of a contaminant exceeds a benchmark, HQ 1
that contaminant should be retained as a contaminant of concern (COC).
Conversely, if the HQ < 1, the contaminant would not be retained as a COC.
3.3 Estimating Body Burdens for Comparison to NOAELs for

Wildlife
Calculations can be made to determine on a daily basis the amount of a contaminant

that an organism is being exposed to from its food, water, or other ingestion
exposure routes (e.g., sediment or soil). In this approach, both inhalation exposure
and dermal adsorption are not included in the daily intake which can underestimate
exposure, but normally the conservative assumptions made in estimating the other
major exposure routes may negate the need to be concerned with other routes of
exposure. Dermal exposure needs to be included when amphibians and reptiles are
the organisms of concern. For humans, inhalation and dermal often play a major
route of exposure and are included. The daily exposure estimations based on known
or estimated levels of a contaminant can be calculated using standard calculations
and based on literature-derived life history data (Jorgensen et al. 1991).
The total body burden can then be compared to LOAELs from literature studies
or estimated from other reported endpoints (LOAEL, ED50 (dose resulting in 50%
effect) or LD50 (dose resulting in 50% death). One approach to estimate a LOAEL
from a NOAEL is to apply an uncertainty factor of 10 to the values or determine it
from dose-response curves (Fig. 10.4).
LOAEL D NOAEL multiplied by an uncertainty factor of 10 (10.3)
In the case where there is only LD50 data, either examine the slope of the line
and extrapolate to the x-axis or apply a larger uncertainty factor (100 or 1,000) to
estimate the value. The difficulty with extrapolating from these values is that the
degree of uncertainty is greatly increased, but if no other value exists it may be the
only alternative to estimate whether a contaminant potentially poses a risk.
The presentation of toxicity data on an mg/kg body weight (BW)/day basis allows
comparisons to the calculated levels for a particular species of interest. If the levels
that are calculated exceed the LOAEL, then the levels in these matrices would pose
a hazard to that particular species and be considered a COC. When calculating
these values, care must be taken to convert any dry weight concentrations to wet
weight by applying the appropriate water content values for specific prey species
or determined by the analytical laboratory at the time of analysis. The USEPA has
developed a benchmark dose approach (BMD) to provide a more quantified method
for determining critical points along the dose-response curve. A more detailed
description and a computer model can be viewed and downloaded at http://www.
epa.gov/ncea/bmds.htm.
4 Trophic Level Evaluation
Trophic level evaluation is not required for all compounds, because there are certain
characteristics which preclude biomagnification up the food web. Compounds
that are rapidly metabolized, are poorly absorbed from the gastrointestinal track
or epidermis, or are rapidly eliminated generally need not be examined in a
trophic model. In these cases, the compound can be compared to the LOAEL for
determining if the concentrations are above a threshold of concern (as described
in the previous section). In the case of trophic level evaluations, the organism
being impacted is through direct contact with environmental matrices and through
their food sources (bioaccumulation). Therefore, when calculating the daily intake
of a compound, the sources of the contaminants include the following: water,
sediment/soil, and food. Airborne exposure is not included in these calculations.
In this way, representative organisms at different trophic levels can be selected and
their daily intake calculated and compared to effects levels. By using this approach,
the total daily intake can be calculated using both actual data from organisms
collected on- or off-site or through estimated prey body burdens or matrix values.
When the TDI (total daily intake of a compound) from all the sources is calculated,
these values can be compared to the LOAEL value derived from the literature. When
the TDI exceeds this benchmark effects value, the compound should be considered
a COC. This is a highly conservative approach since it assumes that all of the food
consumed is contaminated at a set level and that there is 100% uptake and retention.
In the real world, it is unlikely that an organism will be exposed continuously
to contaminated sediment/soil and prey at a constant level; there is never 100%
uptake due to metabolism and elimination pathways. This conservative approach
will help protect wildlife especially when tissue dose data for specific organisms is
lacking.
In some instances where there is virtually no data on a chemical, the approach
undertaken may have to be very simplistic. The Aquatic Food Chain Multiplying
Factor (FCM) described below is such an approach (Sect. 4.2). If a large amount of
data is available on actual matrix values (i.e., water, sediment, or soil contaminant
concentrations) and lower trophic level prey dose, then a better estimate of the
predator dose can be calculated using the estimated dose from all source inputs
(Sect. 4). Because of the complexity of food webs even in the simplest of ecosys-
tems, there is a need to select sentinel organisms that can represent large classes
of organisms and also reflect the ecosystems being evaluated when determining
compounds that have a potential to bioaccumulate.
4.1 Estimating Aquatic Organisms Body Burdens
If the BCF is not available for a specific compound, then the following relationship
developed by Lyman et al. (1982) can be used based on the octanol-water partition-
ing equation (10.4).
156 K.R. Cooper
Log BCF D 0:76 log Poct 0:23 (10.4)

In a similar fashion, the BCF can be calculated from the water solubility of a
compound (10.5) as reported by Lyman et al. (1982).
Log BCF D 2:791 0:564 log Water Solubility .mg=L/ (10.5)
The BCF values using (10.4) and (10.5) will allow for an estimated value to be
calculated, but actual tissue and matrix concentrations are more accurate for BCF
determinations.
4.2 Aquatic Food Chain Multiplying Factor (FCM)
The FCM is also a very simplistic approach where the concentration in a matrix is
used to estimate the level in biota at different trophic levels. This approach does not
differentiate between a bioconcentration factor (BCF) and a bioaccumulation factor
(BAF). The differences between a BCF and BAF have been previously discussed
in Sect. 3.1.
In order to estimate the tissue concentration in different trophic levels, the only
information needed is the Log Kow for a chemical of interest (Sample et al. 1996).
Although the FCM is a very simple approach, it is based on the assumption that
the primary uptake route of these compounds is through passive diffusion, which
is controlled by the lipophilicity of the compound. It is a conservative estimate
since it assumes 100% uptake and does not take into account factors affecting
absorption, metabolism, or elimination for different species. Estimates can be made
for concentrations in zooplankton (trophic level 2), small fish (trophic level 3), and
piscivorous fish and top predators (trophic level 4). Table 10.2 shows the multipliers
for estimating the amount of a compound that will accumulate in each of the
higher trophic level organisms based on the Log Kow . The FCM approach may be
applicable for some metals if the organometallic forms (i.e., methyl mercury) are
known to be biomagnified in higher trophic levels based on Log Kow (USEPA 1995).
The FCM approach is useful when there is a new compound that is identified
and there is very little data on levels in higher trophic level organisms. By obtaining
the Log Kow from the literature or even doing a simple partitioning experiment one
can obtain this value. It must be realized that depending on the method from which
it was derived, there can be differences in the actual Kow values; however, they
are generally fairly similar. This value is then used to determine what multipliers
(Table 10.5) for each trophic level. This is an approach that does not take into
consideration any elimination pathways and will overestimate tissue levels when
metabolism does play a major role. The estimated FCM tissue value can then be
compared to the LOAEL value determined from literature values.
For example, if a new compound has a Log Kow D 6:0 (see Table 10.5 for
multipliers for each trophic level and is detected at 10 mg/L in water, then it is
assumed that zooplankton (level 2) will have 10 mg/Kg body levels (1 10 mg/Kg
Table 10.5 Aquatic food chain multiplying factors (Taken from Sample et al. 1997 which was
modified from USEPA 1993)
Log Piscivorous Log Piscivorous
Kow Zooplankton Sm. fish fish Kow Zooplankton Sm. fish fish
2 1 1.005 1 5.7 1 7:962 10:209
2.5 1 1.01 1.002 5.8 1 8:841 12:05
3 1 1.028 1.007 5.9 1 9:716 13:964
3.1 1 1.034 1.007 6.0 1 10:556 15:996
3.2 1 1.042 1.009 6.1 1 11:337 17:783
3.3 1 1.053 1.012 6.2 1 12:064 19:907
3.4 1 1.067 1.014 6.3 1 12:691 21:677
3.5 1 1.083 1.019 6.4 1 13:228 23:281
3.6 1 1.103 1.023 6.5 1 13:662 24:604
3.7 1 1.128 1.033 6.6 1 13:98 25:645
3.8 1 1.161 1.042 6.7 1 14:223 26:363
3.9 1 1.202 1.054 6.8 1 14:355 26:669
4 1 1.253 1.072 6.9 1 14:388 26:369
4.1 1 1.315 1.096 7.0 1 14:305 26:242
4.2 1 1.38 1.13 7.1 1 14:142 25:468
4.3 1 1.491 1.178 7.2 1 13:852 24:322
4.4 1 1.614 1.242 7.3 1 13:474 22:856
4.5 1 1.766 1.334 7.4 1 12:987 21:038
4.6 1 1.95 1.459 7.5 1 12:517 18:967
4.7 1 2.175 1.633 7.6 1 11:708 16:749
4.8 1 2.452 1.871 7.7 1 10:914 14:388
4.9 1 2.78 2.193 7.8 1 10:069 12:05
5.0 1 3.181 2.612 7.9 1 9:162 9:84
5.1 1 3.643 3.162 8.0 1 8:222 7:798
5.2 1 4.188 3.873 8.1 1 7:278 6:012
5.3 1 4.803 4.742 8.2 1 6:361 4:519
5.4 1 5.502 5.821 8.3 1 5:489 3:311
5.5 1 6.266 7.079 8.4 1 4:683 2:371
5.6 1 7.096 8.551 8.5 1 3:949 1:663
Trophic Level 2 D zooplankton; 3 D small fish; 4 D piscivorous fish, including top predators
since 1 L equals 1 Kg). Trophic level 3 organisms would have 105.56 mg/Kg and
level four would have 1,689 mg/Kg. Based on the estimated total dose these values
can then be compared to LOAEL and or NOAEL values for representative species.
If for some reason there is no known Kow; then an alternative would be to find a
compound with a similar structure and use that compounds’ Kow for the estimation.
These estimates can also be used for calculating levels in higher trophic level
organism as described. It is important to realize that the more assumptions that
are made, the less reliable the calculated body burdens. That is why it is critical
to not rely solely on these estimates without actual determined tissue levels from
field samples.
158 K.R. Cooper
Table 10.6 Selected compounds for determining trophic level BAFs

Trophic Trophic Trophic Trophic
level 3b level 3 level 4 level 4
Chemical Log Kow BCFa FCM BAFa FCM BAF
Acetone 0:24 0.39 1 0.39 1 0.39
Aldrin 6.5 51,286.14 13.66 7,000,000c 24.604 13,000,000c
Benzo(a)pyrene 6.11 25,917.91 11.34 294,000c 17.783 461,000c
Copper 290d 1 290 1 290
Mercury (Methyl 27,900.00 140,000.00
Mercury)e
Seleniumf 2,600.00 6,800.00
a
BCF calculated using (10.4)
b
Level 3 D small fish, level 4 D piscivorous fish, including top predators
c
Rounded off values
d
BAF calculated using Table 10.5
e
Literature citation EPA 1995
f
Peterson and Nebeker 1992
As shown in Table 10.6 are some examples of calculated values for chemical
BAF values for trophic level 3 and 4 organisms. These calculations are based on
(10.4) and the FMC values presented in Table 10.5.
As shown in Table 10.6 with acetone, acetone would not be expected to
bioaccumulate into higher trophic levels. Both aldrin and benzo(a)pyrene would be
assumed to accumulate into the higher trophic level organisms. This model assumes
that for most trace metals there is no bioaccumulation in higher trophic levels.
Care should be exercised when there is evidence for specific metal bioaccumulation
from prey species or where the metal may not be bioavailable such as with Cd
(DiToro et al. 1992). In the case of organo-metals, there can be bioaccumulation in
higher organisms, as seen with methyl mercury (USEPA 1997b). Selenium is also
accumulated in part due to its similarity to calcium and using these transporters
and sequestration areas within the cell. Using this method, the calculation of
tissue concentrations can be used in estimating body burdens in these trophic level
organisms for comparison to LOAELs to calculate a HQ. These values can also be
used to estimate concentrations in prey species for terrestrial mammals (including
man) and piscivorous birds.
5 Conclusion
It cannot be overemphasized that the approaches proposed in this chapter are only
an initial approach to a very complex problem. In most environmental samples
there are complex mixtures of compounds that can be assessed on an individual
chemical basis, but there are likely complex chemical interactions that will influence
the toxicity. These contaminants, although dealt with on an individual compound-
by-compound basis in toxicology, does not preclude the possibility that chemical
compounds can result in less than additive, additive, or greater than additive effects
when an organism is exposed to multiple chemicals from an environmental mixture.
The exception to this is when the chemicals act through a common mechanism
and the literature supports an additive approach. This is the case for dioxin-like
compounds, but in the majority of cases such information is not available (Van den
Berg et al. 2008). The difficulty in dealing with complex mixtures is that there
is no way short of testing the mixture to determine how the chemicals interact
in the biological system. The reader should also appreciate that both chemical
contamination and species have a spotty distribution in the environment that can
effect the establishment of baseline values. It is important in any assessment to
understand the activities that have historically or are currently ongoing (off-site
and on-site) that could introduce chemicals into the exposure pathways. With the
continued growth in world population in regional areas, there will be sustained
pressure for water resources between competing groups.
6 Cross-References
Changing Energy Demand Behaviour: Potential of Demand-Side Management

Engineers and Community: How Sustainable Engineering Depends on Engineers’
Views of People
Ensuring Sustainability of Bioenergy in Practice
Groundwater Contamination: Role of Health Sciences in Tackling
Impact of New Technologies: How to Assess the Intended and Unintended Effects
of New Technologies?
Life Cycle Design and Life Cycle Strategy Planning
Materials Education for Sustainable Society
Supply Chain Management for Sustainability
Sustainable Earth System Engineering: Incentives and Perspectives
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doi:10.1029/2010GL044571
Micro Hydro in Emergency Situations:
A Sustainable Energy Solution at La 11
Realidad (Chiapas, Mexico)
Andrea Micangeli and Mariantonietta Cataldo
Abstract
The project purpose was the development of a 50kW Micro Hydro plant
and a 150 liter per day On Site Electro Chlorination (OSEC) System at “La
Realidad”, a little village in Chiapas, a conflict geographic area in Mexico.
The local people involvement was a key aspect of the project; the objectives
has been reached also by applying the Matching Person and Technology Model
to the technical encharged for the maintenance of the turbine. Survey On
Technology User analysis was used to support decision on the choices of
technology used.
1 Description of the Application
The projects described in the following deal with the hydroelectric energy produc-
tion and chlorine self-production in La Realidad, a little village in the Lacandona
Forest, in Chiapas, the South-East State of Mexico near to Guatemala.
The local Zapatistas organization proposed a two steps local study on the energy
and water purification needs, deciding in both cases for the installation of a locally
made plant, with community-based construction and management: a Micro Hydro
Plant and an On Site Electro Chlorination (OSEC) System.
This is an example of long-term sustainable development activity even more
significant because it was managed in conflict areas and was made up of two
A. Micangeli () M. Cataldo

Interuniversity Research Center for Sustainable Development, CIRPS – University of Rome
e-mail: andrea.micangeli@gmail.com, andrea.micangeli@uniroma1.it;
antonietta.cataldo@libero.it

DOI 10.1007/978-1-4020-8939-8 87,
164 A. Micangeli and M. Cataldo
grassroots cooperation projects: “A Turbine for La Realidad (1997–2001)” and

“Zapatista’s Chlorine (2007–2008).”
The projects were carried on by CIRPS (Interuniversity Research Centre on
Sustainable Development), a multidisciplinary, engineering-based, department of
the University of Rome “Sapienza.” It was run by LITA (Itinerant Appropriate
Technologies Laboratory) and Ya Basta on the Italian side, while in Mexico it
succeeded, thanks to Enlace Civil, a local NGO, and above all to La Realidad
Community itself, which has been an active partner in the system development,
realization, and management. Public bodies like Italian municipalities and regions
funded the entire project.
La Realidad is a village where about 150 families use to live with an agricultural
subsistence economy based on corn and coffee crops. The electricity and its use
were quite unknown, and the available Diesel engine supplied only the powerful
lights in special occasions.
The community energy needs were individuated through a survey conducted by
questioning men and women, in appropriate meetings, in order to propose solutions
and applications suitable for such needs. Although most of the energy needs of
these communities are related to electric illumination (resistive loads), the future
possible uses proposed by the community, such as freezer for the small ambulatory,
the carpentry machines, and the workshop to repair cars and other vehicles, once the
local electric grid would have been available, were considered too.
Thus, taking into account the community needs, a Micro Hydro Plant was locally
assembled. Then, the project continued with a second phase consisting in the
installation of an OSEC system that uses the electricity generated from the Micro
Hydro Turbine (as shown in Fig. 11.1) to produce chlorine, a very common good and
the first choice to disinfect water in emergencies. As a matter of fact, the aim of this
two-step project was to obtain energy and chlorine self-production working with
Fig. 11.1 The turbine at “The Realidad” (Picture from A. Micangeli)

11 Micro Hydro in Emergency Situations 165
and for the local community on something not extraneous to their skills and culture,
providing the community itself with the instruments to understand and manage it.
2 Achievements in Sustainable Engineering
2.1 Environmental, Demographic, Economic, Social, and Cultural

Context
Chiapas is one of the 32 states of the Mexican Republic; it is located in Mexico’s

southern region and it borders Tabasco to the north, Guatemala and the Pacific
Ocean to the south, and Veracruz and Oaxaca to the west. The capital is Tuxtla
Gutierrez. Although being a small village, La Realidad is the center for many other
rural villages located in Lacandona Forest and is located 240 km far from San
Cristóbal de Las Casas and 150 km from Comitán. However traveling from these
towns to La Realidad could need more than 10 h, due to the bad road and frequent
checkpoints.
The main reason why electricity and its use were quite unknown or not accessible
is that the costs and the remote situation of the community itself. Although the
available Diesel engine supplied power for illumination at the Aguascaliente – the
meeting point of the local organization with the entire community and the world
interested civil society – it could receive fuel only during the festivities or in special
occasions.
Chiapas has an area of 75,390 km2 constituting the 3.7% of the total extension
of Mexico, and it has a population of 3,606,828 people, with 1,801,825 men and
1,805,003 women, spread over 16,422 locations, but only 120 of them are urban
while the rest are rural (INEGI 1990).
Chiapas geographic area is characterized by the abundance of natural resources
and an important productive reality. As a matter of fact in Chiapas, there are the
21% of the Mexican production of petrol and the 47% of the Mexican production of
natural gas.
Chiapas has a relevant role for renewable energies production too: it produces
the 55% of hydroelectric energy power and the 20% of the total energy produced in
the whole Mexican State (INEGI 1997).
Moreover, Chiapas is the most important producer of fine wood, the second
producer of meat, and the third producer of corn in Mexico. Chiapas produces also
the 35% of the whole Mexican production of coffee.
However, despite its natural resources, due to politics of plunder and a mo-
nopolistic management of lands, Chiapas is living an extreme hardship from both
economic and social point of view. The native population is the part mostly affected
by poor living conditions.
As for basic infrastructure, Chiapas registers one of the greatest backwardness
among all Mexican regions: only half houses have running water and sewer, one
house out of three has electricity, and the 34.9% of the Indian community does not
have any electric energy.
The Chiapas inhabitants are the Mexicans who receive the least social protection
and services. It is sufficient to underline some meaningful numbers: every 1,000
people, there are 0.5 doctors, 0.3 beds in hospitals, and 0.2 medical consultants.
Chiapas has the national primacy of the highest mortality rate, the main causes being
malnutrition and intestinal and respiratory infections.
Moreover, Chiapas has the greatest number of illiteracy of the state: currently
only the 71.3% of children in school age attend school, the 30.4% of inhabitants are
illiterate, and the 63% of them are women.
La Realidad community belongs to the autonomous Municipio San Pedro
Michoacan where resides the Juntas del Buen Gobierno Hacia La Esperanza
which groups and coordinates four autonomous Municipios and is responsible for
organizing and managing all villages belonging to the community of Selva and
Fronteraliza.
La Realidad community started growing 60 years ago, when some families
established there, and today 800 people speaking tojolabal language live here.
The community basically lives of agriculture, with mainly of corn and beans
and secondarily of coffee, sugar, cacao, chayote, lemons, bananas, mangos, and
pineapples. Some families raise cows, horses, poultries, pigs, and rabbits.
Community daily activity organization and related works are demanded to the
local authorities, each of which established for a specific field: the health one, the
education one, and a committee of women who manage the comedores – places
where they offer lunches – and tiendas, few little shops. The community has also a
small school.
In the village resides the Caracol, a public place where the Juntas del Buen
Gobierno Hacia La Esperanza acts. The Caracol is the heart of the community social
life where also people from the nearby villages come to attend events as festivals
and training courses. The village health consultant point with the herbs storage used
to produce traditional medicines is located there.
Thanks to the Caracol center and the presence of the Juntas del Buen Go-
bierno, acting in La Realidad community has an important effect not only on
the community itself but has an immediate influence also over other nearby
communities. The Juntas del Buen Gobierno gives services to all community in
the area.
Daily life in La Realidad is timed by the work in the fields, both in family’s fields
and in fields belonging to the community. Women of the community take care of
children and domestic animals and are responsible for wood and water collection
too. They work in the fields only when it is the harvest time.
Families are quite numerous and in the same house may live up to four
generations. Daily food is based on corn, beans, fruits and vegetables, eggs, and
chicken. Rarely they eat bovine or swine meat.
The health promoters are the focus point for any healthy problem, and the main
diseases are anemia and intestine, skin, and respiration infections.
In the health self-system development, health promoters have collaborated for
a long time with the association Ya Basta highlighting the community need for
preventive advisor on health themes in order to give population the instruments to
prevent local disease.
2.2 Political and Institutional Context
The political situation in Mexico was so serious that in 1994 the native communities
started to organize themselves in order to undertake an independent path. The
indigenous path known as EZLN The Zapatista Army of National Liberation
(Ejército Zapatista de Liberación Nacional) acted to improve indigenous conditions
earning lands and rights to reach a dignified life.
Since 1994, the history of woman and men in the south-east Mexican mountains
has been locally, nationally, and internationally known as the “Zapatista fight.”
From that year, all independent Zapatista municipalities that since 2005 have been
called Juntas del Buen Gobierno have experimented a daily organization of self-
government with a great capacity to manage health, education, and productive
activities. Their route has been difficult and complex but have led the indigenous
Mexican communities to be a real laboratory of social experiments.
In February 1996, an important agreement known as “San Andrés agreement”
was signed with the purpose of the acknowledgment from the Mexican government
of indigenous community rights. Later the government rejected the agreement and
cut off the dialog, being the dialog the only helpful element to bring peace.
In the meanwhile Chiapas was characterized by a type of war called “low
intensity,” where paramilitaries have been involved with the purpose to divide the
indigenous force and where violations of human rights have occurred. The indige-
nous lands were constantly occupied by the military force. Paramilitaries were one
of the biggest problems and were responsible for the worst dirty jobs. Indigenous
people complained that paramilitaries bring violence, drugs, and prostitution in their
territories. As a matter of fact, the definition of low-intensity war comes from the
presence of a serious and violent reality although there were not acts of war.
The political situation of Chiapas is still complicated even if the Zapatista
movement acts in nonviolent and political way and in the indigenous community
defense.
2.3 The Projects of Electricity and Chlorine Self-Production
The two projects Micro Hydro and On Site Electro Chlorination System (see
chap. 88) were born in the context described above.
The used technology can be considered innovative due to the combination of
an hydroelectric plant and an OSEC system, but what is even more innovative is
the process of self-construction, the collective designing, and the communitarian
realization and maintaining of the plant.
All these phases have been run by local sources of energy, water, and also by a
strong community involvement.
In fact, the entire process was slow and difficult in many phases, but it should
be considered as a best practice example for sustainable engineering, as it has
given results on a period of 15 years without affecting natural resources and with a
minimum of external aid during this period, as explained below.
3 Method and Approach
3.1 The Micro Hydro Plant Installation
The encargados are the men chosen by the community assembly to follow the
project (Fig. 11.2). In 1998, they were involved with Italian volunteers and Mexican
engineers in land surveys to draw a map of the site (Fig. 11.4).
A zone with the presence of a small river together with some small waterfalls was
chosen as the place to intercept the water flow to the future powerhouse; in Fig. 11.3
is shown the design of the plant and its components, including the powerhouse.
A drop of about 18 m was measured as shown in the following figure (Saccardo
Italo 1996).
After this first phase, the encargados began to measure the river flow over the
months, using simple and appropriate techniques collected in literature. As a result
of this work, the duration curve (see Fig. 11.5) and the flow profile (Fig. 11.6) were
estimated to evaluate the available water drawn off with the intake (Vismara et al.
1996),
where
• H0 D 20 m
• H1 D 19:5 m
• H2 D 19 m
• H3 D 16 m
• H4 D 2 m
The amount of available power (P) can be estimated as follows (Hydraulics
Engineering Manual 1990):
PŒout D PŒin I
Fig. 11.2 The local community shows enthusiasm when the turbine was installed (Picture from
A. Micangeli)
Fig. 11.3 Handmade geological plant area (CIRPS, Sapienza)
C
I
NORD
collina B
La Realidad
collina A
Alluvioni Recenti
Alluvioni (32°)
Travertino
Arenaria Limonitica
Copertura
(Arenarea-Limonitica)
Sondaggio
(75°)
T
Fig. 11.4 Micro Hydro Plant design based on the land survey done by the local community of the
Italian and Mexican volunteers and engineers (From A. Micangeli)
Duration curve
2.5
maximum flow
available flow
2
flow (m3/s)
1.5
0.5
0
0 50 100 150 200 250 300 350
duration (days)
Fig. 11.5 Duration curve (CIRPS, Sapienza)
L1 Block 1
H1 L2
H0
Block 2
H2
L3 Block 3
H3
Turbine
L4
H4
Fig. 11.6 Penstock diagram (CIRPS, Sapienza)
where D loss
PŒout D PŒin Œtot
where
[tot] D system efficiency
[tot] D [in] [turbine] [pipe] [generator] [transmission]
With an estimated efficiency of 50, [tot] D 0.5, and so, knowing the capacity
Q, defined as:
Q D VŒmc=tŒs D vŒm=s SŒmq
it is obtained
P DQhg
being P = E/t, where E represents the energy:
Edisp D mgh DVgh
where
g = acceleration of gravity
h = the jump
Then,
PŒout D Qhg D 0:5 QŒmc=s hŒm 10Œm=s 2 D P ŒkW
Considering the impact on the local environment of a complete deviation of the

water flow, the community chooses a solution with an embankment of grounds lots
in the river and a nominal flow of about 400 L/s to the powerhouse (Micro-Hydro
Design Manual 1993).
Future possible floods could carry away the lots, but it is quite easy and cost-free
for the community to repair an embankment of lots while a small dam in reinforced
concrete could become an environmental problem and could need an expensive
repairing (Micro-Hydro power sourcebook 1986).
The main characteristics of the Micro Hydro plant are:
• Gross head: 18.38 m
• Net head: 17 m
• Nominal flow: 400 L/s
• Maximum power: 66.7 kW
• Penstock internal diameter: 480 mm
• Thickness: 3.14 mm
• Material: steel
• Length: 167 m
• Water speed: 2.21 m/s
• Turbine type: Banki-Michell
• Rotor diameter: 460 mm
• Speed: 360 rpm
From the concrete intake, water is guided in a channel to a sedimentation tank.
Then, from this tank water is received, through another channel, by a charge tank
where the penstock begins. The drop is of about 18 m. In the powerhouse, the turbine
is coupled with a synchronous brushless alternator.
The load control has been made with an electronic system working with five
resistances of 10 kW, each resistance subdivided in 15 steps of 660 W. The power
produced but not engaged by the loads connected to the grid is wasted on the
resistances that are dipped in the water of the river exiting the turbine. In this
way, the voltage is kept constant to the grid. The ballast resistances are connected
to the first and second phases, and one to the third phase (IREM 2009). The
Electronic Load Control (ELC) keeps the balance between the three phases using
the resistances. Traditionally, complex hydraulic or mechanical speed governors
altered flow as the load varied, but more recently developed ELC has increased
the simplicity and reliability of modern micro-hydro sets. A further benefit is that
the ELC has no moving parts and is very reliable and virtually maintenance-free.
3.2 The Electric Grid
The electric grid (posts and lines) was built by the community itself in cooperation
with Mexican and Italian volunteers (Electrical Installation 1994). There are two
transformers, a step-up transformer near the power house to raise the tension from
260 to 23,000 V and a step-down transformer in the community 1 km far. Every
house but the houses of the families that for political reasons did not take part in
the works has its own electric line. The only safety devices are fuses to avoid short
circuits.
Being the encargados in charge of maintaining and managing the electric grid
and the electricity production, some of them attended an electric course in San
Cristóbal de Las Casas, but due to cultural background, they met several difficulties
to finish. Thus, LITA decided to satisfy the knowledge gap holding in La Realidad
courses on electricity and on turbine plant maintenance for encargados, women, and
children.
3.3 The Chlorine Self-Production System
Ten years after the beginning of the study for the hydroelectric plant, the target of
the project was the self-production of chlorine, a very common good that is usually
sold in the tiendas, with the purpose of disinfection.
Chlorine is the first choice to disinfect water in emergencies and is available in
the following forms:
• Chlorine gas, normally used in conventional water supply schemes of substantial
size. Chlorine gas dosing equipment is expensive to install and complicated to
operate and maintain, and it can be dangerous if not handled properly. Chlorine
gas is unlikely to be used in an emergency water supply.
• High test hypochlorite (HTH) – calcium hypochlorite granules supplied in drums
(70% available chlorine).
• Sodium hypochlorite – supplied in liquid form as:
• Household disinfectant (Chloros, Parazone, Domestos, etc.) 5–15% avail-
able chlorine.
• Laundry bleaches 3–5% available chlorine.
• Antiseptic solutions (Milton, Javel) 1% or 2% solution.

• Electrolytic generators are available which generate sodium hypochlorite
from common salt. They are powered by electricity from mains AC or
solar photovoltaic cells.
• Bleaching powder or chlorinated lime – about 30% available chlorine
when fresh.
• Chlorine tablets – various relatively expensive types:
• Small calcium hypochlorite tablets (60–70% available chlorine) used in
tablet chlorinators.
• “Swimming pool” tablets containing trichloroisocyanuric acid: these
tablets can be suspended in a tank with a purpose-made float to give a
slow release of chlorine.
Enough chlorine must be provided to meet the chlorine demand and to leave a free
residual of 0.2–0.5 mg/L after a contact time of 30 min.
The project consisted in the installation in the La Realidad community of a
plant able to produce chlorine. Project duration was about 35–40 days to realize
the structure and 2 months to monitor the plant to check it was correctly working.
The main purpose was to solve problems related to hygienic disinfection and health
of food and clothes using chlorine, because it was already used by the indigenous
communities but with a high cost of 6 pesos for about 0.5 L.
The aim was to produce chlorine using the electricity generated from the Micro
Hydro Turbine. The appliance “aquachlor” was used and installed just before the
resistances that dispel, using, in this way, the electric energy in excess. The only
cost is the cost of the salt used in the production process.
The self-generation of chlorine project is inserted in an important target that is
the self-sufficiency of the rural populations in a sustainable way. This has social,
economic, and technologic effect in the Indian regions. The self-production of
chlorine has been for this very reason included in the process of autonomy of the
Zapatista communities.
4 Main Challenges and Lessons Learned
4.1 Problems Solved
The main problems were technical, and some of them could not be predictable.
The river, after 1 month of plant running, has gone around the small dam built,
digging a hole in the ground on the right side of the river, just opposite the intake.
This part was not protected by gabions because the plant roots on this side were
supposed to prevent erosion as well but they did not. The side was rebuilt, filling the
hole with stones and soil. Later gabions were installed to protect the riverside. The
community was coordinated by experts and volunteers sent by LITA who performed
all the operations described above working in strong collaboration with the local
population so to make them understand the decisions taken.
As for the electric grid realization, some problems came up from the step-down
transformer due to a lightning that fused the transformer itself and to the wrong
winding corrections performed at first.
The last problem solved by LITA in collaboration with the local community was
the wrong running of an ELC, which was replaced.
4.2 First Maintenance Activity: November 2006
The first maintenance activity was in November 2006. A maintenance plan was
prepared in Italy, before going to La Realidad, in a meeting with the IREM
responsible, the turbine maker company.
During the meeting with IREM, they carefully analyzed the photos of the plant
and decided to change numerous pieces and send specialized technicians in order to
make a complete checkup of the plant. Another aspect foreseen by the maintenance
plan was to train local people on substitution of critical parts of the plant.
Once the maintenance plan was finalized, IREM provided all the necessary parts
of the plant, and with the help of the local people in contact with Ya Basta, it bought
in Mexico all the necessary instruments for the substitution. All instruments were
then left to the community to be self-sufficient in the maintenance.
The delegation left Italy in October 31st, flying to Mexico City with all the
technical material. After all practices with the customs, they rent a vehicle to
transport everything to Chiapas.
When they arrived in Tuxla, they contacted a specialized mechanical to arrange
the transportation to the mountains with an appropriate rent vehicle.
Once arrived in La Realidad community, a meeting was organized with Juntas del
Buen Gobierno to plan the working schedule. The following morning works started
(Fig. 11.7).
Firstly, the deviation of the river water in the channel was investigated observing
what it was necessary to reinforce the filtering network, substituting the grid with
a thicker one, building a support with bags of stone, in order to permit a greater
filtering of the water in the channel.
It was asked to accurately clean the whole concrete channel which drives the
water to the conduct. The entrance of the conduct was checked out, and also there it
was necessary to build a new filtration network.
All cleaning, revering works of the channel were executed by local people.
The second step was to disassemble the turbine. While disassembling, all
damages caused by limestone, in all its components, were detected. In particular
the main damage was to the tile which contains the impeller that allows the power
regulation of the entering water.
Actually this piece of the turbine was not in the list of pieces brought from Italy.
Then it was decided to go on with the plant working and to order the tile from Italy.
The piece would be available in La Realidad only by the end of that year.
Once the turbine was completely disassembled, reducers, bearings holders, and
bearings were substituted.
Fig. 11.7 (a)–(c): Turbine maintenance (Pictures from A. Micangeli)
All components have been cleaned from limestone, and each component was
lubricated.
In the meanwhile the five resistances were substituted, and the holes where they
resided were cleaned. The little channel where the water goes out from the resistant
holes was rebuilt to guarantee that resisters lie in clean water.
Once all the components of the turbine were revised, cleaned, and lubricated,
they were assembled once again.
While assembling the whole turbine, it was explained how to correctly collocate
the tile at its arrival in the community .
Once the review of the turbine completed, all the electric cabinets were examined.
When the maintenance works were completed, the plant was turned on. Thanks
to a flying dam located in the river in order to grow the quantity of water and
compensate for the absence of the tile, the plant started supplying an average
of 24 W.
The whole phases of assembly and de-assembly have become a useful training
on field mainly thanks to the presence of IREM people. The people in charge of the
plant had the opportunity to learn a lot about it even if they had no good technical
knowledge.
In the final phase of the work, a meeting was organized with the Italian delegation
and the local responsible of the turbine to summarize the maintenance job and to
discuss the issue of the presence of limestone which represented the main problem
for the plan. In the same meeting, a schedule for the next maintenance plan was
discussed.
The main decisions were to clean the channel every 15 days, to disassemble
and to lubricate the pieces once a month, and finally to plan a new intervention to
assemble the tile at the end of December.
In Italy, a study on the solution for problems related to the cabinet was carried
out as well as the research of a solution for the presence of limestone.
4.3 Second Maintenance Activity: January 2007
The aim of the second maintenance event, performed from 3 to 7 of January 2007,
was the installation of the tile to regularize the flow and the definitive check-out of
the machine.
The installation was done by the local responsible with the supervision the of
University of Rome “Sapienza.”
In this second intervention, the piece from Italy was carried directly by Andrea
Micangeli, responsible of the project, in order to avoid any cost of transportation.
All the activities of the machine disassembly and tile assembly (and consequent
regulation of the flow) were completed in 2 days. In addition the reduction axe was
changed, and the electric cards were substituted.
All the disassembly and assembly work was carried on by local people who
demonstrated a complete mastery of mechanical staff maintenance, even when
complex. At the end of the work, a check plan to do all necessary maintenance with
daily, weekly, and monthly and annual jobs was provided. This planning of plant
monitoring together with the completed training of the responsible local people will
avoid the problems occurred in the first phase. One issue is still open and needs to
be deeply investigated: the huge production of limestone, responsible for the main
problems of the plant. In fact the limestone problem can be avoided by a constant
maintenance and cleaning of the machine but also by researching a system to prevent
an overabundance production of limestone.
After this second maintenance intervention, the turbine works fine and produces
the electric energy sufficient to face the community needs, the Caracol activities, in
particular internet point, herbs laboratory, education, etc.
5 Environmental Communication About the Contribution
A number of instruments for environmental communication have been used to

inform stakeholders about the improvements. It is important to underline that the
same issues have been discussed at schools and adult level training, in Chiapas as
well as in Italy, as requested by the public bodies and university interested into the
projects. The same issues have been stressed and discussed every year in university
and school courses in different Italian towns as well as in the community at every
step of the project.
The ways of communication have been verbal by drawings and by practical
training and mainly consist of:
• Community meetings on electricity use, saving, potentiality, and limits
• Training on electricity and related dangers
• Training on the Micro Hydro technology
• MPT survey on technology user (MPT 2003)
• Trainings on self-chlorine production in eco-friendly methods
The preliminary stage was realized, thanks to an assessment form: check list
interviews were carried out on the beneficiaries in order to highlight key information
for the project implementation such as:
• Population typology (demographical and social composition)
• Institution typology (local economic, political, and social institutions)
• Utilized energy sources
• Way of energetic supplying
• Estimated forecasts (recently implemented programs or to be implemented in
close future)
• Local communities directly or indirectly involved in the project
• Other significant elements for the project
An interesting experiment was the application of the Matching Person and
Technology (MPT) Model to the technicians in charge of the maintenance of the
turbine.
This instrument, usually utilized to evaluate the right choice in case of technology
delivering to disadvantage people, takes into account three principal areas that are
the MPT model components:
1. The final user characteristics
2. The technology
3. The social and natural environment where people have to interact with the
technology
The Survey On Technology User (SOTU) analysis was used to take into account the
following influences that have been weighted in general terms in order to decide the
possible use or nonuse of technology by the user:
• Technologies frequently used by the final user of the new technology
• Past user experiences of the technologies currently used
• Approach to any new technologies
• Most typical user daily activities
• User’s personal and social features
5.1 Training
The training was the most important part of the project to introduce electricity in the
village in as much as possible sustainable way (Fig. 11.8).
Fig. 11.8 Community training (Picture from A. Micangeli)
In summer of 2002, two courses were held in the community by two Italian
engineers, one for the men and women living there on the opportunities and dangers
of electricity, and another one, more technical, for the encargados, on the future
management of the plant.
After the courses, the project could be considered finished. The plant is working
fine, although not to full power (30 kW), because the load is not high yet. The loads
connected to the grid are exclusively resistive (i.e., for illumination), for a peak of
power engaged of 10 kW. The connection with the local carpentry engines and the
realization of the vulcanizadora, to repair the lorry tires and for other mechanical
repairing, are foreseen in the next future.
La Realidad has its own power supply; the community has been trained to
maintain it in the proper way and solve the future technical problems.
Anyway, the partners that have worked in the project will continue to be in
contact with the encargados in case of extreme failure.
6 Summary and Outlook
One of the main results, obtained thanks to stakeholder collaboration and useful
technology made up of cheap and local material, was to free the community
from energetic dependence and create a kind of local self-development. An Indian
community of Mexico has now its own hydroelectric energy production and chlorine
self-production, reducing costs and dependency and being able to handle both
plants.
This represents a success from the technological, political, and social point of
views. The involvement of the local people in all phase of the work has been so
important to leave the community with the complete understanding of the whole
process.
The project is a good example of a efficient cooperation among different
organizations and people coming from heterogeneous backgrounds.
From the beginning of the project (more than 10 years ago) up to now, the plant
has always been monitored, maintenance activities to solve problems occurred have
been scheduled, and the community has not been left alone, during all these years.
Acknowledgments

Sustainable Energy Systems s.a.
Mr. Lamberto Micangeli
References
INEGI, XI Censo General de Poblacion y Vivienda (INEGI, Aguascalientes, 1990)
INEGI, El sector energetico en mexico – edicion 1996 (INEGI, Aguascalentes, 1997), p. 332
Saccardo Italo, Cautele nell’utilizzo dei metodi di stima del deflusso minimo costante vitale, in
L’Acqua, n˚ 2/1996, pp. 59–64 (1996)
R. Vismara et al., Impatto ambientale dei prelievi di acque superficiali, in L’Acqua, n˚ 2/1996,
pp. 45–54 (1996)
Micro-Hydro Design Manual, a guide to small-scale water power schemes – 2008 ISBN 978-1-
85339-103-3
Micro-Hydro power sourcebook – (1986) ISBN 946688486
Hydraulics Engineering Manual, MHPG Volume 2 – (1990) – ISBN 3908001137
Electrical Installation: principles and practice – (1994) ISBN 333601602
IREM – Microcentrale idroelettica Ecowatt AC4/FI : Manuale di installazione ed uso (2009)
MPT, Matching Persons and Technologies, Marcia Sherer, – The Institute for Matching Person and
Technology, Webster, NY (2003)
Khennas, Smail and Barnett, Best practices for sustainable development of micro hydro power in
developing countries (2000)
Bartolazzi, Le Energie Rinnovabili, Hoelpi (2010) ISBN 978-88-203-3587-8
Micangeli et al., SENECA Method for a Social evaluation of Energy Projects, IEEE Catalog
Number 00CH37043 (2000)
Groundwater Contamination: Role of
Health Sciences in Tackling 12
Chiho Watanabe
Abstract
Groundwater contamination creates huge problems in many areas over the world.
This chapter will use the arsenic contamination problem as a typical but the
largest among such problems and discuss the importance of role of the health
science or human biology for implementing sustainable, and especially small-
scale, mitigation measures. Although the chapter will concentrate on arsenic,
the chapter should have significant implications in considering not only other
chemicals but also nonchemical (e.g., microbiological) contaminations.
Based on the authors’ experiences in Bangladesh as well as on recent
literature, the chapter will discuss the importance of dose-response relation-
ship, a conventional component for risk assessment, focusing on (1) important
modifying factors particularly associated with developing countries, where such
problems are often encountered, and on (2) exposure evaluation. The chapter
will discuss these two rather conventional issues under a new light and will try to
show how the information from health science/human biological science can be
utilized to devise adaptive approach in implementing engineering options.
Discussion of modifying factors including biological attributes (e.g., gender or
genetics) and cultural/behavioral factors (as nutrition) will show that such mod-
ifying factors could pose substantial impacts on the dose-response relationship
and will suggest such factors should be considered as an intrinsic part of the
dose-response relationship rather than assuming a “universal” dose-response and
its modifiers.
Discussion of exposure evaluation will include significance of non-water
exposures and chemical speciation. The former will emphasize the exposure
through food and may potentially lead to substantial revision of the mitigation
measures, while the latter may show the practical importance of rapidly evolving
C. Watanabe
Department of Human Ecology, School of International Health, University of Tokyo,
Tokyo, Japan

DOI 10.1007/978-1-4020-8939-8 10,
182 C. Watanabe
scientific (toxicological/biological) knowledge in considering actual counter-

measures. This portion, particularly the chemical speciation part, will be rather
arsenic specific (as compared to the first discussion on the modifying factors) but
still relevant to contamination by other chemicals.
As a whole, this chapter will try to demonstrate the importance of comprehen-
sive biological/health science knowledge in implementing specific sustainable
engineering measures.
1 Introduction
While provision of safe water is one of the most fundamental conditions for the
sustainability of healthy population, more than one billion people throughout the
world are still having a hard time to find appropriate water sources for daily living.
As a result, diarrheal diseases presumably arising from poor water and sanitation
are estimated to bring about 1.8 million deaths in 2002 (WHO 2006). Another
estimation shows that water-associated diseases, including both those associated
with unsafe water and those with poor sanitary facilities, account for 4% of total
diseases burden in the world in terms of disability-adjusted living years, DALY
(Young 2005).
It is estimated one-third of the world population is depending on groundwater
(WHO 2006). While it is relatively free from biological (bacteriological) contam-
ination compared to surface water is, chemical contamination occurs either due
to chemicals migrating from the (soil) surface or leaching from the soils/rocks.
Compared to biological (bacteriological) contamination, population at risk due to
chemical contamination is less, but chemical contaminations, at least some of them,
pose long-term and serious health effects such as cancer, which would hamper the
sustainability of affected communities.
Arsenic is one of such chemicals and has been associated with the largest
groundwater-associated chemical problems in the world. The problem has been
mainly found in developing countries in Asia (including India, Bangladesh, Nepal,
Vietnam, Thailand, Taiwan, and several regions in China) and Latin America (Peru,
Argentina, and Chile), but it could account for substantial portion of waterborne
outbreaks in developed countries such as USA (WHO 2006). In Japan, arsenic is
one of the most frequently detected contaminants that affect the water quality of
wells, only second to nitrite nitrogen, which is an indicator of biological (i.e., not
chemical) contamination.
Since the arsenic contamination causes various health outcomes including
serious ones, any solution of this problem should be compatible with reducing health
risk to acceptable levels. To define this level, knowledge of health sciences will be
required. While information is available regarding the risk associated with arsenic,
this chapter will discuss some issues to be considered in delineating the risk and
applying the risk knowledge, which would be also informative to tackle with similar
problems with other type of hazardous chemicals.
12 Groundwater Contamination: Role of Health Sciences in Tackling 183
2 A Brief Description of the Arsenic Contamination

in Bangladesh
Bangladesh is a densely populated country with a total population of 150 million.

Up to 1970s, the country depended on surface water for its drinking water, but due to
the increase of human as well as livestock populations, biological (bacteriological)
contamination of the surface water often led to outbreak of GI infections and became
a big threat for the communities. By the end of 1970s, many tube wells were
installed throughout the country under the guidance of the World Bank as well as
UNICEF (Fig. 12.1), which eventually succeeded in drastically reducing the number
of GI infection outbreaks. Thus, in the early period, the installation of the tube wells
in Bangladesh was a success story.
The story began to change in early 1990s, when some odd diseases were observed
in some area of Bangladesh, and in 1993, arsenic contained in the polluted tube
well water was officially recognized as the causative agent. It was turned out that
the arsenic in the groundwater comes from soil, thus is natural origin, although
the mobilization of the soil-bound arsenic is associated with some anthropogenic
process (Neuman et al. 2009). Despite many studies and governmental actions since
then, currently, the country has the largest population at risk with regard to arsenic
toxicity, which is estimated to be approximately one-third of its total population.
Fig. 12.1 A tube well in a

rural village in Bangladesh
184 C. Watanabe
Since more than 90% of Bangladeshi population are depending on groundwater as

the sole source for the drinking water, to find out the appropriate way to tackle this
problem is fundamental for the sustainability of the country.
3 Toxicology and Health Risk Assessment of Inorganic

Arsenic
3.1 Toxicology
While many chemical forms of arsenic exist, only arsenite and arsenate are
the chemical forms found in contaminated groundwater. Effects of these toxic
compounds vary with dose, and most of the groundwater contamination cases are
associated with long-term, relatively mild extent of exposure, where “relatively
mild” means that the dose would not lead to acute death. At this level, the most
widely known effects are skin lesions, including keratosis in the palm and sole,
and abnormal skin pigmentation – melanosis as well as leukomelanosis on the
trunk. Effects on microcirculation are also known. The most serious consequence of
such long-term, low-level exposure will be the development of the cancers of skin,
kidney, bladder, and lung (even exposure through ingestion). Also, iAs is considered
to be a risk factor for diabetes, hypertension and pulmonary diseases. Recently,
several groups report neurological as well as developmental effects. Interested
readers should consult with available reviews as already mentioned.
Arsenic found in the environment exists in a variety of chemical forms including
both inorganic and organic ones. Arsenic compounds in groundwater exist as
arsenite or arsenate, depending on the physicochemical condition of the water.
Some marine organisms contain high amount of arsenic, which are usually in
organic forms like arsenosugar, arsenolipids, or arsenobetaine. Forms in terrestrial
organism (food) are also various with higher proportion of inorganic forms (EFSA
2009). Toxicity of the arsenic compounds reflects these differences in the chemical
forms. Importantly, when ingested by human, the inorganic arsenic compounds
undergo metabolic changes. The basic changes are described as methylation, but the
metabolic pathway and its toxicological significance have been given new aspects
in the last decade. Regarding the pathway, it has been assumed that the inorganic
arsenics will be oxidatively methylated twice in the body, but this traditional scheme
has been questioned recently by a report suggesting the involvement of glutathione
in the methylation step (Fig. 12.2). Regarding the toxicological relevance of the
metabolism, the whole process had been considered as detoxification process since
the methylated forms showed much less toxicity in terms of lethality. Actually,
trivalent methylated species (both for MMA and DMA) are found to be as
toxic as and even more toxic than arsenite in some assay systems (Styblo et al.
2002). While the importance of the chemical forms and the metabolism will
be described in later sections, it should be noted this is still an ongoing basic
research issue.
Fig. 12.2 Metabolic

pathway of ingested inorganic
arsenic. In the contaminated
groundwater, most of arsenic
exists as arsenate or arsenite,
which are converted into
organic forms in the human
body after ingestion (GS =
glutathione)
3.2 Risk Assessment
For many chemicals including arsenic, inorganic arsenic (iAs) to be exact, there
are various useful sources, which provide health risk-associated information on
the web. Many international and national organizations have been evaluating the
health risk of iAs, and most of them has been updated time to time. In case of iAs,
such organization includes, although not exhaustive, Integrated Risk Information
System (IRIS) of EPA (USA), Toxicological Profile of ATSDR (USA), WHO Fact-
sheet, IPCS-Environmental Health Criteria (IPCS 2001), IARC monographs, Joint
WHO/FAO Expert Committee on Food Additives (JECFA 2010), and European
Food Safety Authority. By consulting with these risk assessments, succinct answers
to the question, “what is the level that is thought to be safe?,” may be obtained.
Currently, EFSA (CONTAM Panel) concludes BMDL1:0 values as ranging from
0.3 to 8 g/kg bw/day, while US EPA indicates BMDL0:5 3.0 g/kg bw/day. Both
of these bodies indicate that the current Provisional Tolerable Weekly Intake of
15 g/kg bw/week is not appropriate.
Most of the cases, these risk assessments are based on currently available and
reliable information, collected under certain exclusion/inclusion criteria determined
by each assessment body. The most sensitive and serious, serious in view of the
health consequences, effects are identified, information providing doses-response
relationship will be archived, and after considering the uncertainty of the infor-
mation in various manner, the assessment will come to the final critical value, the
definition of which varies one assessment/organization to the other. The procedure
per se is quite well established, although it has been modified/changed according
to the updated scientific knowledge. While final conclusion would sometimes differ
among such assessments, reflecting the fluctuation of the knowledge bias, difference
in the basic assumption of the dose-response models, or standpoint of committee
(e.g., taking more precautious principle side or not), etc., these assessments provide
a very good basis for taking or not taking any action on the real field.
186 C. Watanabe
While these procedures are well established, and most of the assumptions used in
deriver process are explicitly shown, there are implicit assumptions that unevaluated
or unmeasured parameters would not affect the assessment substantially. Generally
speaking, for example, genetic differences and/or environmental differences are not
taken into account at least in a quantitative manner, although they are sometimes
mentioned. To rephrase, most of the assessments try to establish a universal
assessment, at least in the past. This hidden assumption appears to be gradually
changing recently. For example, summary from the 72nd meeting of JECFA (2010)
pointed out that nutritional status as well as other lifestyle associated factors
(although not identified so far) could be the sources of uncertainty. The recent
EFSA evaluation (2009) concluded that skin lesions found in south Asian countries,
long considered as the most common manifestation of the arsenic toxicity, may not
be caused by iAs alone but caused by iAs combined with other factors like poor
nutritional status; exposure to iAs is necessary but not sufficient condition to cause
skin lesions.
For several reasons these issues should be taken seriously into the risk assessment
in real world. First, including iAs problem, many of the sustainability problems are
observed in developing countries, where many conditions including genetic make,
nutritional status, coexistence of other environmental threats including hazardous
chemicals, culturally specific behaviors (Bae et al. 2002) are different from those
in the developed countries, where most of the “background” studies in the past
risk assessments had been conducted. Second, compared to the past events like
Minamata disease, most of the current risk issues are dealing with subtle health
effects. This is exemplified by recent assessment of the health consequences of
in utero methylmercury exposure on offspring. Sophisticated neurobehavioral test
batteries (Grandjean et al. 1997) including Brazelton test (Suzuki et al. 2010)
assessments could detect minute effects associated with low-level exposure to
mercury. Third, which is also related with the second point, exposure would not
occur with only a single chemical, usually exposure to multiple chemicals should
be assumed regardless this fact should be incorporated in the assessment or not.
In the following sections, these issues will be considered in two approaches. The
first one is to discuss the “modifiers” of iAs toxicity, which directly assess the issue,
and the second one is to discuss the issue in terms of exposure. In the latter approach,
it is hoped that the link between the exposure and these issues will be clarified along
with the discussion.
4 Modifying Factors of Arsenic Toxicity
One of the prominent features of arsenic toxicity is the large variation of its manifes-
tation both across populations and across individuals. In the field situation, there are
sometimes households within which only some of the members are severely affected
by arsenic, while other members are not at all, despite the fact that all members drink
the water from the same source and share the food. Some researchers even think iAs
may not be a sufficient factor of so-called arsenic symptoms (Mead 2005; EFSA
2009). There are a variety of candidate reasons why populations and individuals
respond so differently with each other. These reasons could be either biological or
social/environmental (Tseng 2009). Identifying such reasons may sometimes lead
to elucidation of the toxic mechanism of arsenic. Although, often, classification into
two (biological vs. social) might not be meaningful and even misleading, these will
be discussed separately below for sake of discussion.
4.1 Biological Attributes
Effects of the age and sex have long been the targets of investigation in the risk
assessment field. In case of arsenic, a clear sex differences have been described in
many papers (Vahter 2007). The figure shows the sex difference in the prevalence of
dermatological lesions induced by arsenic in Bangladesh and Nepal, where females
show higher tolerance to arsenic toxicity than males do.
Mechanisms for the sex difference have not been elucidated. It has been
known that difference in the water intake, behavioral difference like smoking, or
alcoholic consumption cannot account for the sex difference. Hormonal effects
should have the primary importance; other factors like sex-dimorphic brain structure
or, nonbiological factors like differential intake of food (leading to differential
nutritional status between sexes) or labor intensity may be among the candidates.
Recently, it has been found that Bangladeshi women using estrogenic contraceptive
exhibit suppressed iAs-induced oxidative stress compared to their non-contraceptive
counterpart (Sultana, unpublished).
While these studies suggest the importance of sex hormones (or estrogenic
activity), it awaits further confirmations. If such mechanisms will be identified, this
could lead to a development of the “antidote.” One of such candidate mechanisms
is associated with the metabolism of the ingested iAs. It has been known that
ingested iAs will undergo a series of metabolic changes, where the compound
will get methylated twice (Fig. 12.2). The metabolic change was understood as a
detoxifying pathway since injection of the resultant methylated species revealed
much less toxicity compared to the “parent” iAs species. This long held view
has been challenged and eventually changed during the last decade; it has been
found that an intermediate species mono-methylated, trivalent arsenic (As(III)) are
as much toxic as the parent iAs like arsenate in a variety of experimental assays.
The methylation status can be inferred by examining the urinary profile of the
excreted arsenic species using HPLC-ICP-MS system, which will be described later.
Finally, it should be noted that although the sex difference in skin lesions, i.e.,
higher susceptibility of males, have been reported by many researchers, this may not
be the case for some other endpoints. For example, in arsenic polluted area in the
Terai region, the lowland Nepal, a negative correlation between the arsenic intake
level and BMI, an indicator of general nutritional status (presumably reflecting
energy balance) was found (Maharjan et al. 2007). While there were sex difference
in terms of skin lesions, no sex difference was found in the BMI suppression.
Interaction between the genetic make up vs. environmental factors become
one of the hot fields in the environmental health sciences. Since above-described
metabolism of iAs contains some enzymatic processes, researchers focused on
188 C. Watanabe
Table 12.1 Some of the genetic polymorphism potentially associated with metabolism or toxicity
of inorganic arsenic
Polymorphism Effects Reference
Arsenic methyltransferase Associated with metabolism, Engstrom et al. (2011),
cancer risk, or with DNA Sampayo-Reyes (2010),
damage Agusa et al. (2009), and
Fujihara et al. (2009)
Glutathione S-transferase M1 Deletion may be associated Ghosh (2006) and MacCarty
with modified metabolism et al. (2007)
Glutathione S-transferase T1 Deletion associated with higher Kile et al. (2005) and
body burden; but, increased risk MacCarty et al. (2007)
Purine nucleoside Increased sensitivity to skin De Chaudhuri et al. (2008)
phosphorylase lesions
XRCC3 Protection against skin lesions Kundu et al. (2011)
associated with polymorphism
Heme oxygenase-1 Shorter GT repeat may be Wu et al. (2010)
associated with reduced risk for
cardiovascular mortality
Cystathionine-ˇ-synthase Some SNPs associated with Porter et al. (2010)
metabolism
genes coding for such enzymes as methyltransferase or glutathione transferase

isozymes, while others chose other proteins. Table 12.1 shows the examples of such
genetic variants and their relationship with the toxicity. Basically, such measure-
ments per se are simple and hence could be carried out without many difficulties.
On the other hand, choice of the samples and interpretation of the results need much
more attention. Statistically derived relationship between polymorphism and arsenic
toxicity is still being accumulated, and the hypothesis should be re-evaluated with
more samples. As in the case of the susceptibility against multifactorial diseases,
it is obvious that more than one gene will be involved in modifying the toxic
consequences. A genome-wide explorative approach to identify the potential genetic
influences is an unexplored and promising way.
4.2 Environmental/Cultural Attributes
People are never exposed to a single chemical. They are immersed in “en-
vironment,” which means they are exposed, not only to iAs, the chemical of
concern, but also to numerous environmental biophysical and social factors. It is
natural that consequence of the iAs exposure would be different under different
environmental settings/parameters. For example, the absorption of cadmium or
lead is depending on the iron nutrition of the person presumably due to the
competition between the iron and these elements (Kordas et al. 2007). Inves-
tigation of such interaction among numerous factors is, however, impractical,
and investigator needs to focus on most relevant variables. Currently, this focus-
ing task is “handmade,” i.e., conducted empirically, and there is no systematic
procedure to do this. Investigators need to arbitrary choose potentially relevant

factors based on his/her knowledge on the biological mechanisms as well as
the feasibility of data collection. Considering the complexity of the exposure
and subtleness of the outcomes, which most of the environmental health issues
are sharing, systematizing this step is an urgent task, although it is not an
easy one.
One would implicitly assume that toxicity of chemicals is exaggerated when
the nutritional status of the host organism is poor. While this sounds as trivial,
epidemiological evidence is scarce (Li et al. 2008). It has been shown in a Nepali
lowland population that those having smaller BMI, less than 18.5, show higher
prevalence of skin lesions at the same level of the exposure (Maharjan et al. 2007).
In a separate report in Latin America, nutritional status for several nutrients, each
altered the toxicity up to two folds in terms of odds ratio for developing skin lesions
(Mitra et al. 2004). This kind of observations have much practical implication since
many of environmental hazardous are found in developing countries, where poor
nutritional status would be often expected.
Sometimes behaviors, customs, or habit that are specific to a particular cul-
ture/population may influence the toxicity. In some part of Bangladesh, rice is
cooked in a pot with a plenty of water. After cooking, excess amount of water is
discarded. If the water is contaminated by arsenic, this cooking process will increase
the concentration of arsenic in the cooked rice. In this case, the ratio of water to rice
would affect the final arsenic content of the rice; when they cook the rice in their
local style (with a large excess of water), arsenic dissolved in the water will be
condensed into rice grain during this cooking.
The cases discussed in this section highlight the importance of “modifying”
factors. The use of the term “modify” reflects the fact that the focus here is
arsenic and other factors are “side players,” which in turn reflects the assumption
that there is something like a “universal” or “true” dose-response relationship that
would be modified by many confounders. In fact, toxicity emerges under various
environmental settings, and there is no “standard” condition against which the
“universal” toxicity should emerge. Such consideration has been gradually emerging
in the risk assessment scenes. A recent example of this is risk assessment in
methylmercury contained in fish (that are not “artificially” contaminated as in the
case of Minamata disease). The neurobehavioral toxicity of methylmercury emerges
only when nutritional factors are taken into the statistical model. This fact implies
that the toxicity would depend on nutritional status of the population (Rice 2008).
In case of genetic influences, lack of standard condition is more apparent, since there
would not be a standard set of genome. Considering the number of genes that could
modify the toxicity, it would be more appropriate to regard toxicity as a function of
aggregated set of genotypes rather than an imaginary universal toxicity modified by
numerous variant of each relevant gene. In addition, the presence of other hazardous,
sometimes even unidentified, chemicals may increase the complexity. Recent EFSA
evaluation (2009) concluded that arsenic is not a sufficient condition for the skin
lesion observed in Asian countries; it should be more appropriate to consider the
skin lesions as an integrated toxicity of arsenic combined with some unidentified
190 C. Watanabe
conditions/factors. Simply, it is not known what kind of condition is required for

other symptoms observed in other regions.
5 Evaluating Exposure
The exposure status needs to be examined to decide whether the situation needs
some intervening actions or policy implementations. While the established dose-
responses relationship and health risk assessment are given in the form of abstract
information, exposure evaluation reflects regional specificity and local context.
A good reference for arsenic exposure in general population can be found in
a nationwide survey conducted in USA, which also provides information about
chemical forms of arsenic (Centers for Disease Control and Prevention 2009).
5.1 Potential Importance of the Non-water Sources
Since arsenic contaminates the groundwater, most of the attention has been paid
to iAs in the water sources. Also, most of the epidemiological studies have used
the iAs concentration (multiplied by water intake, in some cases) in groundwater
as dose indicator. Here, examined was the relationship between urinary arsenic
concentration, a frequently used good indicator of exposure, and iAs concentration
in the well water. When whole range of the dose was examined, the two indicators
show a good correlation as expected, but they show deviation in the lower end of
the dose ranges (Fig. 12.3). Such deviation suggests there are sources of iAs other
than the groundwater. A calculation based on some limited number of food samples
show substantial amount of arsenic come from food items. If it is assumed that
the arsenic contained in the food items are predominantly iAs, then the amount in
the food will exceed the Provisional Tolerable Weekly Intake (PTWI) (Watanabe
et al. 2004).
In fact, arsenic contained in the food items exists in a variety of chemical
forms. Based on an extensive survey of food arsenic measurement, the EFSA
concluded that overall estimate of the proportion of iAs against total arsenic is 70%,
ranging from 50% to 100% (EFSA 2009). Seafood has much lower proportion of
iAs compared to the terrestrial species. While fish and marine organism contain
high concentrations of arsenic, less toxic chemical forms like arsenobetaine is
predominating (Borak and Hosgood 2007). Among the marine organisms, however,
hijiki, marine algae, is unique in that it contains high proportion of iAs, which
might pose non-negligible cancer risk on hijiki-consuming Japanese population
(Nakamura et al. 2008). Therefore, it should be kept in mind that the proportion
of iAs varies considerably depending on the food types.
Most of the mitigation attempt has been focusing on the removal or arsenic from
water sources or changing water sources per se. To reduce the exposure is important,
but current strategies restricted to water arsenic might not be enough, and additional
strategy to reduce arsenic intake from food might be required. At this point, there
are missing information including the speciation of arsenic and the origin of arsenic
SV males
SV females
SP males
1000 SP females
Urinary As conc.
[µg/g creatinine]
100
10
1 10 100 1000
As in tubewell water [µg/L]
Fig. 12.3 Correlation between the urinary concentrations of arsenic of residents living in arsenic-
polluted area (vertical) and concentrations of arsenic in the respective well water used by these
residents (horizontal). Note both axis are drawn in logarithmic scale
in various food items. The latter, the origin of arsenic, will be related with the
environmental behavior of arsenic and mechanism of mobilization of arsenic from
soil (e.g., see Neuman et al. 2009).
5.2 Media for Exposure Evaluation
There are two approaches to evaluate the exposure: environmental monitoring and
biological monitoring. While the former relies on the amount of the (hazardous)
materials of concern in any environmental media including air, water, food, and
even soil, the latter uses “biological media” such as blood (whole blood, plasma,
or serum), urine, saliva, hair, nail, and breast milk. The relative usefulness and
appropriateness of each medium vary according to the purpose of the evaluation
and substance of concern (Table 12.2). In case of multimedia exposure, where the
exposure occurs through more than one route, the biological monitoring will provide
easier way for quantifying the individual exposure, while it cannot pinpoint the
major source of exposure that needs to be regulated. In so-called arsenic polluted
areas, while majority of exposure occurs through ingestion of contaminated ground-
water, exposure through the food items may not be negligible as discussed above.
Therefore, accurate quantification of exposure requires exhaustive quantification of
both arsenic in major food items and amount of food consumed, which is labor
taking and virtually impossible in most of the field situation.
192 C. Watanabe
Table 12.2 Biological media commonly used for biomonitoring of hazardous chemicals
Medium Invasiveness Handling Storage/transportation Others
Blood Large Infection Infection risk Rich information. Blood cells
risk and serum will give different
type of information
Urine Little Degraded if left Not appropriate for lipophilic
substances. Effect of dilution
and condensation
Hair Very little Easy Easy External contamination
Saliva Little Infection risk Relatively scarce information
Fig. 12.4 Correlation

between two urinary arsenic
measurements from the same 1000
Urinary As measured in Feb 1999
group of individuals sampled

with a 3-month interval. Only
two persons that changed
[ng/mg creatinine]
their water sources showed

apparent discrepancy between
two period
100
100 1000
Urinary As measured in Nov 1998
[ng/mg creatinine]
There is no known biological media that reflects longer (cumulative) exposure to

arsenic. Biological monitoring of arsenic usually relies on urinary arsenic because
of its relative accuracy in reflecting arsenic intake and relative ease in field sampling.
Another advantage of urine sample is that it can provide information about arsenic
metabolism if the sample is appropriately stored and analyzed with devices capable
of chemical speciation, for example, HPLC-ICP-MS. In the field setting, so-called
spot urine sample is taken as the surrogate for the cumulative urine (e.g., a 24-h
urine sample). Urine is better than blood arsenic in that it has longer biological
half-life, which is, however, only a couple of days. In a relatively homogenous
food consumption pattern in rural Bangladesh, urinary arsenic concentrations in
the pairs of samples collected from the same group of individuals with a 3-month
interval show remarkable consistency. The only two exceptional individuals were
those who switched from their former contaminated wells to newly installed
virtually noncontaminated wells between the two sampling periods (Fig. 12.4).
Thus, this simple scattergram provides some hints for the chronological aspect of
urinary arsenic.
6 Importance of Identifying Chemical Species
The urinary excretion profile as revealed by HPLC-ICP-MS provides information

on the metabolism of ingested arsenic in the body as well as the chemical form of
the arsenic ingested. For example, the excretion profile of Japanese and Bangladeshi
people are quite different; Japanese urine contains relatively high amount of arsenic,
most of which is accounted for by the presence of seafood-derived organic arsenicals
(mainly arsenobetaine), which is considered to be much less toxic than iAs. On
the other hand, the profile from an arsenic-polluted area in Bangladesh residents
consists of arsenite, arsenate, monomethylarsonic acid (MMA), and dimethylarsinic
acid (DMA). Regarding this profile, several researchers report that when the
proportion of MMA (mono-methylated species) against the total arsenic increases,
toxicity of the arsenic is enhanced (Valenzuela et al. 2005). It is noteworthy that the
excretion profile shows a sex difference, where males have a higher proportion of
MMA compared to females do; this observation appears to be consistent with the
fact that males are more sensitive to arsenic toxicity. It has been also pointed out
that in a northern Argentina population, proportion of MMA are found to be quite
low compared to other population and that this abnormal excretion pattern may be
evidence of genetic adaptation (Vahter et al. 1995), since the population in this area
have resided the same place for a long period, which is different from the situation in
the South Asian countries. Although this hypothesis needs to be tested, this could be
an example, in which toxicity of certain chemical depends on the past history of the
population.
Thus, the chemical speciation of arsenic is crucial not only in elucidating the
mechanisms of differential susceptibility but also in the evaluation of exposure.
Clearly, much effort should be made to fill the knowledge gaps in this field.
Depending on the newly emerging knowledge, the mitigation measure might be
substantially modified.
7 Summary
Established risk assessment as appeared in many national as well as international

agencies carries neat message relating critical toxic effects with certain expression
of doses. This standard dose-response relationship is actually assuming that the
background information provided by the background studies would represent aver-
age human responses to the toxicant. In the field settings, where sustainability is the
issue, variety of factors affects the manifestation of toxicity. Since most of the case,
what is observed in an individual or population is an integrated effect of numerous
environmental factors, it would be better expressed as the function of multiple
variables. In this connection, the toxicity should vary according to the population
and regions. Likewise, exposure is intrinsically a local phenomenon, which needs
close examination to be quantified, and the combination of environmental and
biological monitoring will make the most meaningful tool.
194 C. Watanabe
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Pharmacol. 47, 204–212 (2007)
Centers for Disease Control and Prevention, Fourth National report on human exposure to
environmental chemicals (2009)
EFSA, Scientific opinion on arsenic in food. EFSA J. 7, 1351 (2009)
P. Grandjean, P. Weihe et al., Cognitive deficit in 7-year-old children with prenatal exposure to
methylmercury. Neurotoxicology 19, 417–428 (1997)
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toxicity due to groundwater contamination in an area of Terai, lowland Nepal. J. Epidemiol.
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New York, 2005)
Sustainable Earth System Engineering:
Incentives and Perspectives 13
Abstract
Sustainable earth system engineering (SESE) is defined as deliberate, careful,
and science-based management of the three major components of the life
support system of the Earth: climate, biodiversity, and stability of societies
and economies. Unintended interventions into these basic assets have led to
major global crises. It appears that mankind is confronted with four major,
widely interrelated problem areas. Keywords in this context are water and food
deficiency, societal and economic instability, loss of the self-regulation capacity
of ecosystems, and last but not least the crisis caused by global warming and the
resulting climate change. Growth of the human population in conjunction with
global changes of life style is the underlying reasons for the evolvement of such
crises. A holistic approach is to be taken to counteract the mankind’s impacts
into the generic life supporting system of the Earth. This chapter describes the
interrelationships to be considered when planning to direct the development
of the Earth system toward a steady-state which enables the multibillion size
humanity to maintain its niche.
P.A. Wilderer ()

Institute for Advanced Study, Technical University of Munich, Garching, Germany
e-mail: peter@wilderer.de, peter.wilderer@mytum.de
M. Grambow
Bavarian State Ministry of the Environment and Public Health, Munich, Germany
e-mail: martin.grambow@stmugv.bayern.de
W. Meng
Chinese Research Academy of Environmental Sciences, Beijing, PR China
e-mail: mengwei@craes.org.cn, songyh@craes.org.cn

DOI 10.1007/978-1-4020-8939-8 47,
196 P.A. Wilderer et al.
1 Introduction
In September 2008, a 4-day reflection meeting entitled “The art of dealing wisely
with the planet Earth” was held in a resort near Wildbad-Kreuth, Germany. The
conference was organized by the Technical University of Munich, the EU Chapter
of the Club of Rome, and the European Academy of Sciences and Arts. About 40
representatives of science, economy, and politics attended the meeting. The result
of the discussions was condensed in a declaration which was discussed by the
participants at the highest peak of the German Alps, the Zugspitze, thus coined
“Zugspitze Declaration” (Fig. 13.1). It was resolved in November 2008 after some
weeks of intensive further discussions via internet.
The participants of the workshop agreed that awareness of the complexity of the
world crises brings a unique quality into the discussion of necessary and globally
effective measures. As mankind is confronted with not just one but very many
Zugspitze Declaration
on the Responsibility of Humanity for the Functioning of the Earth System
Faced with serious challenges to the Earth system, a group of scientists, politicians and business representatives
met for four days in Wildbad Kreuth, Germany, at a workshop on “Earth-System Engineering - The Art of Dealing Wisely
with the Planet Earth.” After follow-up communications they came to the following conclusions and recommendations:
§1 Our Global Crisis
Global climate change threatens the life-enabling functions of the Earth system.
§2 We ought to learn from the past

We should be able to tackle climate change as effectively as the problems
resulting from acid rain and stratospheric ozone depletion were mitigated.
But we will need much more concerted action.
§3 Our deeds must follow our words

There is plenty of knowledge available to handle this global crisis. Let us get started!
§4 We must raise awareness of the problem

Behavioral changes will be necessary to solve the Earth system crisis.
§5 We need to protect our indispensible global commons

To regulate usage of the global commons, including the atmosphere and oceans,
an enforceable international legal framework needs to be formulated, adopted
and applied globally.
§6 Execution of deliberate climate modification requires authorization

Climate engineering should only be permitted after rigorous assessment
and authorization by a process of international consensus to which all nations
are supposed to contribute.
§7 Sustainability has to be our goal

Our global society must understand that human endeavors can only be tolerated
when sustainability criteria are met.
§8 A global commons trust fund should assist in financing advanced research

A global commons trust should be made available to finance advanced research
which is holistic and multi-disciplinary in nature.
§9 We need a United Nations authority responsible for preserving

the functioning of the Earth system
A high-level United Nations body is to be established and authorized
to enforce measures capable of preserving the life-enabling functions of the Earth system.
Fig. 13.1 The Zugspitze declaration (Anonymous 2008a)

13 Sustainable Earth System Engineering: Incentives and Perspectives 197
interconnected crises, science and policymaking can not only concentrate on just
one target, reduction of green house gases for instance. Moreover, it is important to
take a holistic approach based on scientific knowledge, foresight, and a strong sense
of responsibility.
In the following, a number of smaller reflection meetings were held particularly
on the issue of responsibility taking by scientists, engineers, and politicians when it
comes to the formulation and execution of programes to solve the world crises. In all
of these meetings, the participants agreed that to become effective, counteractions
must obey the sustainability axiom. It was further agreed that the self-regulation
capacity of ecosystems can hardly be replaced by technology. Advanced technol-
ogy is required, but large-scale application of innovative technology designed to
manipulate the Earth system must be made dependent of the outcome of a dialogue
across disciplines and together with the civil society.
2 Background Considerations
2.1 Global Crises: Causes and Effects
By the end of the year 2010, the size of the human population on Earth exceeded the
seven billion margins, and it is not to be excluded that by the year 2050, more than
nine billion people will live on Earth. Growth of population is inevitably associated
with growth of the demand for resources, especially for water, food, energy, and
land. Water is needed to satisfy domestic and industrial demands. Moreover, water
is needed for irrigation of agricultural land, for production of industrial goods, for
heating and cooling, and, last but not least, for the generation of energy. Thus, it
is to be assumed that the demand of water, land, and energy in relation to global
warming and climate change is inextricably linked (Hoffman 2004).
Although there is plenty of water available on Earth, dramatic water shortage
situation are threatening mankind in such areas of the world where people accumu-
late in vast numbers and where the size of local water resources is insufficient with
respect to the local demand. By 2009, more than 50% of the world’s population
lived in cities, small and large. The tendency is rising.
Severe water shortage situations develop particularly in the course of long-
lasting droughts. It appears that global warming causes drought situations to
become more frequent and widespread. According to recent findings (Makarieva
and Gorshkov 2001, 2007, 2009), there is another reason for droughts and the
resulting desertification to be considered, namely, deforestation and the concomitant
loss of the capacity of forest ecosystems to regulate atmospheric humidity and
rainfall. Many striking observations indicate that in the past, clear-cut of coastal
forests led to a significant decrease of rainfall intensity in the hinterland. Obviously,
humanity has to deal with a threateningly dilemma. On the one-hand side there is a
necessity to leave land for ecosystems to fulfil their climate regulation function. On
the other side, the human society claims right to use land for settlements, industrial
installations, roads, and for agriculture purposes.
root population growth

of the migration
problem urbanization
lifestyle change
demands energy water food living space
over-usage fossile aquifers land land

fuels reservoirs
CO2 water food ecosystems

causes &
emission deficiency deficiency
biodiversity
loss
global warming
climate change
social &
droughts rise of loss of economic
flooding sea level habitable land instability
Fig. 13.2 Graphical representation of causes of global change and resulting effects
The demand for energy, water, food, and land is amplified by a global change of
lifestyle. Telecommunication and global transportation means made it possible to
spread information about how people live in other parts of the world. Experience
proves that the lifestyle which has developed in the industrialized countries became
a model for the whole world.
Figure 13.2 illustrates the network of causes and effects to be considered. It is
a major challenge for decision makers of political and economic institutions to
understand the complexity of this human induced network, to draw appropriate
conclusions, and turn conclusions into action on the global as well as on the
regional scale. It is important to derive decisions on in-depth system analysis
(Siaou et al. 2010).
2.2 Global Crises: A Closer Look
Observations made over the past 50 years, thoroughly assessments accomplished by

the International Panel on Climate Change (Anonymous 2008b), and a great deal of
convincing done by Al Gore (2006) and others have led to a globally widespread
realization of the man-induced impacts on climate. It is well understood that global
warming and the resulting climate change is most likely caused by emission of CO2
and other green house gases (Anonymous 2008b). It is assumed that combustion
of fossil fuel resources is the main reason of CO2 emissions and the subsequent
change of the climate. Subsequently, reduction of CO2 emissions is the center point
of the political debate nowadays. The network of causes sketched in Fig. 13.2
should clarify that such a sectoral assessment obscures the problems mankind is
actually facing.
It is reasonable to assume that the problems deriving from global warming and
climate change can be solved only when taking a holistic approach, when taking
in consideration not only green house gas emissions but the global challenges as a
whole (Bierbaum and Zoellick 2009). Particular emphasis is to be placed on factors
such as:
– Population size: According to today’s estimates, within a few decades, up to
about nine billion people will be accessing the limited resources of the Earth
(mineral resources, fossil fuels, water, air, land). In simple terms, the more people
are living on Earth the more resources are consumed and the more the Earth
system loses its capacity to regulate the life enabling conditions on land, in water,
and in the atmosphere.
– Atmosphere: Of concern is not only CO2 but other greenhouse gases as well,
water vapor, methane, nitrous oxide, ozone, and fluor-chlorohydrocarbons in
particular. The global warming potential of methane is about 20 times higher
compared to CO2 . Nitrous oxide is 300 times more effective. The strongest green
house gas, however, is water vapor which is affected by the warming of the
atmosphere and the surface waters and regulated – according to Gorshkov et al.
(2000) – by ecosystem function.
– Land has already become a scarce resource. Land is burdened through com-
petitive uses. Land bared of native vegetation gets easily lost by erosion. In
future, habitable land might be swallowed by the rising sea forcing millions of
people to migrate toward regions of higher elevation. Deposition of pollutants
on agricultural land and salinization of soil hampers food supply and aggravates
spread of poverty.
– Resources: It is most likely that in the near future, mankind will run out of
easily accessible raw materials such as coal, oil, gas, copper, and phosphate.
Among many other negative feedbacks, availability of fertilizers and thus supply
of people with food is jeopardized, particularly in those parts of the world which
are threatened by droughts and poverty.
– Water: Over-abstraction of water from aquifers, rivers, lakes, and reservoirs is –
in many parts of the world – the usual but ill-considered and unsustainable
answer to the locally increasing demand for water. For instance, in northern
part of India, 54 ˙ 9 km3 of groundwater is lost per year due to over-abstraction
(Mervis 2009). Seawater intrusion into aquifers causes sea level to rise. Over-
abstraction aggravates water shortage situation particularly in coastal areas where
the majority of people lives, presumably more than 80% of the global population.
In Fig. 13.3, the four major and most crucial demands of the global human society
are highlighted: the demand for energy, water, food, and living space. Form these
areas of demands, four global crises can be derived, crises which mankind and
nature alike are confronted with:
1. Global warming and climate change
2. Water and food deficiency
3. Ecosystems and biodiversity loss
4. Loss of societal and economic stability
population growth
root
migration
of the
urbanization
problem
lifestyle change
demands energy water food living space
over-usage fossile aquifers

fuels land land
reservoirs
ecosystems
causes CO2 water food &
emission deficiency deficiency biodiversity
loss
global warming
climate change
social &
droughts rise of loss of economic
flooding sea level habitable land instability
Fig. 13.3 The four major demands triggered by population growth and life style changes and the
resulting four major global crises
It has to be realized that all these crises are tightly interwoven (Fig. 13.4). Therefore,
a holistic approach is to be taken to tackle this system of crises. For political
reasons, it might be advisable to emphasize distinct limitation of, for instance,
global temperature rise (<2ı C) and subsequent CO2 -emission rate, but it should
be understood that such measures are insufficient if not supplemented by measures
addressing the other three crises as well (Grambow et al. 2009).
Climate change causes an abundance of critical transformations. Along with
natural catastrophes such as droughts and flooding, far-reaching interferences in
the biosphere, in particular the ocean and forest ecosystems, might cause long-
term disruption of the life-supporting systems of the Earth (Gorshkov et al. 2000;
Gorshkov and Makarieva 2002; Lovelock 2007). In addition, it is necessary to
take into account interferences with the anthroposphere which includes the factors
“economy” and “society” including culture, traditions, religious believes, and greed.
Tensions caused by societal and economic imbalances may be termed a “silent
crises.” Social explosives which result through the increasingly widening gap
between poor and rich, and other destabilizing mechanisms, are described by
Radermacher and Beyers (2007) and Welzer (2008). The financial crisis and,
much more, its underlying breaking points in the global economic system am-
plify the threat of destabilization. At the same time, the effects due the other
global crises, primarily water shortage and food problems, hurt the socially weak
considerably.
Fig. 13.4 Sustainable earth system engineering: measure to overcome the four major global crises
2.3 Taking Responsibility for the Whole
The evolution of the Earth crises, with their consequences for mankind at large,
is the result of unintended but far-reaching anthropogenic forcing. Impacts on the
Earth system function were posed by mankind unintentionally and, at least in
the past, also unexpectedly. For instance, neither people nor industrial or political
leaders wanted to warm the Earth through the emission of CO2 , and it was certainly
not intended to put the prerequisite of life, the presence of liquid water on Earth,
into jeopardy.
Realizing the consequences of anthropogenic forcing, far-reaching and weighty
countermeasures are currently discussed and partly already enforced. Among them
are various mitigation and adaptation strategies. The problem is, however, that
introduction of those strategies takes time – may be too much time to become
effective. Realizing the discrepancy between the speed of changes and the rate by
which politically and socially accepted mitigation and adaptation measures may
take effect scientists and entrepreneurs propose another option to manage the Earth
system (Keith et al. 2010). Keywords used in this context are climate engineering or
geo-engineering. Both are focused on deliberate changes of the regional or even of
the global climate by applying physical and/or chemical methods. In the contrary,
Earth system engineering considers not only the physical and chemical dimension
of the Earth system but biological dimension as well including the human dimension
(see Fig. 13.4).
In contrast to the unintended forcing of the past, deliberately enforced measures

(engineering) are considered to be justified assuming that human intelligence,
ingenuity, and wisdom are capable of preserving the conditions required to secure
life on Earth and prosperity of humanity. It is assumed that mankind having been
able to trigger global warming should also be capable of directing the Earth system
back to a state known to be advantageous for mankind to survive and to prosper.
Whatever philosophical justification is used, adaptation and mitigation measures
are already expressions of an engineering approach when the term “engineering” is
defined as “deliberate and planned intervention in a system.” Adaptation and mitiga-
tion might be understood as soft measures. Hard-core measures are paraphrased as
solar radiation management (SRM) and carbon dioxide removal (CDR) techniques.
The proposal to artificially cooldown the planet by injection of sulfur particles into
the troposphere falls in the category of SMR. Stimulation of growth of marine algae
by fertilizing the ocean may be rated as a contribution to CDR. The idea is to remove
from the atmosphere CO2 by incorporating carbon in algae biomass.
Deployment of mitigation and adaption measures bears tremendous risks and
shall not be executed unless collateral effects can definitely be excluded. Mankind
as a whole, science, engineers, and the political leadership are called to exercise
the highest possible carefulness when committing deployment of such methods in
experimental and even more in full scale trials.
2.4 Approach to Sustainability
The complexity inherent in the Earth system can only be countered through a
commensurately complex solution. The common lack of understanding of the multi-
connected, complex relations of the Earth crises is one possible reason for an
eventual failure of running the Earth system by means of technical intervention.
Another one is the reliance in “one track minded” technical solutions. The real
ultimate formula for handling global crises, however, is sustainability, which is
demanded in Sect. 7 of the Zugspitze Declaration (see Fig. 13.1), and further
explained as follows: “The purpose of the new frontier of Earth system engineering
must be to promote improved management of the global commons. The global
society must find a relationship between the natural environment and human
endeavours that ensures sustainability” (Anonymous 2008a). Human societies have
to find a sustained effective relationship between the natural environment and human
endeavors.
To overcome global crises and to approach a state of sustainability at the global
as well as on the regional scale, source control needs to get lifted up to the
top of the political agenda. As shown in Fig. 13.2, the true reason of the global
crises is overpopulation of the planet Earth. According to Lovelock (2009), the
bearing capacity of the Earth is in the range of 200 million. Gorshkov et al.
(2000) calculated the maximum number of people the Earth might carry to about
650 million. Wackernagel (WWF 2008), considering the resources consumed and
wastes emitted, came to the conclusion that humanity used in 2008 the equivalent
of 1.3 planets already. Whatever number one might adopt, it is obvious that radical
changes are necessary. For ethical reasons, innovative methods are to be identified
and enforced – methods which allow accommodation of even nine billion people
on Earth under strict rules of sustainability. No measure is allowed that lead to
conditions which hurt mankind afterward, however.
Limitation of emissions and technical interventions into the climate system
of the Earth (geo-engineering) must be paralleled by changes on the ethical,
societal, and economic level. Klaus Toepfer, the former director general of the
united nations environmental program (UNEP), suggested giving highest priority
to education of women followed by career chances and family care programes
(2009, Toepfer K., personal communication). An ethically well-founded decline of
the global population size is likely to be the result as demonstrated by population
size changes in many of the industrialized countries of the world.
Such a process takes time, and because global warming and climate change will
progress, measures are to be identified and brought into operation which promise
short term effects. Examples are:
– Technology supporting sustainable development: Objective is further develop-
ment and deployment of energy-saving, resource-considerate, and low-emission
technologies in all economic sectors. In this context, used materials, gaseous,
liquid, and solid materials alike, shall be considered as raw materials for further
use and returned in the cycle of materials much more resolutely than today.
– Land use management: To revitalize the climate regulating function of forest
ecosystems, it appears to be necessary to provide ample space for reforestation.
To make these possible, innovative agricultural practices should be developed,
providing high crop yields on a minimum of land. Likewise, city planners should
work on further compaction of municipal areas while combating isolation of city
dwellers. A livable city should be the goal to avoid population density driven
social frictions.
– Legislation supporting sustainable development: The Zugspitze Declaration
proposes establishment of a United Nations body authorized to enforce measures
capable of preserving the life-enabling functions of the Earth system. Keith et al.
(2010) proposes as a first step a “transparent, loosely coordinated international
programme supporting research and risk assessment by multiple independent
teams.”
– Economic measures supporting sustainable development: Proposals for a sustain-
able free market economy have been made by von Hauff (2009). Radermacher
and Beyers (2007) and many others call for fair trade, distributive justice, and for
changes of consumer habits.
Most importantly, mankind must take action, before the tipping point has crossed.
The members of the Wildbad-Kreuth workshop stated in Sect. 3 of the Zugspitze
Declaration (Anonymous 2008a): “There is no excuse for delaying implementation
of available state-of-the-art technologies. While there is need for innovation in cer-
tain areas, proven, established and sustainable responses already exist for handling
large parts of the global crisis. The signatories of the Zugspitze Declaration want
to motivate those who have solutions, in order to share this knowledge with the
stability of the Earth’s climate system, W T km–2
±10 °C
−100 °C +15 °C +400 °C temperature
Fig. 13.5 Schematic illustration showing the three minima of the Lyapunov equation representing
stable stationary states of the Earth’s climate system. Oscillations (˙10ı C ) around the relative
minimum at 15ı C occurred in the past, but the Earth system eventually returned to the stable
position (Adapted from Gorshkov et al. (2000))
global community so that implementation can begin now.” One may add that not
only state-of-the-art technologies are already available, ready for implementation,
but state-of-the-art economic and societal measures as well.
Thus, the objective is enforcement of sustainable Earth system engineering
(SESE) build upon tested and secured methods capable of turning back the screw
of overloading of the Earth with the unnecessary. As mentioned, it is not only
technology which provides solutions. A more productive relationship between
natural, social, and economic scientist is overdue (Anonymous 2010).
Whether state-of-the-art methods alone are capable of keeping the Earth system
in balance is questionable, however. Over more than two billion years the Earth
system was subjected to massive changes but returned back to a stable state
characterized by a mean surface temperature of about 15ı C. It would be disastrous
if the Earth system, for whatever reason, would slip over either one of the two rims
sketched in Fig. 13.5, and it would be unforgiveable if mankind would cause the
Earth system to slip over either rim and fall down to the stable climatic states typical
for Venus or Mars, respectively. The world needs innovative measures, but these
measures are to be rigorously examined and tested against any undesirable effects
prior to implementation. Long-term costs are to be evaluated, a legal framework has
to be established, and acceptance by the public has to be secured by participatory
endeavors.
As strong and stringent commitments of the community of states are still rather
weak, the call for technology as a means of salvation is getting aloud. Is climate
engineering the right answer to global warming?
Jonas (1979) gives an answer when he writes “The existence[of mankind] may
not become a stake for a wager on action . . . . An action to save the unalienable
with the risk of losing everything can be morally justified, even necessary, [this
however stands] under the proviso of defence against the greatest malady but not
procurement of the greatest benefit.” In other words, application of a risky global
climate modulation is acceptable after a devastating strike of a meteorite, but climate
engineering is unacceptable when justified as a measure to preserve nonsustainable
consumer behavior.
In the Zugspitze Declaration (Anonymous 2008a), the response to climate
engineering is formulated as “Such initiatives with potential global effects need
rigorous risk assessment and authorization by a process of international consensus
to which all nations are supposed to participate. Climate engineering must never be
seen as an alternative to the necessity to solve the global crisis at its roots.”
A negative example for non-holistic solutions is the fertilization of oceans; using
iron salts, nitrate, or phosphate is an example of technologies which has to be
very critically assessed. Triggering algae growth by distribution of fertilizers in the
world’s oceans is certainly a possibility to sequester CO2 in the attempt to bring the
world’s climate back to “normal.” While assessing this and some other proposals,
Lenton and Vaughan (2009) made clear that fertilization is only promising if it
is carried out worldwide over very long periods of time using large quantities of
nutrients. Fertilization means eutrophication. In Europe and elsewhere, billions of
Euros have been invested over the past years to establish nutrient removal processes
in wastewater treatment plants. Action had to be taken to prevent algae growth in
rivers, lakes, and coastal waters. This was done in order to avoid loss of ecological
and economic value inherent in surface waters. Eutrophication of oceans bears the
risk of diminishing biodiversity. Decrease of fish population may provoke further
increase of the food crisis in coastal areas. Besides, emission of greenhouse gases
such as methane will increase when algae eventually die off and get anaerobically
degraded in oxygen deficient waters. In summary, it can hardly be expected that
ocean fertilization is a contribution to sustainable development of aquatic and
terrestrial ecosystems. Most likely, this methods, and some others as well, will
amplify the global crises rather than solve them.
This leads to a dilemma. Progressive/unconventional technologies applied to
solve global crises bear the risk of detrimental State authorities are supposed
consequences for mankind. The imperative of responsibility forces State authorities
to reject those technologies, although it has to be admitted that technology is
unavoidable as long as mankind has not committed itself to far reaching behavioral
changes.
Evolution of traditional technologies toward sustainability-conform technologies
might be a way out of the dilemma. So far, traditional technologies are focused on
the production of commodities. They enable mobility and communication; provide
infrastructure, shelter, clothing, food, and safe water; and allow conversion of
used materials into reusable materials or into end products which can be safely
disposed. Further development of traditional resource-considerate and low-emission
technologies should be aimed to energy saving, recovery of valuable materials and
energy, and reuse.
In order to get the Earth crises under control, it is necessary to:
– Accelerate introduction and propagation of “traditional” sustainable technologies
in all sectors and disciplines; the focus of research should lie on their further
development.
– Gain better knowledge on the Earth system itself.
– Support decision makers (politicians, regulators, leaders of profit and nonprofit
institutions) with solid, well-balanced information.
– Strengthen competence of the civil society to evaluate solutions proposed by
specialists. Proposals should be presented as pictorially as possible in order to
make today’s actions justifiable. Life-long learning and preservation of ethical
norms appears to be particularly important in this context.
education policy
holistic
“Gaia”
Earth System
Earth Sciences Social Sciences Engineering

feedback
inform
Geochemistry
Mechanical
Geophysics
Economics
Philosophy
Chemical
Ecology
Politics
Civil
...
...
...
interdisciplinary interdisciplinary interdisciplinary
multidisciplinary
Fig. 13.6 Graphical representation of the multifacet system to be established and brought into
action with the aim to foster sustainable development of anthroposphere within the limits of the
Earth system. The term “Gaia” stands for the self-regulation capacity of the Earth system enabled
by the sum of ecosystems on Earth (Lovelock 1979). This figure has been prepared by Axel
Kleidon, MPI Jena, Germany
In summary, a multifacet system needs to be established in order to enter into a

sustainable development of the anthroposphere within the Earth system (Fig. 13.6).
Multidisciplinary research is necessary to better understand the complexity of the
Earth system. Coordination and cross-feeding between the various domains of
science is necessary, and it is necessary to establish close information links between
science and decision makers in governmental institutions, enterprises, and industrial
concern and between experts and the civil society. Above all, education is necessary
to get information embedded in the mindset of people, decision makers, and interest
groups.
3 Summary
Growth of the human population in conjunction with global changes of life style
entails increase of the demand of resources such as energy, water, food, and land.
Land is used for various human purposes but at the expense of ecosystems and the
associated biodiversity which both are shrinking in size and extent. Subsequently,
ecosystems lose their capacity to regulate the world’s climate. Excessive use of
fossil fuels, in parallel to intensification of agriculture, causes tremendous emission
of greenhouse gases, carbon dioxide, methane, and nitrous oxide in particular. This
in turn leads to global warming causing the sea level to rise and habitable land to get
lost. The climate is changing on the global and on the regional scale. Thus, hunger
and thirst is spreading, and so is poverty. People are forced to evacuate from their
homelands, causing the population density in the receiving areas, particular in urban
settings, to further increase. In many parts of the world, this already causes the social
and economic stability to decline.
It appears that mankind is confronted with four major, widely interrelated global
crises: the water and food deficiency crisis, the societal and economic stability crisis,
the crisis resulting from the loss of the self-regulation capacity of ecosystems, and
last but not least the crisis caused by global warming. A holistic approach is to
be taken to combat the problems resulting from this system of crises. The keyword
used in this context is sustainable Earth system engineering defined as the deliberate,
careful, and science-based management of the three major components of the life
support system of the Earth.
In this context, the Earth system is considered to encompass not only a physical
and chemical dimension but a biological and a human dimension as well. To permit
counteractions to become effective, the sustainability axiom must be obeyed. The
term “sustainability” stands for human activities kept in the limits of the generic
capacity of the Earth’s life supporting system – the capacity to deal with resources
taken for human consumption in particular. Usage of nonrenewable resources such
as fossil water and fossil fuel can only be tolerated as a temporary solution.
Emphatic and straight forward attempts are to be made at the highest possible speed
to develop and implement substituting technology and behavioral changes among
the users.
Solutions are to be identified in the course of an in-depth dialogue across disci-

plines and together with the civil society. In context of the global crisis management,
the growing water and food demand deserves particular attention. Concerning
national and supranational security, combating water and food deficiencies is to
be given an even higher degree of priority compared to the energy issue because
mankind can survive without electricity but not without water and food.
Because it is crucial to keep the generic function of the ecology-driven Earth
system intact, responsible, cross-sectoral, and cross-national water management is
highly important, but exercising this responsibility is anything but trivial. Decisions
on concrete actions must be made not only in view of factors affecting the global and
local ecosystems. In addition, a variety of human factors are to be taken into account,
growth of the human population for instance, demographic changes, changes
of lifestyles, the power of traditions and religious concerns, and many others.
Considering the complex nature of the water sector, developing innovative tools
to facilitate decision-making processes in a world of complexity and heterogeneity
is an urgent task.
4 Cross-References
References
Anonymous, Zugspitze Declaration. International Expert Group on Earth System Preserva-
tion (IESP), Munich (2008a). http://www.waterlink-international.com/download/Zugspitze
%20Declaration-26-09-08.pdf
Anonymous, Climate Change 2007 – Fourth IPCC Assessment Reports (Cambridge University
Press, Cambridge, 2008b)
Anonymous, Mind the gap. Editorial published in Nature 426, 825–826 (2010)
R.M. Bierbaum, R.B. Zoellick, Science 326, 771 (2009)
A. Gore, An Inconvenient Truth (Rodale, New York, 2006)
V.G. Gorshkov, V.V. Gorshkov, A.M. Makarieva, Biotic Regulation of the Environment
(Springer/Praxis Publishing, London/Chichester, 2000)
V.G. Gorshkov, A.M. Makarieva, Interactive comment on Greenhouse effect dependence on
atmospheric concentrations of greenhouse substances and the nature of climate stability on
Earth. Atmos. Chem. Phys. Discuss. 2, 236–239 (2002)
M. Grambow, W. Meng et al., Korr. Wasserwirtschaft 2(10), 556–561 (2009)
M. Hauff, Von der Sozialen zur Nachhaltigen Marktwirtschaft – Ein neues Leitbild für das 21.
Jahrhundert (From social to sustainable market economy – A new guideline for the 21st
century). Policy paper 31, Stiftung Entwicklung und Frieden, Bonn, (2009)
A. Hoffman, Energy Security Journal, IAGS, 13 Aug 2004
H. Jonas, Das Prinzip Verantwortung - Versuch einer Ethik für die technologische Zivilisation
(Principle of Responsibility – Approach to an Ethic of the Technological Civilization) (Insel
Verlag, Frankfurt a. M., Germany, 1979)
D.W. Keith, E. Parson, M.G. Morgan, Research on global sun block needed now. Nature 463,
426–427 (2010)
T. Lenton, N. Vaughan, Atmos. Chem. Phys. Discuss. 9, 2559–2608 (2009)
J. Lovelock, A New Look of Life on Earth (Oxford University Press, Oxford/New York, 1979)
J. Lovelock, The Revenge of Gaia (Penguin Books, London, 2007)
J. Lovelock, The Vanishing Face of Gaia (Basic Books, New York, 2009)
A.M. Makarieva, V.G. Gorshkov, The greenhouse effect and the stability of the Global mean
surface temperature. Dokl. Earth Sci. 377(2), 210–214 (2001)
A.M. Makarieva, V.G. Gorshkov, Biotic pump of atmospheric moisture as driver of the hydrologi-
cal cycle on land. Hydrol. Earth Syst. Sci. 11, 1013–1033 (2007)
A.M. Makarieva, V.G. Gorshkov, B.L. Li, Precipitation on land versus distance from the ocean:
evidence for a forest pump of atmospheric moisture. Ecol. Complex. 6, 302–307 (2009)
J. Mervis, Northern India’s groundwater is going down. Science 325, 798 (2009)
F.J. Radermacher, B. Beyers, Welt mit Zukunft – Überleben im 21. Jahrhundert (The World with
Future – Survival in the 21st Century) (Murman Publisher, Hamburg, 2007)
K. Siaou, R. Chiang, B.C. Hardgrave, Systems Analysis and Design: People, Processes, and
Projects (M.E. Sharpe, Armonk, 2010)
H. Welzer, Klimakriege, Wofür im 21. Jahrhundert getoetet wird (Climate wars – What-for People
will be Killed in the 21st Century) (S. Fischer Publisher, Frankfurt, 2008)
WWF, Living Planet Report 2008 (World Wide Fund for Nature, Gland, 2008)
Sustainable Rehabilitation of Water
Infrastructures in Southern Iraq After the 14
Second Gulf War
Andrea Micangeli, Simone Grego, and Stefano Esposto
Abstract
In southern Iraq, the water shortage is an old problem and the Second Gulf War
(2003) made the situation worse. The main problems affecting water provision
are the salinity of the water and the lack of maintenance of the preexisting water
treatment plants (WTP) and compact units (CU).
The most common water treatment used consists in lowering the turbidity
and sterilizing the water to avoid the presence of bacteria using pressurized sand
filters and chlorinating units. However, the main problem of this system is the
lack of adequate supply of chemicals and sand.
During the postwar period (May–December 2003), the Italian NGO “Un
Ponte Per. . . ” (UPP) and the “Interuniversity Centre for Research on Sustainable
Development” (CIRPS) developed a strategy to rehabilitate eight among WTPs
and CUs in the Basrah governorate, in southern Iraq, where the main source of
water for domestic use is the surface water from the channels connected to the
Shatt Al Arab or the Shatt Al Basrah.
In a second phase of the project, in 2009, CIRPS and “Gaia Ricerche” gave to
ICRC, the International Red Cross Committee, an On Site Electro Chlorination
(OSEC) System to be installed in the area.
A. Micangeli () S. Esposto

Interuniversity Research Centre for Sustainable Development, CIRPS – University of Rome
e-mail: andrea.micangeli@gmail.com, andrea.micangeli@uniroma1.it;
stefanoesposto@gmail.com
S. Grego
United Nations World Water Assessment Programme, Programme Office for Global Water
Assessment, Division of Water Sciences, UNESCO, Colombella, Perugia, Italy
e-mail: s.grego@yahoo.it, s.grego@unesco.org

DOI 10.1007/978-1-4020-8939-8 86,
1 Introduction
The main sources of water in Iraq are the Tigris and Euphrates rivers. Other water
sources include water wells drilled in some locations.
In the District of Basrah, in southern Iraq, the main water source for domestic
use is the surface water from the channels connected to the Shatt Al Arab or the
Shatt Al Basrah. The Shatt al Arab is formed by the merging of the Tigris and the
Euphrates. Most of the population lives either along the river or in areas served by a
network of channels connected to it. There are also inland villages served by wells
(20–30 m deep).
However, the high salinity of the Shatt Al Arab water makes it undrinkable.
The main water supply system for drinking purposes is the conventional water
treatment with sedimentation, filtration, and disinfection. The treatment process
matches western standards, but often, the chemicals supplied for the correct
treatment cannot be found easily in emergencies.
Many European companies had worked in Iraq in the installation of sophisticated
technology, such as remote control or fully automated systems.
Relief agencies and support organizations using water sources to supply potable
water to displaced communities need reliable and durable treatment systems.
The ranking of criteria related to water supply during a crisis can be summa-
rized as:
• Coverage: water must be available every day.
• Quantity: a minimum daily requirement of water must be available (Sphere
standard).
• Sustainability: water must be available during years or at least months (durability
and reliability).
• Quality: water should comply with health-related quality standards (Sphere
standar).
• Cost: treatment and supply system must be affordable, particularly if their
ongoing operation has to be a responsibility of the community.
In addition to costs, also, the type of maintenance required has to be taken into
account. This consideration does not imply great change when the water treatment
system has to be installed in the western world, but it becomes crucial when a water
problem has to be solved in developing countries. If the operation and maintenance
lead to high costs and, above all, require resources not locally available, the project
is facing a probable quick failure (Esposto 2009).
Sustainable development in this “focused meaning” involves maximal use of
local resources while factoring in the limits of exploitation in the life-span of
the project (development), all the while increasing the autonomy of the project
from external factors and ultimately creating a link between the project and
the beneficiaries (sustainability). All these considerations aim to fulfill the needs
according to reasonable and sometimes agreed-upon standards. Unfortunately, not
all the resources necessary for the running of a project can be internal; thus, the aim
should be to reduce the external ones to the possible extent.
14 Sustainable Rehabilitation of Water Infrastructures in Southern Iraq 213
Table 14.1 List of plants Plant Capacity (m3 /h) District

rehabilitated by UPP in 2003
Balad Slam 50 Abu Al Khaseeb
Mejran 200 Abu Al Khaseeb
Hamdan Jissar 50 Abu Al Khaseeb
Mehalla 600 Abu Al Khaseeb
Jecor 50 Abu Al Khaseeb
Tannouma 1,500 Tannouma
Medaina 200 Medaina
Al Swaib 200 Medaina
Nowadays, sustainability is the fifth and most important criterion for the
evaluation of project for the European Commission Humanitarian Office, one of
the major donors in humanitarian aid and development.
Sustainability of a project and the wider concept “sustainable development”
involve the idea that an action aimed at supporting or assisting a specific population
should be considered in all its future consequences, taking into account the planning,
the implementation, as well as all the possible countermeasures for guaranteeing its
durability.
The main parameter to be taken in consideration is the origin of the resources
(energy, fuel, chemicals, manpower, and technical knowledge) necessary to run a
project after its completion. They can be classified as “internal resources” if they
are locally available and easily accessible by the beneficiaries, while “external
resources” are those that are not locally available, therefore requiring external
supply or help for their provision. The external resources requirement constitutes
a weak point for a project because the beneficiaries or the community will always
be dependent on external help. Once the external help terminates, the project is
affected.
During the postwar period (May–December 2003), the Italian NGO “Un Ponte
Per. . . ” (UPP) and the “Interuniversity Centre for Research on Sustainable Devel-
opment” (CIRPS) developed a strategy to rehabilitate eight among water treatment
plants (WTP) and compact units (CU) in Basrah governorate (in a radius of 60 km
from Basrah City).
All the rehabilitations can be described as “full,” meaning that plant conditions
at the end of the work were similar to the factory conditions.
Target plants were located in four different districts:
• Abu Al Khaseeb (15 km South of Basrah city, 5 CU)
• Medaina (80 km North of Basrah City, 1 CU)
• Qurna (60 km north of Basrah city, 1 CU)
• Tannouma (1 km East of Basrah city, 1 WTP)
The complete list of plants is reported in Table 14.1.
Rehabilitations performed in 2003 were financed by two different international

donors: the “Humanitarian Aid Office” of European Commission (ECHO) and the
“United Nations High Commissioner for Refugees” (UNHCR).
In small developing world communities, it is suggested to adopt as a technology
a permanent physical–chemical treatment process as last option. As a matter of
fact, the removing or decreasing of coagulant chemicals supply to the site (with
a correspondent reduction in operational and supervision costs) helps the longevity
of the water system installed.
However, in many cases, the use of chemicals or specific power consumption in
water treatment processes cannot be avoided in order to maintain the water quality
and provide users with potable water according to the Sphere standard or the Water
Health Organization (WHO) guidelines.
The basic criteria for a physical–chemical water treatment system in the devel-
oping world and emergencies are:
• A minimum of power and mechanical plant
• A single major pumping stage for running all unit processes
• Appropriate terminal disinfection system
• Wide performance envelope
• Limited waste stream
• Durability and little (if any) maintenance request
• Capability of achieving water quality targets
The different phases of a generic water treatment system are:
• Sedimentation: physical process, the water is left in a tank to let the big particles
of the suspended solids present in the water settle. No chemicals are used in this
phase.
• Clarification (flocculation/coagulation): physical/chemical process, chemicals
are needed to settle colloids presents in the water that otherwise would require
days or weeks (or sometimes never) to sediment. The use of chemicals is
mandatory if we want water below 5 NTU (Nephelometric Turbidity Units) at
the end of this phase, ready to be disinfected.
• Filtration: physical process, the mechanic filtration of the water is necessary to
obtain water below 5 NTU. Filtration could be the second stage of the treatment
after the clarification or could totally replace it.
• Desalination: physical process, absolutely not considered in emergency condi-
tions due to the high cost and lack of sustainability. It has to be used only as
solution of last resort.
• Disinfection: chemical process, chlorine in different forms is the best disinfectant
agent used worldwide.
Chemicals used in the different part of the treatment can be the only solution
to obtain the goal or they simply make the process faster. Objective of the project
was, maintaining the water quality compliant to the Sphere and WHO standards,
to decrease as much as possible the use of chemicals according to the kind of
water that was treated because the requirement of chemicals can render completely
unsustainable the system (Davis and Lambert 2002).
2 Sustainable Water Treatment in Emergency Conditions in

South Iraq
2.1 Iraq General Description
Iraq, with a total area of 438,320 km2 including 924 km2 of inland waters, is
surrounded by Iran to the east, Turkey to the north, Syria and Jordan to the west,
Saudi Arabia and Kuwait to the south, and the Persian Gulf to the southeast.
Topographically, Iraq is shaped like a basin, consisting of the Great Mesopotamian
alluvial plain of the Tigris and the Euphrates rivers. (Mesopotamia means, literally,
the land between two rivers). This plain is surrounded, in the north and the east, by
mountains reaching altitudes up to 3,550 m above sea level, and, in the south and the
west, by desert areas that account for over 40% of the land area. For administrative
purposes, the country is divided into 18 governorates, 3 of which are gathered in an
autonomous region.
The total area estimated to be used for agriculture is 8 million ha, which is almost
93% of the cultivable area. However, due to soil salinity, fallow practices, and the
unstable political situation, it is estimated that only 3 out of 5 million ha are actually
annually cultivated. In 1993, the area actually cultivated was estimated to be about
3.73 million ha, 3.46 million of which consisted of annual crops and 0.27 million
consisted of permanent crops.
The total population is about 20.4 million (1995), 25% of which is rural.
Average population density is estimated to be 47 inhabitants/km2 but ranges from
5 inhabitants/km2 in the Anwar province, in the desert in the western part of the
country, to more than 170 inhabitants/km2 in the Babylon province, in the center
of the country. The average population growth rate was estimated at 3.6% during
the period (1980–1990), but emigration of foreign workers and severe economic
hardship have reduced this growth rate since 1990.
In 1989, the agriculture sector contributed only 5% to the gross domestic product
(GDP), which was dominated by oil (61%). Today, about 20% of the labor force is
engaged in agriculture.
2.2 Climate and Water Resources
The climate is mainly continental, subtropical semiarid, with the north and north-
eastern mountainous regions having a Mediterranean climate. Winters range from
chilly to cold, with a day temperature of about 16ı C dropping at night to 2ı C with a
possibility of frost. Summers are dry ranging from hot to extremely hot, with a shade
temperature of over 43ı C during July and August, yet dropping at night to 26ı C.
Rainfall is seasonal and occurs mainly between December and February except
in the north and northeast of the country where the rainy season is longer, from
November to April. Average annual rainfall is estimated at 154 mm but ranges from
less than 100 mm over 60% of the southern country up to 1,200 mm in the northeast.
2.3 River Basins
The only river basin in Iraq is the Shatt Al-Arab basin. The Shatt Al-Arab is the river
formed by the confluence downstream of the Euphrates and the Tigris and flows
into the Persian Gulf after a course of only 190 km. Before their confluence, the
Euphrates flows for about 1,000 km and the Tigris for about 1,300 km, respectively,
within the Iraqi territory. Nevertheless, due to the importance of the Euphrates and
the Tigris, the country is generally divided into three river basins: the Tigris, the
Euphrates, and the Shatt Al-Arab (referring in this case to the part downstream of
the two rivers confluence).
2.4 Surface Water Resources
Both the Tigris and the Euphrates are international rivers originating in Turkey. The
Tigris river basin in Iraq has a total area of 253,000 km2 , representing 54% of the
total river basin area.
The average annual flow of the Euphrates as it enters Iraq is estimated at 30 km3 ,
with a fluctuating annual value ranging from 10 to 40 km3 . Unlike the Tigris, the
Euphrates receives no tributaries during its passage in Iraq. About 10 km3 /year are
drained into Hawr al Harnmar, a marsh in the south of the country.
As for the Tigris, the average annual runoff as it enters Iraq is estimated at
21.2 km3 . All the Tigris tributaries are on its left bank and are listed, from upstream
to downstream, below:
• The Greater Zab: it originates in Turkey and is partly regulated by the Bakhma
dam. It generates a runoff of 13.18 km3 at its confluence with the Tigris, and 62%
of the 25,810 km2 of its basin is in Iraq.
• The Lesser Zab: it originates in Iran and is regulated by the Dokan dam (6.8 km).
The river basin of 21,475 km2 (74% of which is in Iraqi territory) generates about
7.17 km3 , 5.07 of which of annual safe yield after the Dokan dam construction.
• The Al-Adhaim (or Nahr Al Uzaym): it drains about 13,000 km2 in Iraq. It
generates about 0.79 km3 at its confluence with the Tigris. It is an intermittent
stream subject to flash floods.
• The Diyala: it originates in Iran and drains about 31,896 km2 , 75% of which
in Iraqi territory. It is regulated by the Darbandikhan dam and generates about
5.74 km3 at its confluence with the Tigris.
• The Nahr at Tib, Dewarege (Doveyrich) and Shehabi rivers: they drain together
more than 8,000 km2 . They originate in Iran and bring together about 1 km3 of
highly saline waters in the Tigris.
• The Al-Karkha: its course is mainly in Iran and, from a drainage area of
46,000 km2 , brings about 6.3 km3 yearly into Iraq, namely, into the Hawr Al
Hawiza during the flood season and into the Tigris river during the dry season.
The Karun river, originating in Iran, flows with its mean annual flow of 24.7 km3
into the Shatt AlArab. It brings a large amount of fresh water into the Shatt Al-Arab
just before it reaches the sea.
The Euphrates and the Tigris are subject to large and possibly disastrous floods.
The level of water in the Tigris can rise at the rate of over 30 cm/h. In the southern
part of the country, immense areas are regularly inundated, levees often collapse,
and villages and roads must be built on high embankments. The Tharthar reservoir
was planned in the 1950s to protect Baghdad from the ravages of the periodic flood-
ing of the Tigris by storing extra water discharge upstream of the Samarra barrage.
2.5 Groundwater Resources
Good-quality subterranean water was found in the mountains foothills in the

northeast of the country and in the area along the Euphrates right bank:
• The aquifer in the northeast of the country has an estimated sustainable discharge
that varies between 10 and 40 m3 /s, at depths of 5 up to 50 m. Its salinity increases
toward the southeast of the area, where it reaches 1 mg/L.
• The aquifers on the Euphrates right bank were found at depths up to 300 m and
have an estimated discharge of 13 m3 /s. Salinity varies between 0.3 and 0.5 mg/L.
Other groundwater sources were found in the rest of the country but with a salinity
level higher than 1 mg/L.
2.6 Dams
In 1977, the on-river dams, all of which located in the Tigris river basin, had a
total capacity of 13.7 km3 . During the 1980s, there was an important program of
dams construction in Iraq. The program consisted in the construction of the Saddam
dam on the Tigris (11.1 km3 /, the Kadisiyya (Qadisia) multipurpose dam on the
Euphrates (8.2 km3 /, the Bakhma dam on the upper Zab, one of the Tigris tributaries
(17.1 km3 /, the Badush dam on the Tigris river (0.5 km), and several other desert
dams totaling about 0.5 km3 . The total on-river storage capacities thus amounted
to 42 km3 for the Tigris and to 8.2 km3 for the Euphrates, for a total of 50.2 km3 .
However, the Bakhma dam was completely destroyed. At present, the Al-Adom
dam, with a capacity of 3.8 km, is under construction on the Tigris.
Two off-river storage lakes were created with the construction of the Tharthar
dam (85 km3 / in the Tigris basin, filled with the Wadi Tharthar waters and,
since 1985, with Euphrates waters, and the Habbaniya dam (3.3 km3 /, filled from
upstream Euphrates waters and draining into the Euphrates downstream.
2.7 New Watercourses
A number of new watercourses were constructed, especially in the southern part

of the country, in order to increase water transport efficiency, minimize losses
and water logging, and improve water quality. The Saddam river (or Third river)
functions as a main outfall drain, collecting drainage waters from more than
1.5 million ha of agricultural land, from north of Baghdad to the Gulf, between
the two main rivers (the Euphrates and the Tigris). The length of its watercourse,
completed in December 1992, is 565 km, with a total discharge of 210 m3 /s. Other
watercourses were also constructed to reclaim new lands or to reduce water logging.
2.8 Water Withdrawal
Total water withdrawal was estimated in 1990 at 42.8 km3 , 92% of which was
used for agricultural purposes, 3% for domestic supplies, and 5% for industrial use.
According to the most recent estimates, 85% of river water withdrawal is used for
agricultural purposes.
2.9 Water Supply
In 1991, safe water supplies reached 100% of urban areas but only 54% of rural
areas. As a result of the two Gulf Wars, the situation of the water supply and
sanitation sector has deteriorated, due also to shortages in chlorine imports for water
treatment.
2.10 Irrigation and Drainage Development
Irrigation dates back to 7,500 years ago in the land between the Tigris and the
Euphrates, when the Sumerians built a canal to irrigate wheat and barley fields.
Irrigation potential was estimated in 1990 at over 5.5 million ha, 63% of which
in the Tigris basin, 35% in the Euphrates basin, and 2% in the Shatt Al-Arab
basin. Considering the soil resources, it is estimated that about 6 million ha are
classified as excellent, good, or moderately suitable for flood irrigation. Following
the development of water storage facilities, the regulated flow has increased and
changed the irrigation potential significantly, since, in 1976, it was estimated at
4.25 million ha.
2.11 Irrigated Areas
The total water managed area was estimated at 3.5 million ha in 1990, all of it being
equipped for full or partial control irrigation.
The areas irrigated by surface water are estimated at 3,305,000 ha, 105,000 of
which (3%) in the Shatt Al-Arab river basin, 2,200,000 (67%) in the Tigris river
basin, and 1,000,000 (30%) in the Euphrates river basin. However, it should be noted
that all these areas are not actually irrigated since a large part has been abandoned
due to water logging and salinity. Only 1,936,000 ha were estimated to be actually
irrigated in 1993.
The areas irrigated from groundwater were estimated at 220,000 ha in 1990, with
18,000 wells. About 8,000 ha were reported equipped for micro-irrigation, but these
techniques were not used.
2.12 Salinity
Salinity has always been a major issue in this area, and it has already been recorded
as a cause of crop yield reductions about 3,800 years ago.
It is estimated that in 1970, half the irrigated areas in central and southern Iraq
were degraded due to water logging and salinity. The absence of drainage facilities
and, to a lesser extent, the irrigation practices used (flooding) were the major
causes of these problems. In 1978, a land rehabilitation program was undertaken,
comprising concrete lining for irrigation canals and installation of field drains and
collector drains. By 1989, a total of 700,000 ha had been reclaimed at a cost of
around US$2,000 /ha.
Nevertheless, recent estimations have shown that 4% of the irrigated areas were
severely saline, 50% medium saline, and 20% slightly saline, i.e., a total of 74% of
the irrigated areas suffered from some degree of salinity. The Ministry of Irrigation
estimated in 1995 the amount of salt transported by the Saddam river to the Gulf
at 17 million tons. Irrigation with highly saline waters (more than 1,500 ppm) has
been practiced for date palm trees since 1977. The use of brackish groundwater is
also reported for tomato irrigation in the south of the country.
2.13 Crops
In 1991, there were 224,490 ha of irrigated wheat, with an average yield of

2.7 tons/ha, while the rain fed wheat area was estimated at 508,620 ha, with an
average yield of 1.7 tons/ha. Two hundred thousand seven hundred seventy hectares
of irrigated barley had an average yield of 1.8 tons/ha, while the rain fed barley area
was estimated at 323,730 ha, with an average yield of 1.3 tons/ha.
The other main irrigated crops are rice, maize, vegetables, but also date trees
which are important for the economy of the southern part of the country.
2.14 Trends in Water Resources Management
Two main sprinkler irrigation projects were planned in 1990: the Saddam irrigation
project, supplied by waters from the Third river, was designed for a total area of
250,000 ha while the El Jazira irrigation project should have covered an area of
325,000 ha.
Moreover, the Um Almaarik river in the south west region has recently been
excavated in order to irrigate 20,000 ha upon completion.
Another main issue in water resources management is the water quality protec-
tion. The level of salinity in the Euphrates is high and is expected to increase with
the development of irrigation in the basin and, as a consequence, the diminution of
the water flow particularly in the dry season.
Treatment of municipal and industrial wastewater is considered as one way to
preserve river water quality. Reuse of treated wastewater for irrigation was also
envisaged before 1990. Some industries were already obliged to desalinate the
Euphrates waters before using it.
Other measures which could be undertaken would need regional cooperation for
a better management of the flood waters and the dams.
2.15 The Water Supply System in Basrah Governorate
2.15.1 Introduction
The Tigris and the Euphrates meet in Qurna City, 65 km north of Basrah, creating
Shat Al Arab River. The governorate is rich in surface water resources even
though the population suffers from lack of no salt treated water. As a matter of
fact, the problems affecting water provision are the water salinity and the lack of
maintenance of the preexisting WTP and CU. The mechanism that leaded to the
high salinity in water is strictly connected to the disappearance of the Mesopotamian
Marshlands.
The Mesopotamian Marshlands are a part of a major international river system,
the Tigris and the Euphrates, one of the great cradles of civilization and the largest
river system in southwest Asia. Modern water works and associated agricultural
schemes have led to extensive environmental change in the basin. These changes
have not only restructured human activities, but dams and drainage schemes have
also drastically transformed the landscape from fertile terrain to salt-encrusted
desert. The Mesopotamian Marshlands have been devastated by the combined
impact of massive drainage works and upstream damming. The Central and Al
Hammar Marshlands have completely collapsed with, respectively, 97% and 94%
of their covered lands transformed in bare land. The left areas are also under high
risks of disappearance due to upstream activities.
The impact of marshlands desiccation on wildlife has been equally devastating
with several endemic species becoming extinct or seriously threatened.
Marsh Arab society, whose livelihood has been entirely dependent on the wetland
ecosystem for millennia, has been dealt a shattering blow. The numerous economic
benefits provided by the marshlands, from fishing, haunting, and rice cultivation
have been lost. As life-supporting ecosystem vanished, at least 40,000 of the Marsh
Arabs fled in Iran, while the rest linger in unknown condition in Iraq. As a result, a
5000-year-old culture is rapidly disappearing.
Another problem affecting the marshlands due to the latest development projects
is the general decline of the Tigris and Euphrates water quality. The main cause
of degradation is the return of saline waters from newly commissioned irrigation
schemes. It is not possible to forecast with precision the extent of the changes in
Al Shatra
6.5k
18.6km
Tigris River
40km
Pump
station 1
Euphrates River
Al Nasiriyah
61km Pump
station 2
78km Shatt Al Arab
R Zero
Railway
Railway
Sweet Water Basrah
112km 125km 198.5km
Canal Rivers
184km 220km
Fig. 14.1 The reverse osmosis (RO) system
salinity, but the last measurements reveal a considerable increase. Therefore, it is

clear that, in thousands ha of newly irrigated lands, salinity values are bound to
rise as a result of backfield drainage. In particular, the lower basin, in the Basrah
governorate, with no tributaries to dilute rising salinity and the cessation of spring
floods (due to the upstream installation of dams), is especially vulnerable.
After the disaster in Marshlands and the subsequent increase of water salinity
up to 6,000 ppm (12 times the value indicated by WHO as harmful for drinking
purposes), the entire water supply system in the Basrah governorate had to be
reconsidered. In fact, each WTP and CU in Basrah governorate had the intake in
the river near the water basin where it was built. In this way, each plant was fed by
water in a simply and economic way.
The problem of saltwater induced the government to design and implement a
complex hydraulic system to bring no saltwater from Al Shatra, the Tigris river in
Nassirya governorate, to Basrah governorate. The salinity of this part of the river,
upstream with respect to the dried marshlands, is around 800 ppm.
The Reverse Osmosis project, known as RO, consists in a 220-km-long channel
with two different pumping stations, PS1 and PS2, and a final gravity-forced
channel, which brings water to the RO plant (see Fig. 14.1).
The RO plant (see Figs. 14.2 and 14.3), located 12 km north of Basrah city, near
the airport, receives 125 million gal (approx. 32,000 m3 / of water per day from the
channel. Eighty percent of this water is pumped to the major plants in the Basrah
governorate, while the remaining 25 million gal are treated directly in situ and
pumped to the nearby areas.
Fig. 14.2 Channel connecting RO pumping station and WTP with PS2 pumping station
Fig. 14.3 Pumps room in RO pumping station
The RO system, that theoretically could resolve the problem of water salinity in
the region, is only a partial solution. In fact, RO is connected only to the main CU
and WTP in the governorate, thus neglecting the minor plants that bring water to
most of the rural areas. As a consequence, most of the 123 among CU and WTP of
the Basrah governorate are fed with brackish water and produce, after the treatment,
sterilized nondrinkable water.
Moreover, the erratic supply of electricity as a direct consequence of the fuel
shortage and generators oblige the technicians of the station to reduce the total
amount of pumped and treated water to about 50% or less of the designed capacity.
The main outcome of this frustrating situation is the growing of several private
RO stations scattered all over the region. As a matter of fact, RO is the only way to
produce drinkable water in this region and is becoming a major business in the area.
Unfortunately, RO water is too expensive for most of the people living in the rural
areas (prices ranging between 7 and 10 USD/m3 / and cannot be considered a valid
and sustainable solution to face the emergencies.
Moreover, with most of the stations being private, no control on the water
quality is performed. Local water authorities reported that, in some cases, tankers
distributing water were commonly used to clean sewages and that, in most cases,
no chlorine was added at the end of the RO process. Nevertheless, even if the
production would be regulated by local authorities, RO cannot be considered as
a solution for water supply in the region being too expensive and energy consuming
and needing specialized technicians and spare parts to function properly.
2.15.2 Water Purification Process and Related Problems

In Basrah governorate, water purification is assured by WTPs and CUs available in
the area.
The plants differ mainly for the capacity (up to 200 m3 /h for CU, from 200 m3 /h
for WTP) and for the construction materials (iron and steel for CU, concrete for
WTP), the purification principles being the same.
Water is pumped, with low lift pumps, from the river into the collection chamber,
where it is mixed with a solution of Al2 SO4 , which enhances suspension matter
precipitation with the formation of floccules (flocculation process). After this stage,
water is pumped, by high lift pumps, through sand filters, which remove remaining
suspended impurities. Then, water is ready to be chlorinated and pumped to the final
users through the distribution system.
Figure 14.4 shows the main features of a water purification plant.
CU is designed to be modular, easy to be transported and to be installed, meaning
that several self-consistent CUs can work in parallel, the total water flow being the
sum of the single flows of each plant. Then, CUs can provide an appropriate and
quick response to the needs of small areas, generally at the village scale.
Mehailla’s CU is a typical example of parallel CU where three identical 200 m3 /h
modules work in parallel with a total flow of 600 m3 /h (see Fig. 14.5).
On the other side, the planning of water distribution and management in highly
populated areas, like the cities of Basra and Qurna, was based on the decision to
install conventional WTPs normally used for high flow capacities and requiring
large areas for the installation.
The conditions of the hundreds of WTP and CU scattered all over the governorate
are, in most cases, desperate. So many years of war and embargo have produced
similar damages to all the installations, although the ones supplying water to rural
Generator
Chlorinator
Alum mixer Sand Filter
Distribution
Sedimentation
chamber
Fig. 14.4 Functioning scheme of a WTP and CU plant
Fig. 14.5 Mehailla CU: three parallel lines and six sedimentation tanks, two per line, are shown
areas are in the worst conditions. More than 25 assessments conducted in the region
in the period May–October 2003 enlightened that the sections of WTP and CU
usually more exposed to wear were the following:
• High and low lift pumps and electrical motors: most of the pumps showed
problems in alignment with the electrical motor and most of motors were burned.
• Sedimentation tanks: most of damages come from rust, shells, and bullets.
• Sand filters: the average age of these media is around 20 years.
• Chlorinators: most of chlorinators were looted in the days after the collapse
of Saddam’s regime but curiously, in some cases, they reappeared after some
months.
• Alum mixers: as chlorinators, most of them were looted and in some cases
reappeared later.
• Pipe fittings and valves.
• Generators.
CU has three pressurized filters with the following four layer composition while
the water flow is from bottom to top:
• A layer of 60 cm with sand d D 0:6 mm
• A layer of 10 cm with sand d D 2:5–6.5 mm
• A layer of 10 cm with sand d D 6:5–9.5 mm
• A layer of 10 cm with sand d D 9:5–13 mm
Unfortunately, due to poor technical skills of local water department personal,
the plants were designed in such way that water flux goes from the top of the filter
to the bottom. Dirty water meets first the thickest layer of sand, characterized by
closing spaces between grains, and in a second stage is purified by the sand with
bigger diameters. The main consequences of this absurd design are:
• The thin layer of sand gets dirty very fast and thus requires frequent backwashes.
• The lower sand layers are completely useless and act only as a support.
• The flux of the water is reduced due to the absence of a proper backwash system.
The lack in electricity supply due to both, damages caused by the last war and the
embargo and the irregular supply of fuel for generators, where these are available,
constitutes an additional problem.
The exposed technical problems are worsened by the inadequacy of the Iraqi
bureaucracy to administrate such a complex water-supplying system. Up to now,
the Basrah Water Department does not have a complete list of the WTP and CU
in the Governorate. This fail has obstructed the rehabilitation work in the postwar
emergency, obliging NGOs and UN agencies to long and dangerous researches and
assessment of almost unknown plants.
2.15.3 Rehabilitation Work Description

Within the above framework, the fastest way to restore a minimal supply of
drinkable treated water in the region, according to the coordination meetings held
in the period May–December 2003, followed the steps below:
• Improve the capacity of RO
• Connect all the WTP and CU to this pumping station
• Restore the plants in the region to their proper functioning
• Rehabilitate the network
The work, performed in the period May–December 2003, was focused on the
plants restoration to their proper functioning and regarded the rehabilitation of eight
among WTPs and CUs.
Rehabilitations were financed by two different international donors, ECHO and
UNHCR.
The logical framework matrix of the main project with which the rehabilitation
was financed is summarised in Table 14.2.
The rehabilitation work was similar for each plant and followed the steps below:
• Installation of new low lift pumps, which includes:
• Installation of new pipes from the intake to the pumps
• Construction of new concrete basement
• Installation of new pump and fittings
• Assembling and installation of starters and control panels
• Bypass of filters and sedimentation tanks: this operation allows pumping non-
treated water to the villages while filters and sedimentation tanks are under
maintenance.
• Cleaning, repairing, sandblasting, painting, and filling of sand-filters: the paint-
ing of the internal surfaces is performed with three layers of special epoxy
nontoxic paint, while the painting of external surfaces follows the same rules
than the one of pumps and pipes.
• Cleaning, repairing, sandblasting, and painting of sedimentations tanks: the
guidelines to be followed to paint sedimentation tanks are the same as sand
filters.
• Installation of new high lift pumps, which includes:
• Installation of new pipes from the tank and filters to pipes
• Construction of new concrete basement (where necessary)
• Installation of new pump and fittings
• Civil works: in some plants, new structures like bricks fences, storage room, and
toilets have been built.
• Installation of alum mixers, which includes:
• Installation of motors for dosing pumps
• Installation of dosing pumps
• Installation of plastic tanks for mixing alum sulphate and water
• Installation of chlorinators, which includes:
• Installation of motors for dosing pumps
• Installation of dosing pumps
• Painting of pipes and pumps: metallic items, like pipes and pumps, are painted
with a layer of special antirust paint (green) and a layer of normal paint (blue).
• Installation of diesel generators: to supply to the malfunction of the electric grid,
diesel generators of high capacity (150–400 kW) have been installed in most of
the plants.
The above steps can be performed in parallel or in serial way, depending on the
available funds.
Working in parallel requires more manpower and is consequently more expensive
but allows time saving.
If serial way is preferred, works must start with items requiring more time to be
completed, like sand filters and sedimentation tanks.
Table 14.2 Logical framework for UNHCR project. The financed amount was 260,000 US Dollars
Intervention logic Objectively verifiable indicators Sources of verification Risks and assumptions
Principal – To rehabilitate the water sector, – Nı of rehabilitations on 123 – Unicef reports – Good coordination among
objective quite close to emergency, in the CU and 12 WTP – Governorate reports NGOs, National and
governorate of Basrah before the – Waterborne diseases decrease International Organizations
situation get worse especially for among refugees – Security in Bashra area
the new presence of returned remains the same of the last
refugees months in 2003 or better
Specific – Returnees and the other – 2 plants fully rehabilitated – Department of water reports – Collaboration of the
objective beneficiaries in Al Medaina and in – 4,500 children have the booklet – Surveys in the villages department of Water of Basrah
Tannouma have access to water for – The security in the villages
domestic use and primary courses remains the same of the last
on safe water use months in 2003 or better
– Increased awareness on water
issues among children
Expected – Rehabilitation of 1 WTP in – Turbidity of the water below – Test at the output of the plants – The plants rehabilitated is
results Tannouma and 1 CU in Al Medaina 5 NTU on chlorine dosage and turbidity maintained by operators of the
– Distribution of booklet for – Total residual chlorine value at level with digital instruments department of water
children the output of the plants in – Sample test with portable kit – The Department of water of
according with the request of the in the villages for E-Coli Basrah supply the chemicals
14 Sustainable Rehabilitation of Water Infrastructures in Southern Iraq
department of water of Basrah presence in the water and the fuel for the correct
– Water quantity for each person running of the plant
above the 20 L/day
– 5,000 booklet printed
227
The rehabilitation work performed on each single CU/WTP is described in the

following sections.
2.15.4 Balad Slam CU Rehabilitation Work

GPS Coordinates of the Plant
Lat N 30ı 280 23.3000; Lon E 47ı 520 59.0100
Number of the Beneficiaries

The plant pumps water to Balad Slam village which counts approximately 7,000
habitants.
Scheme of the Plant and Technical Data

The Balad Slam plant is a small 50 m3 /h compact unit and is shown in Fig. 14.6.
The plant gets water from the nearby channel (50 m far) with two low-lift pumps
(Q D 50 m3 /h, h D 20 m) working alternate. Water is pumped in a sedimentation
tank (10 3 2 m), where it is mixed with a concentrate Al2 (SO4 /3 solution and
then flocculation occurs. Once clarified, water passes through three sand filters
(vertical cylinders 2 m high and with a diameter of 1.5 m) with a parallel process, is
chlorinated, and then pumped in the network by two high-lift pumps (Q D 50 m3 /h,
h D 50 m).
Assessment Results and Work Description

The steel container should host the alum mixer, the chlorinator and two 50 m3 /h
high-lift pumps (50 m head). During the assessment in May 2003, it was found that
chlorinator, and the alum mixer motors were stolen during the Second Gulf War and
that one of the two high-lift pumps was idle, the second being in bad conditions. The
sedimentation tank had rust almost everywhere on the internal and external surfaces
and presented more than a hole, with a persistent leakage of water. The connection
pipe between tank and filters brake at the beginning of the works. The condition
of the sand filters is witnessed by Fig. 14.7. Since the installation of the plant in
the early 1980s, sand had never been changed. Once opened, the filters showed the
complete absence of sand and the presence of solidified mud.
Moreover, the filter was heavily rusted in the internal surface.
Only one of the two high-lift pumps was working when the plant was visited for
the first time.
A full rehabilitation was performed or Balad Slam CU. All the pumps have been
substituted by identical ones available on the local market.
Some details of the rehabilitation process are listed below:
• A second-hand generator of 250 kVA was installed and maintained to feed Balad
Slam and Mejran Plant located in the same field.
• Intake structure was completely redesigned, shifting the low list pumps from the
original position (see Fig. 14.8).
• A concrete basement construction was not necessary because high-lift pumps
were inside the steel container (Fig. 14.9). In this case, the steel structure of the
container was reinforced and painted with two layers of antirust paint.
Fig. 14.6 Balad Slam plant before the beginning of rehabilitation works. Note the rust on the
sedimentation tank and the absence of any kind of fence for the protection of the plant
Fig. 14.7 Balad Slam sand filter after the first open
• Immediately after the war (April–May 2003), a diesel pump (Q D 500 m3 /h,
h D 50 m) was installed in the intake by the local engineers of “Un Ponte
Per. . . ” to pipe directly nontreated water to the villages when electricity from the
Fig. 14.8 Balad Slam intake low-lift pump
network was not available (sometimes for 22 h/day). The pump has been working
as a diesel pump until the generator was installed (August). Starting from that
moment, the pump worked only when generator was in standby for maintenance.
• A brick fence for Balad Slam and Mejran was built (see Fig. 14.10).
• Chlorinator (1 kg/h) was shifted on the outside of the steel container.
Donor
The rehabilitation work was funded by ECHO- European Office for Emergencies.
2.15.5 Mejran CU Rehabilitation Work

Lat N 30ı 280 23.3000; Lon E 47ı 520 59.0100

The plant pumps water to Mejran village, which counts approximately 15,000
habitants.
Fig. 14.9 Balad Slam high-lift pump in the steel container

The Mejran plant is a medium-sized 200 m3 /h compact unit and is shown in
Fig. 14.11. The plant gets water from the nearby channel (10 m far) with two low-
lift pumps (Q D 200 m3 /h, h D 20 m) working alternate. Water is pumped in a
sedimentation tank (12 3 4 m), where it is mixed with a concentrate Al2 (SO4 /3
solution and then flocculation occurs. Once clarified, water passes through three
sand filters (vertical cylinders 2 m high and with a diameter of 2.5 m) with a parallel
process, is chlorinated, and then pumped in the network by two high-lift pumps
(Q D 200 m3 /h, h D 50 m).
Assessment Results and Works Description

During the assessment in May 2003, it was found that chlorinator and the alum
mixer motors had been stolen during the Second Gulf War and that both low-lift
pumps were idle. The sedimentation tank had rust in several places on the internal
and external surfaces and presented more than a hole leading to a persistent leakage
of water. The condition of the sand filters were similar to the one found for Balad
Fig. 14.10 Balad Slam plant after the rehabilitation. Note the new fence, the cement basement,
a new storage room on the right, and the shade to cover chlorinators
Fig. 14.11 Mejran plant before rehabilitation (May 2003). Note the fence condition and the
abandoned sand filter on the left. The fence was substituted with a brick one, which responded
to the requests of the Water Department. The same filter was rehabilitated and added to the two
already installed in the plant
Fig. 14.12 Maintained filter and new basement in Mejran Plant. Note on the left the new
chlorinator (10 kg/h) connected with Cl2 cylinders
Slam (see Fig. 14.10). The original design of the plant foresaw three filters, one of
which was not in use when the plant was assessed in May 2003 (see Fig. 14.11).
Since the installation of the plant in the early 1980s, sand had never been changed.
Once opened, the filters showed the complete absence of sand and the presence of
solidified mud. Both high-lift pumps were working when the plant was visited for
the first time.
A full rehabilitation was performed for Mejran CU. All the pumps were
substituted by identical ones available on the local market. Part of the rehabilitation
started in May 2003, just few days after the end of the war. For this reason, some of
the purchased items were used and not always in good conditions. In such cases, a
full rehabilitation of the item was performed.
The following list details some particularities in the rehabilitation process:
• A second-hand generator of 250 kVA was installed and maintained to feed Balad
Slam and Mejran Plant located in the same field.
• The intake was completely redesigned to rationalize piping (see Fig. 14.12).
• The third filter was fully rehabilitated. The rehabilitation consisted in:
• Sandblasting and painting
• Welding a new plate for nozzles
• Welding new metallic legs
• The area of the filters was enlarged with the construction of a new basement
(approx. 10 5 m).
• A brick fence for Balad Slam and Mejran was built (see Fig. 14.10).
• A room for guard and operator was built (see Fig. 14.10).
• A new chlorinator (10 kg/h) was installed on the new basement (Fig. 14.9).
Donor
2.15.6 Hamdan Jissar CU Rehabilitation Work

Lat N 30ı 270 52.1100; Lon E 47ı 540 09.9300

The plant pumps water in the Hamdan area where 7,000 people live.

The Hamdan Jissar plant is a small-medium-sized 100 m3 /h compact unit. The plant
is built on the channel, from which it gets feed water with two low-lift pumps
(QD100 m3 /h, hD20 m) working alternate. Water is pumped in a steel sedimentation
tank (12 3 4 m), where it is mixed with a concentrate Al2 (SO4 /3 solution and
then flocculation occurs. Once clarified, water passes through one sand filter divided
in two identical sections (horizontal cylinder 4.2 m long and with a diameter of 2 m)
with a parallel process, is chlorinated, and then pumped in the network by two high-
lift pumps (Q D 100 m3 /h, h D 50 m).

The plant had been already rehabilitated in 2000 by a Swedish organization.
During the assessment in May 2003, it was found that the cover of the plant
(see Fig. 14.14) and the outlet valves of the sedimentation tanks (see Fig. 14.14)
had been destroyed by the explosion that damaged the nearby bridge. Like in the
previous plants, chlorinator and alum mixer had been stolen during Second Gulf
War. The sedimentation tank was in good conditions, with no holes and no leakage
of water. Sand filters were found in decent conditions, mainly the sand needed to be
changed.
A full rehabilitation was performed for Hamdan Jissar CU. All the pumps were
substituted by identical ones available on the local market. Some details of the
rehabilitation process are listed below:
• A 150-kW generator was installed.
• The intake was completely redesigned to rationalize piping (see Fig. 14.13).
• A new basement (20 10 m) was built to host the new intake and any future
enlargement of the plan (see Fig. 14.15).
• A brick fence was built (see Fig. 14.16).
• All the damaged plated of the cover were substituted (see Fig. 14.15).
• Rehabilitation for guard and operator rooms was performed.
• A new chlorinator (4 kg/h) was installed on the new basement.
Fig. 14.13 On the top, new guard room in Mejran. On the bottom, the new intake structure
Fig. 14.14 Steel cover and outlet valves of the Hamdan Jissar sedimentation tank destroyed by an
explosion during the Second Gulf War
Fig. 14.15 On the left, repaired steel cover. On the right, repaired outlet valves
Fig. 14.16 Hamdan Jissar plant new brick fence

Donor
2.15.7 Jecor CU Rehabilitation Work

Data not available

The plant pumps water in Jecor Village where 4,000 people live (see Fig. 14.17).

The Jecor plant is a small-sized 50 m3 /h compact unit and is shown in Fig. 14.18.
The plant was built on the channel from which it gets feed water with two low-lift
pumps (Q D 50 m3 /h, h D 20 m) working alternate. Water is pumped in a steel
sedimentation tank (10 2 3 m), where it is mixed with a concentrate Al2 (SO4 /3
solution and then flocculation occurs. Once clarified, water passes through two sand
filters identical to Mejran’s ones, with a parallel process, is chlorinated, and then
pumped in the network by two high-lift pumps (Q D 50 m3 /h, h D 50 m).

The Jecor plant was the first one assessed after the war in May 2003 due to the poor
life condition of the local community which had been waiting for years for the CU
rehabilitation. During the assessment in May 2003, it was found that the plant was
idle, due to lack of electricity, chlorinator (stolen by the local technician during the
war and returned in November 2003), alum mixer, and working pumps.
All the pumps were substituted by identical ones available on the local market.
• A 150-kW generator was installed (see Fig. 14.20).
• A brick fence was built (see Fig. 14.19).
• All the damaged plated of the cover were substituted.
Fig. 14.17 On the left, view of channels in Jecor. On the right, children playing in Jacor
Fig. 14.18 Overall view of Jecor CU (May 2003)
Fig. 14.19 Different stages of fence construction in Jecor
• A new room for guards and operator was constructed.

• A new chlorinator (1 kg/h) was installed (see Fig. 14.20).
Donor
Fig. 14.20 On the left, Jecor generator. On the right, Jecor chlorinator
Fig. 14.21 Al Swaib plant intake on the Tigris River
2.15.8 Al Swaib CU Rehabilitation Work

Lat. N 31ı 000 54.8200; Lon. E 47ı 260 08.1200

The plant pumps water in Al Qurna city where about 50,000 people live.

The Al Swaib plant is a medium-sized 200 m3 /h compact unit and is probably the
plant in worst conditions among the ones rehabilitated in the period May–December
2003. The plant is inside the city of Al Qurna and was built on the Tigris river (see
Fig. 14.21), from which it gets feed water, with two low-lift pumps (Q D 200 m3 /h,
h D 20 m) working alternate. Water is pumped in a huge steel sedimentation tank
where is mixed with a concentrate Al2 (SO4 /3 solution and then flocculation occurs.
Fig. 14.22 Al Swaib plant concrete structure
Once clarified, water passes through three sand filters (horizontal cylinders, length
6 m and diameter 2 m) with a parallel process, is chlorinated, and then pumped in
the network by two high-lift pumps (Q D 200 m3 /h, h D 50 m). The high-lift pumps
are in a concrete structure (see Fig. 14.22) which also hosts a small office, toilets,
and a control panel’s room.

The Al Swaib CU rehabilitation was the most difficult among all the rehabilitations
of the project. Almost every item of the plant was not working, but the biggest
problems were encountered in rehabilitating the sedimentation tank.
During the assessment in May 2003, it was found that the plant was idle, due
to lack of electricity, chlorinator (stolen by the local technician during the war and
returned in November 2003), alum mixer, and working pumps.
All the pumps were substituted by identical ones available on the local market.
• A 400-kW generator was installed in the nearby plant of Medaina to serve both
CUs.
• A 150-m brick fence was built (see Fig. 14.23).
Fig. 14.23 On the left, brick fence in Al Swaib Plant. On the right, part of the mud removed from
the sedimentation tank
• Rehabilitation of sedimentation tank took more than 2 months due to the huge
amount of precipitated mud (see Fig. 14.23).
• The room for guards and operator was rehabilitated.
• A new chlorinator (10 kg/h) was installed.
Donor
2.15.9 Shat Al Arab WTP Rehabilitation Work

Lat N 30ı 320 13.51; Long E 47ı 510 28.91

The plant pumps water in Tannouma district where about 120,000 people live.

Shat Al Arab water treatment plant is the biggest plant that was rehabilitated. It has a
nominal capacity of 1,500 m3 /h and pumps water to all the urban part of Tannouma
district. The assessment showed a plant in decent conditions, better than the compact
units described above.
The different condition between plants in rural areas (Abu Al Khaseeb) and
Tannouma Plant, located inside Basrah city, depends on the politics of the former
regime. In the past, the limited amount of funds have been addressed for the
maintenance of big plants pumping water to urban areas, thus neglecting all the
small units scattered in the governorate. The consequence of this myopic behavior
is that Basrah governorate counts few cities and hundreds of villages served by
Fig. 14.24 On the left, Shat Al Arab sedimentation tank (front) and water reservoir (back). The
reservoir is not in use. On the right, the sand-filters room
small (25–50 m3 /h) CUs, which need constant maintenance and trained operators
to run.
The plant is inside the city of Tanouma (actually inside Basrah city) and is built
3 km far from the intake in Shat Al Arab river. Three low lift pumps (Q D 500 m3 /h,
h D 20 m) work together to bring 1,500 m3 /h of raw water to the treatment plant.
Water is pumped in a huge circular concrete sedimentation tank (see Fig. 14.24),
where it is mixed with a concentrate Al2 (SO4 /3 solution and then flocculation
occurs. Once clarified, water passes through six sand filters (concrete basins, see
Fig. 14.24) with a parallel process, is chlorinated, and then pumped in the network
by three high-lift pumps (Q D 500 m3 /h, h D 50 m).

Unlike for CUs in Abu Al Khaseeb district, only a partial rehabilitation of Tannouma
plant was performed. As a matter of fact, also a big company aimed to rehabilitate
the same plant, and it was decided to share the works.
• The rehabilitation of intake generator (1,000 kVA) was performed.
• The rehabilitation of main generator (1,000 kVA) was performed.
• A 150-m brick fence was built.
• Rehabilitation of sedimentation tank took more than 2 months due to the huge
amount of precipitated mud.
• The room for guards and operator was rehabilitated.
• A new chlorinator (10 kg/h) was installed.
Donor
The rehabilitation work was funded by UNHCR, project number 03/SB/IRQ/RP/
332.
2.15.10 Al Medaina CU Rehabilitation Work

Lat N 30ı 570 27.29; Long E 47ı 160 20.05

The plant pumps water in Al Medaina area where about 30,000 people live.

The Al Medaina Water Project is a medium-sized 200 m3 /h compact unit. The plant
is inside the city of Al Medaina (30 km west of Al Qurna) and is built on Tigris
river, from which it gets feed water with two low lift pumps (Q D 200 m3 /h,
h D 20 m) working alternate. Water is pumped in a huge steel sedimentation tank
(see Fig. 14.25), where it is mixed with a concentrate Al2 (SO4 /3 solution and then
flocculation occurs. Once clarified, water passes through three sand filters (vertical
cylinders, 2 m height, diameter 1.5 m) with a parallel process, is chlorinated, and
then pumped in the network by two high-lift pumps (Q D 200 m3 /h, h D 50 m). The
high-lift pumps are in a concrete structure which hosts also a small office, toilets,
and control panel’s room.

All the pumps were substituted with new ones. The rehabilitation followed the
outline detailed in the section including the general work description above.
Donor
The rehabilitation work was funded by UNHCR, project number 03/SB/IRQ/RP/
332.
Fig. 14.25 On the left, view of Al Medaina CU from the intake on the Tigris river. On the right,
the internal surface of the sedimentation tank
3 Summary
On one side, the shortness of energetic, hydro, and natural resources produces social
tensions and national and international conflicts. On the other side, the exploitation
of such resources at the present rate and with the present technologies has an impact
on natural and human environment. Both conflicts and environmental issues act on
the capabilities of populations to satisfy their needs using resources.
Wars and postwar consequences, like embargos, seriously affect the infrastruc-
tures necessary to exploit directly and indirectly specific resources. Environmental
issues usually affect the quality and the quantity of available resources. Both these
effects have serious consequences on the possibility of human beings, in specific
areas, to use all the necessary resources for their development, and this again
generates conflicts. The drawn picture is a circle which needs to be broken. This
difficult challenge is the main task of all the sciences dealing with sustainable
development.
Within this framework, summarised in Fig. 14.26, the attention of this project
was focused on the specific task of water treatment in poor, remote, and emergency
areas.
Figure 14.27 shows the concept illustrated in Fig. 14.26 applied to the specific
case study of water purification in Iraq after the Second Gulf War.
Projects implemented in Iraq are a partial solution to the problem of conflicts,
because they act on the consequences of the war, without taking in account, and
Environmental
Impact
Climate change
Use of Decrease of
energy quality and New technologies
resources quantity of
resources
Resources Consequences
Natural
on the ability
Hydro
Energetic to use the
resources
Shortness of
Infrastructures to
resources
exploit resources
affected by
conflicts
Conflicts
Rehabilitation
Works
Fig. 14.26 Scheme of the relations between resources, conflicts, environmental issues, and the
capability of a population to use the resources for its development. Note that the activities presented
in this work interact with both mechanisms which affect the ability of some populations to use
resources for its own development
Environmental
Impact
Climate change
(Increase sea level) Decrease of
Use of High Salinity in Tigris quality and Desalination
fossil fuels and Euphrates quantity available
water
Dry of Marsh
Arabs
Consequences
Resources on the ability
Natural to purify water
Hydro
Wars and Embargo
damage water
infrastructures in
Shortness of Oil Iraq
Conflicts Rehabilitation of
WTP in Southern
First (1991) and Second Iraq
(2003) Gulf War
Fig. 14.27 Scheme of the relations between resources, conflicts, environmental issues, and the
capability of a population to use the resources for its development for the specific case of Southern
Iraq. Note that the activities presented in this work interact with both mechanisms which affect the
ability of some populations to purify water
thus acting on, the causes. Nevertheless, the huge number of beneficiaries (250,000–
300,000), the applied methodologies (community participation, time of intervention,
etc.) and the innovative partnership (university and NGO) assure the overall quality
of the project, its sustainability, and the innovation.
Acknowledgments

References
J. Davis, R. Lambert, Engineering in Emergencies – A Practical Guide for Relief Workers (ITDG
publishing, London, 2002)
S. Esposto, Sustainability applied to the design of water treatment plants in Iraq. Sustain. Sci. 4(2),
293–300 (2009)
Sustainable Water Management in
Response to Global Changes 15
Abstract
Presumably, sustainable water management is the correct answer to the changing
precipitation patterns resulting from global warming and to the rapid increase
of the global water demand caused by population growth and lifestyle changes
on the global as well as on the regional level. To minimize volume and rate
of abstraction from aquifers and man-made reservoirs, elementary improve-
ments are recommended concerning water usage, water transportation, and
pricing. Innovative water-efficient agricultural practices are to be developed
and introduced. Concerning urban water management priority is to be given to
maintenance, cascading use of water and water reuse. In water-deficient areas,
wastewater has to be considered as a potential source of water. City planners,
architects, investors, and representatives of water authorities are called to join
forces. It needs to be understood that methods tailored to the specific climatic,
hydrological, economic, and cultural situation at the spot are superior over
traditional methods described in major textbooks. Sustainable solutions can be
expected to materialize when up-to-date knowledge and wisdom meet.
P.A. Wilderer ( ())

Institute for Advanced Study, Technical University of Munich, Garching, Germany
e-mail: peter@wilderer.de, peter.wilderer@mytum.de
M. Grambow
Bavariab State Ministry of the Environment and Public Health, Munich, Germany
e-mail: martin.grambow@stmugv.bayern.de
W. Meng
Chinese Research Academy of Environmental Sciences, Beijing, PR China
e-mail: mengwei@craes.org.cn, songyh@craes.org.cn

DOI 10.1007/978-1-4020-8939-8 5,
1 Introduction
Water in appropriate quantity and quality supplied to people, industry, and agri-
culture is to be assumed as backbone of global and national security. Sustainable
water supply plays an important role not only in quenching thirst and hunger. It is
the prerequisite of economic development, and it is a major handle in the attempt to
keep social and economic systems in balance. In this context, water supply is just the
one side of the coin termed “sustainable water management.” The other but equally
important side of this coin represents purification, direct or indirect reuse, and safe
discharge of the used water – also termed sewage or wastewater. Safe discharge of
the used but appropriately purified water into natural water systems is important to
maintain the basic function of aquatic ecosystems which are to be envisioned as an-
other backbone of global and national security since ecosystems are known to secure
life enabling conditions on earth (Lovelock 1979, 2006, 2009; Gorshkov et al. 2000).
Remarkably, most of the water-related problems are very well known all over the
world, in principle at least. In many cases, it is possible to give exact advice how to
deal with them. Contemporary scientific knowledge and the technical means built
upon this knowledge make it possible to monitor the local and even transboundary
water system, to protect surface waters and aquifers, and to purify the used water
prior to reuse or discharge. Nevertheless, in many parts of the world, the water
systems are in a catastrophic shape. Presumably, more fresh water is “consumed”
by pollution than by using it for drinking, irrigation, and industrial production.
As stated in Sect. 3 of the Zugspitze Declaration (see chapter Sustainable
Earth System Engineering: Incentives and Perspectives) deeds must follow words
to overcome water-related problems. Sustainable water management is a most
promising measure to satisfy the food and water demand in the world, leading out
of the world water and food deficiency crisis (Sect. 7 of the Zugspitze Declaration).
Sustainability is an expression which is not unknown in the water sector. For
instance, the concept of Integrated Water Resources Management – often referred
to as IWRM – (Anonymous 2000a; Wilderer 2004, 2007; Grambow 2008) – is an
application of guidelines which were set by the United Nations at the conference
in Rio de Janeiro in 1993 (Agenda 21 1993). In parallel, the Water Framework
Directive was issued by the Commission of the European Union (Anonymous
2000b). It became the guideline of water management activities in Europe and
beyond. In response to the world crises, further development of the IWRM is in
progress. It is advisable to design and implement comparable management methods
to combat the four world crises highlighted in Fig. 3 of chapter Sustainable Earth
System Engineering: Incentives and Perspectives.
The term “sustainable development” originates from forestry science (von
Carlowitz 1713). In some respects, sustainable water management is a method
which reflects the way water is naturally used, reused, and temporarily stored in
forest ecosystems (Fig. 15.1). It is a method which obviously has been successfully
applied in natural forest ecosystems for millions of years. Thus, proper transforma-
tion into modern day civilization bears the chance of solving the complex problems
of urban areas under threat of rapid expansion.
15 Sustainable Water Management in Response to Global Changes 249
components processes
– trees abstraction & processing of water, CO2, nutrients
– epiphyton emission of oxygen & water vapor
– underwood cascading use of water
– animals temperature control by evapo-tanspiration
– bacteria temporary storage of water and carbon
– soil
Fig. 15.1 Major components and processes characterizing the function of forest ecosystems (artist
unknown)
2 Reuse Over Single Usage
In many parts of the world, urban areas are rapidly growing, mainly as result
migration and immigration. People move into cities in expectation of a better
life compared to what they have experienced in their homelands. Cities grow. In
contrast, the locally available water resources (aquifers, rivers, lakes, reservoirs)
are a given asset with respect to quantity. These resources are rather shrinking in
size and quality because of pollution, over-abstraction, and reduced rainwater and
melting water infiltration caused by surface sealing and droughts and – in coastal
zones – by intrusion of seawater. Industries, power plants, and agriculture compete
for the available water which aggravates water supply in urban areas.
The traditional attempt to solve water supply problems in cities and agriculture
is excess abstraction. The long-term consequences are disastrous. As mentioned
in chapter Sustainable Earth System Engineering: Incentives and Perspectives the
groundwater level in Northern India has been decreasing over the past years at a rate
of up to 4 cm per year (Mervis 2009). The annual net loss of groundwater in a 2,000-
km-long stripe stretching from Pakistan to Bangladesh accounts to 54 ˙ 9 km3 . But
the problem is not only the loss but the growing distance between the groundwater
table and the root zone of plants growing or expected to grow at the surface. In
agriculture, the increase of the distance to the groundwater table makes it necessary
to intensify irrigation, and this is an additional decrease of the groundwater table. A

viscous cycle is initiated.
Over-abstraction of groundwater is unknown in forest ecosystems. To satisfy the
water demand of the wide variety of individuals (plants, animals, bacteria) making
up a forest ecosystem, nature applies the concept of cascading use and temporary
storage of water in plant and animal tissues, extracellular polymers of bacteria and
fungi, and in soil. This is in sharp contrast to common practices in cities, industry,
and agriculture where water is mostly used just once and discharged thereafter.
In order to approach sustainable water managements, it is imperative that the
rate of water abstraction from natural freshwater resources gets reduced. This is
necessary not only to permit long-lasting, satisfactory water supply of people,
industry, and agriculture but to maintain the life-supporting function of terrestrial
and aquatic ecosystems as well. To minimize volume and rate of abstraction,
some elementary improvements are recommendable concerning water usage, water
transportation, and pricing. As ever in the discussion about sustainability, at least
efficiency is the aim, if this is not enough, sufficiency.
2.1 Agriculture
In many parts of the world, only a fraction of the crops grown on agricultural
fields makes it to the consumers (Asit Biswas, 2006, personal communication). A
significant fraction is rotting on its way from the field to the consumers because of
the lack of proper transportation and cooling facilities. Any degree of improvement
on this side would help overcoming the food supply shortages and decrease the
water demand of agriculture.
Secondly, transformation to water saving agricultural practices would reduce the
water consumption of agriculture even further. Development and deployment of
innovative concepts such as rooftop farming (growth of vegetable on top of high-rise
buildings) is to be encouraged (Kauffman and Bailkey 2000; Wilson 2005).
2.2 Municipalities
Because ill maintenance of water distribution systems, the loss of water caused
by leakages is high, sometimes extremely high. Fixing leaks would diminish local
water scarcity problems significantly.
To further overcome water shortages in cities, it is recommendable to consider
cascading use of water and reuse practices – at least in new urban development
areas. Figure 15.2 provides a graphical representation of the three, currently
widely discussed and partially already applied approaches toward water reuse in
urban areas:
1. Return of water after advanced purification to the reservoir or aquifer feeding the
central water works (Tortajada 2006)
CeSa/R
use of treated wastewater
Centralized Sanitation for industrial purposes
& Re-use
WW
WWTP
DeSa/R
Decentralized Sanitation & Re-use
Fig. 15.2 Two options to reduce the amount of water to be abstracted from natural resources such
aquifers and lakes or man-made resources such as reservoirs
2. Direct reuse of urban wastewater in industry purified according the required

standards of the receiving industrial plant
3. Direct reuse of water, nutrients and biosolids in decentralized units after source
separation of urine, feces and grey water (Larsen and Gujer 2000; Wilderer 2004;
Cornel 2007)
To be able to draw decisions which meet the needs of nature, agriculture,
industry, and urban dwellers, it is necessary to enter into a transdisciplinary dialogue
at the earliest stages of regional, urban, and architectural planning (Wilderer 2005).
In addition, transfer of well-documented and interpreted information to the end users
is indispensable but also support of law makers, investors, and the press media with
solid information. City planners, architects, investors, and representatives of water
authorities should understand that copying the technology which has developed over
hundreds of years in the water-rich areas of the world is not universally applicable.
Methods tailored to the specific situation on site are definitely superior over methods
copied from alien countries only because they are considered fashionable.
First of all, however, water professionals and water authorities should abandon
the sectoral approach which has prevailed throughout the world for centuries.
Water supply and sanitation (including urban drainage) are not separate issues but
inextricably linked. They resemble the “two sides of the same coin.” Wastewater
is to be evaluated as a potential source of water for agriculture, industry, and even
for people (see Fig. 15.2). As water reuse is becoming more and more important
under situations of continuous or temporary water shortage, and as the urban water
cycles are becoming partially closed, an integrated approach needs to be taken
encompassing all the water relevant sectors including regulation, finance, and, last
but not least, the civil society as the major end user of water (Wilderer 2009).
Closing the water cycle in an urban setting reduces the stress imposed to the
regional hydrology. However, closing the loop bears serious risks with respect
to public health. It is unavoidable that chemical substances accumulate in water
kept in circulation. Components formerly rated as trace substances are already
present in enhanced concentrations, specifically in areas downstream major rivers
where water is unintentionally reused. Of particular concern are pharmaceuticals,
hormones, pesticides, heavy metals, and nanoparticles. As in earlier times, when
modern water supply and sanitation system were invented, it keeps being of primary
importance that pathogenic organisms and viruses are removed from water supplied
for potable use. The rapid development of membrane technology makes it possible
to control, better than ever before, the spread of waterborne pathogenic organisms
and viruses. Further technological developments are necessary to solve drawbacks
still associated with membrane systems such as fouling, scaling, leaking, energy
consumption, and last but not least costs.
With respect to decentralization of water treatment and water reuse, development,
testing, and responsible monitoring of the respective technology are required.
Decentralized sanitation and reuse systems (DeSa/R) have to be particularly robust,
reliable, and affordable. Continuous education and training of design engineers,
operators, regulators, and end users is a must. To make sure that decentralized water
and wastewater treatment systems work reliably and cost-efficiently, it is necessary
to develop robust sensors to provide electronic information about the performance of
the dispersed treatment plants (Fig. 15.3). The signals might be electronically or via
GSM transferred to a central monitoring station where advanced signal processing
and innovative control engineering are performed. The results are to be displayed in
a visual form readily understandable by even low-profile service staff.
In conclusion, the need for research and development in the field of water
technology is enormous but often underestimated by the respective funding institu-
tions. Research and technology efforts are to be encouraged. Successful mitigation
of water stress in urban and rural areas, in industry, and agriculture depends on
advances of science, technology, management practices, legal frameworks, and
public perception.
3 Livable Cities Need a Livable Hinterland
Even so urban areas pose a big challenge – not only with respect to water manage-
ment – the rural area surrounding cities, the “hinterland” requires special attention
and sustainable development as well. According to the law of symbiosis, a city
cannot survive without a healthy environment beyond its outskirts. In this context,
the term “healthy environment” stands for a balanced interrelationship between
human activities and factors enabling nature to perform its generic function. Even at
relatively small scale, it is important to give room to well-functioning ecosystems,
forests, and wetlands in particular. These natural assets are prerequisites for the
preservation of a climate favoring well-being of flora and fauna but also well-being
DeSa/R 1 DeSa/R n
DeSa/R 2 DeSa/R 4
central monitoring
& service
DeSa/R 3
Fig. 15.3 Centralized monitoring and control of decentralized sanitation and reuse plants
(DeSa/R) on the basis of an innovative sensor and control concept using electronic transmission of
performance data
of the human society and economy. Innovative concepts of land management and
land use planning are required to satisfy the needs of nature and man alike.
The Water Frame Work Directive of the EU may be considered as a valuable
tool of managing the hinterland. It is a guideline designed to stabilize the function
of ecosystems with the aim to convert and maintain natural water bodies in “good
shape” and at “high ecological potential.” Thus, the EU Water Framework Directive
serves as a tool to overcome the water and food deficiency crises as well as the
ecosystem and biodiversity crisis while strengthening the economic and social status
of rural areas in relation to the embedded urban areas.
4 Technical and Political Challenges
It is essential to underline that the complex threats of the four Earth crises (see
chapter Sustainable Earth System Engineering: Incentives and Perspectives) can
only be solved in a sustainable, holistic, and integral way. Answers will be partially
of technical nature but as important are methods which facilitate political decision
making in the attempt to overcome negative feedback caused by nonsustainable
behavior. The traditional generic obligations of the State to provide its citizens
with favorable living conditions is valid and important, but it is insufficient taking
into perspective the threats posed by the four Earth crises. The State authorities
are now responsible for the functioning of the anthroposphere but also for the
preservation of the entire ecosphere, at least within the boundaries of national
jurisdiction.
A two-step strategy appears to be taken: Appropriate technical and organizational
solutions have to be developed and implemented at the national or transnational
level. Moreover, it should be realized that the availability of sustainable solutions
affects the world market, assisted by the theoretical knowledge about the pressure
and the translation into the national and international policy. In the light of this
process, it is necessary to increase the dialoge between science, engineering, and
the political decision makers including the governmental regulators.
5 Concluding Remarks
Sustainable water management plays a crucial role in a world populated by a

rapidly growing number of people, by an increasing density of urban areas, and
by globalization of the lifestyle which developed in the industrialized countries
over the past hundred years. Health and well-being of people, economic prosperity
and stability of societies depend on uninterrupted supply of safe water in sufficient
quantity and quality, well-elaborated collection and treatment of the used water, and
above all on responsible management of the water bodies from which the water is
taken, and into which the used water and its components is taken back, hopefully
after proper purification.
Water management shall not be envisioned as a stand-alone issue, however. For
instance, water management and energy management are inextricably linked. In
order to achieve and maintain sustainable development of societies and economies
design, installation and regular maintenance of water and energy management
systems are major obligations. Fine-tuned cross-linkage of water and energy
management is a matter of national security as Hoffman (2004) clearly stated at
a conference held in November 2009 in Copenhagen.
The term “sustainability” stands for human activities kept in the limits of the
generic capacity of the Earth’s life supporting system – the capacity to deal with
resources taken for human consumption in particular. Usage of non-renewable
resources such as fossil water and fossil fuel can only be tolerated as a temporary
solution. Emphatic and straightforward attempts are to be made at the highest
possible speed to develop and implement substituting technology and behavioral
changes among the users.
Water is needed for energy generation (hydropower, steam generation, cooling),
and energy is needed for water supply (operation of pumps, purification processes,
desalination plants, and so on). Water and energy are needed by people but also
by agriculture to produce food. Enterprises and industries need water and energy
to generate goods and services. It is common practice but basically impermissible
to manage water and energy supply as separate economic issues. Sustainable

development can set on path only when taking a cross-sectoral approach.
The necessity to further develop and integrate sustainable water and energy
management is amplified by a variety of global changes. Major drivers of these
changes are the growing number of people on Earth, the steady increase of the
migration rate toward urban areas and worldwide adoption of the lifestyle practiced
in the industrialized countries. As a consequence, the demand of energy, water, food,
medical care, land, commodities, and luxury goods is sky-rocking. On the global as
well as on the local scale, mankind is facing serious crises which are to be solved
to keep the local economies, societies, and the environment equally in balance. The
global warming and climate change crisis is just one of the Earth crises which need
to be tackled. As important is the crisis caused by the ecosystem and biodiversity
loss, the social and economic crisis, and, last but not least, the water and food
crisis. It is important to understand that all these crises are interlinked. Sectoral
approaches to crisis management are insufficient, therefore. What is needed is a
holistic, overarching approach.
Because it is crucial to keep the generic function of the ecology-driven Earth
system intact, responsible, cross-sectoral, and cross-national water management is
highly important, but exercising this responsibility is anything but trivial. Decisions
on concrete actions must be made not only in view of factors affecting the global and
local ecosystems. In addition, a variety of human factors are to be taken into account,
growth of the human population, for instance, demographic changes, changes
of lifestyles, the power of traditions and religious concerns, and many others.
Considering the complex nature of the water sector, developing innovative tools
to facilitate decision-making processes in a world of complexity and heterogeneity
is an urgent task.
On a local scale, development of innovative concepts and methods to manage
urban areas is required. Here people are facing rapid growth in the demand for
water and food and rapid deterioration of water resources, both quantitatively
and qualitatively. Overfertilization of agricultural land, extensive application of
pesticides to mono-agricultures, and sea water intrusion into estuaries and aquifers
are among the reasons for the decrease in water quality. To be able to supply people,
industry, and farmlands with safe water, and to be able to maintain a reasonable
public health status, economic prosperity, and social stability, use of unconventional
sources of water, including wastewater, is to be considered. The cascading use
and reuse of water in cities must be seriously considered. Decision makers of
political institutions as well as water users must be prepared for a shift from the
traditional concept of single-pass water usage toward the concepts of recovery and
reuse. The public must understand that wastewater is not a nuisance but a valuable
resource.
Water reuse does have risks which should not be underestimated. Keeping water
circulating in an urban setting will almost automatically lead to the accumulation
of trace substances. To avoid detrimental health effects and human fertility loss,
innovative treatment technology is required to make water reuse a safe, robust, and
cost-effective method.
Decentralized systems to treat and reuse water require special attention by water
authorities responsible for public health. To be developed and implemented are
not only high-quality appliances and treatment processes but also management
structures to provide remote control, safety, and convenience.
This applies for the urban as well as for the rural areas. The latter are known
to contribute substantially to the sustainability of the whole water system. In
consequence, rural areas have to be developed with the same wholeheartedness.
Taking all such issues into account, it is obvious that the water sector has not
reached a mature state. On the contrary, the R&D demands of the water sector, the
need to invent and implement innovative concepts and techniques, and the need
to educate operators, regulators, and people in general are even greater as global
warming, urbanization, lifestyle changes, and the desire for comfort are proceeding
at an increasing rate. It is time for investment in research, technology development,
innovative infrastructure and management methods, and a shift in public attitudes.
And last but not least, turning away from the well-established but ill-conceived
anthropocentric worldview is a must.
6 Cross-Reference
Sustainable Earth System Engineering: Incentives and Perspectives
References
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Anonymous, Integrated Water Resources Management (Global Water Partnership, Stockholm,
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framework for the community action in the field of water policy. Off. J Eur. OJ L 43(327) 1–72
(2000b)
P. Cornel, Semi-centralized supply and treatment systems for fast growing areas. in Water Supply
and Sanitation for All, ed. by H.H. Huber, P.A. Wilderer, S. Paris (Hans Huber AG Berching,
2007). ISBN 13978-1-84339-514-0: 211–212
V.G. Gorshkov, V.V. Gorshkov, A.M. Makarieva, Biotic Regulation of the Environment (Springer,
London, 2000)
M. Grambow, Wassermanagement, Integriertes Wasserresourcenmanagement (IWRM) von
der Vision zur praktischen Umsetzung (Water Management, Integrated Water Resource
Management (IWRM) from Vision to Practical Implementation) (Vieweg Publishing, Wies-
baden, Germany, 2008)
A. Hoffman, Energy Security Journal, IAGS, 13 Aug 2004
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States. Working paper, Chicago (Lincoln Institute of Land Policy, Cambridge, 2000)
T.A. Larsen, W. Gujer, Waste design and source control lead to flexibility in wastewater
management. IWA World Water Congress, Paris, book 5 (IWA Publishing, London, 2000)
pp. 93–300
J. Lovelock, A New Look of Life on Earth (Oxford University Press, New York/Oxford, 1979)
J. Lovelock, The Revenge of Gaia (Penguin Books, London, 2007)
J. Lovelock, The Vanishing Face of Gaia (Basic Books, New York, 2009)
J. Mervis, Northern India’s groundwater is going down. Science 325, 798 (2009)
C. Tortajada, Water management in Singapore. Water Resour. Dev. 22, 227–240 (2006)
H.C. von Carlowitz, Sylivicultura oeconomica: anweisung zur wilden Baumzucht. Reprint (2000)
TU Freiberg, Germany, Report 135 (1713)
P.A. Wilderer, Applying sustainable water management concepts in rural and urban areas: some
thoughts about reasons, means and needs. Water Sci. Technol. 49(7), 7–16 (2004)
P.A. Wilderer, UN water action decade: a unique challenge and chance for water engineers. Water
Sci. Technol. 51(8), 99–107 (2005)
P.A. Wilderer, Sustainable water resources management: the science behind the scene. J. Sustain.
Sci. 2, 1–4 (2007)
P.A. Wilderer, Climate change and its consequences for water and wastewater management.
J. Front. Env. Sci., Springer 3(1), 1–11 (2009)
G. Wilson, Singapor’s new business oportunity: food from the roof (2005), Retrieved from http://
www.greenroofs.com/archives/gf nov-dec05.htm. Accessed 12 March 2012
Section III
Sustainable Products and Sustainable
Production
Sustainable Products and Sustainable
Production: Introduction 16
Kun-Mo Lee
Sustainable production and products are prerequisite for the realization of a

sustainable society. The term “sustainable” connotes keeping up with the present
state for a long time. In order to be sustainable, resources must be available and
current environmental quality should be preserved. From this, one can extract
key concept about sustainability. They are: sustainable resource supply and stable
environmental quality.
Products (including services) are the root cause of resource consumption and
environmental emissions. In order to maintain stable resource supply and preserve
current environmental quality, first action to take is to reduce consumption of
products. This is termed sustainable consumption. Second action followed by the
first action is to produce product that consumes less resource and generates less
emission to the environment. This is termed sustainable production and sustainable
product. The latter is often synonymous to ecodesign (sustainable design) and eco-
product (sustainable product).
Implementing sustainable production and producing sustainable products re-
quires a systematic approach based on life cycle thinking. The life cycle thinking
considers entire supply (or value) chain of a product when designing it. This
includes not only manufacturing processes of a product but also all the upstream and
downstream processes. Upstream processes include natural resources acquisition,
processing them into materials, making parts and components to be used for the
product manufacturing. Downstream processes include distribution, use, and end-
of-life of a product.
Typical approach to implementing sustainable production consists of the anal-
ysis of environmental aspects of a product system and integration of significant
environmental aspects into product design. This approach then can be applied to
realize the design of sustainable product and sustainable production.
K.-M. Lee
Department of Environmental Engineering, Ajou University, Suwon, Korea
e-mail: kunlee@ajou.ac.kr

DOI 10.1007/978-1-4020-8939-8 127,
262 K.-M. Lee
Section Sustainable Products and Sustainable Production can be divided into

three main parts. They are: analysis of environmental aspects of a product sys-
tem, integration of significant environmental aspects into product design, and
application of the methods and tools to the sustainable product design and sus-
tainable production. The first part consists of three chapters: Product LCA and
PCF, Supply Chain Management for Sustainability, and Material Flow Cost
Accounting. The second part consists of six chapters: Ecodesign Strategies,
Environmental Quality Function Deployment, Sustainable Product Design and
Development: TPI-Based Idea Generation Method for Eco-Business Planning and
Eco-Product Development, Sustainable Design by Systematic Innovation Tools,
Remanufacturing, and Reuse of Components and Products. The third part
consists of four chapters: Sustainable Production, Green PCB Manufacturing
Technologies, Structural Complexity Management in Sustainable Engineering,
and Eco-Packaging Development: Integrated Design Approaches.
Analysis of significant environmental aspects of a product and its supply chain
is vital to the implementation of the sustainable production and sustainable product
development. This is the first step to take in the production of sustainable products.
Chapter Product Life Cycle Assessment (PLCA) and Product Carbon Footprint
(PCF) introduces a procedure for the identification of significant parameters of a
product in its entire life cycle. Product life cycle assessment (PLCA) is a tool that
enables quantification of the input and output from the processes and activities
of a product, assessment of their potential impact on the environment, and then
identification of significant parameters. Two major applications from the PLCA are:
the identification of significant parameters and the development of environmental
profile of a product. Product carbon footprint (PCF) is one of the most visible
applications of the product’s environmental profile by communicating to the market
only the data related to greenhouse gases emissions.
Practical guidance and relevant examples related to the topics such as product
modeling, data collection and processing, data compiling, calculation of life cycle
impact, identifying significant parameters and development of an environmental
and carbon profile are given in this chapter to aid understanding of the PLCA
and PCF.
Chapter Supply Chain Management for Sustainability discusses management
issues and practices to ensure a sustainable supply chain, including issues related
to the sustainable enterprises and sustainable manufacturing. There are two main
issues of a supply chain from the perspective of manufacturing enterprises: en-
vironmental issues and risk management. A key approach is systems thinking –
visualizing problems, defining boundaries, setting goals, and simulating policies to
predict their effects. A systematic approach, such as visualizing risks and defining
metrics, is important for preventing and mitigating risks.
A few examples from the automotive industry are given in this chapter to
illustrate the specific challenges of managing supply chains. The examples include
the substitution of materials in cars in terms of life cycle assessment and a predicted
shortage of copper for clean energy vehicles. The smart grid system is an example
of a large system that requires system and life cycle approaches.
16 Sustainable Products and Sustainable Production: Introduction 263
Chapter Material Flow Cost Accounting: Significance and Practical Approach

introduces procedures of implementing MFCA in the manufacturing processes and
supply chain. MFCA promotes increased transparency of material use practices
through the development of a material flow model that traces and quantifies the
flows and stocks of materials within an organization in physical and monetary units.
This data can be used to seek opportunities to reduce material use and/or material
losses, improve efficiency of the material and energy uses, and reduce adverse
environmental impacts and associated costs. This chapter explains detailed steps
for MFCA implementation and shows actual case examples. Furthermore, MFCA’s
impact is not limited to a single entity. MFCA can be applied to the supply chain
where material wastage at one organization is occasionally sourced from suppliers.
Impact on supply chain is also described in this chapter.
Analytical results from part 1 are fed into the second part where integration
of significant environmental aspects into product design occurs. The second part
addresses practical approaches to sustainable product design and development
including manufacturing process.
Chapter Ecodesign Strategies: A Missing Link in Ecodesign addresses short-
comings of the existing ecodesign method and introduces practical ecodesign
strategies, i.e., design strategies working at the product designer’s level. Existing
approaches including LCA, the rules from experience, life cycle thinking, and other
potential design for environment (DFE) solutions cause confusion and conflict to
the implementation of ecodesign. In addition, there are also structural elements like
modularity to be taken into account which causes no direct environmental impact.
Product structure is important for disassembly and product lifetime.
This chapter describes a systematic design approach. At first a product is
simplified in structure and complexity. There are three design strategies: design
for functional units, design for fewer number of materials (target: one plastic, one
metal), and a design with standard components from the market combined with
disassembly analysis to simplify the product structure. Not only environmental
impact but also disassembly time which offers information about the structural
quality of a product is important. In reality, many manufacturers have no real choice
which way to go because they purchase most of the components. Often there is also
a mixture between the three strategies, but for individual manufacturer, an optimized
solution can be achieved.
This chapter also addresses the result of the application of the rules from experi-
ence which is part of Eco profile. Checking product software for its environmental
impact is a new step in Ecodesign. Impact can be caused by a software program
itself, by commands initiating something in a product like battery loading or a
possibility to better control functions of a part (e.g., motors). Redesign of the whole
manufacturing process is also necessary.
Chapter Environmental Quality Function Deployment for Sustainable Products
presents a methodology to apply quality function deployment (QFD) for sustainable
product design in the early stage of product development. This methodology
has been developed by incorporating environmental aspects into QFD to handle
the environmental and traditional product quality requirements simultaneously.
264 K.-M. Lee
“QFD for Environment (QFDE)” consists of four phases. Designers can find out
which parts are the most important parts to enhance environmental consciousness
of their products by executing QFDE phase I and II. Furthermore, a methodology
to evaluate the effects of design improvement on the environmental quality require-
ments can be found in QFDE phase III and IV. The results obtained from the case
study of an integrated circuit package show that QFDE can be applicable in the
early stage of assembled product design, because most important component from
the viewpoint of the environment is clearly identified and multiple options for design
improvement are effectively evaluated.
Chapter Sustainable Product Design and Development: TPI-Based Idea Gener-
ation Method for Eco-Business Planning and Eco-Product Development introduces
Total Performance Design (TPD) method which focuses on the balance of cus-
tomer’s utility value of a product and its resulting environmental load and cost
throughout entire life cycle. Total performance indicator (TPI) which represents
environmental and economic performance of a product throughout its entire life
cycle is used as an objective function and a design solution is derived as a set of life
cycle options (e.g., reuse, recycling, upgrading, extension of physical lifetime) for
each component, specification for each functional requirement, and product lifetime
that maximizes TPI under a given business environment.
Consideration of various eco-business strategies (e.g., product sales, lease and
rental, and function selling) also plays an important role to improve TPI. For
example, adequate control and management of operating conditions are effective
for products which consume large quantities of energy and materials during their
use stage. In this case, providing products with energy-saving service (e.g., ESCO
business) is a promising approach. In addition to the operating conditions, product
lifetime and its physical wear and deterioration rates are also insufficiently con-
trolled by product design alone. Therefore, idea generation and decision making
process for eco-business strategy, as well as design of a target product itself, should
be focused on.
This chapter provides a designer with a set of eco-business rules and case base
extracted from the Japanese eco-business cases. The applicability of each rule
is described in relation with 17 business parameters that represent the situation
(pattern) of a given business environment. Referring to the rules and the cases of
which patterns are similar to a given business environment, the designer can easily
generate adequate eco-business ideas. The designer can also determine the product
performance specifications that are suitable for the generated eco-business ideas
through the analysis of these parameters.
Chapter Sustainable Design by Systematic Innovation Tools (TRIZ, CAI, SI,
and Biomimetics) introduces design method using tools such as Theory of Inventive
Problem Solving (TRIZ) and computer aided innovation (CAI). Fostering creativity
in design practice was in the realm of random process, namely, serendipity. One of
the gigantic steps for systematic innovation was possible by introduction of TRIZ.
This chapter introduces the concepts and accomplishments of applying the efforts
toward somewhat paradoxical systematic creativity named CAI on sustainable de-
sign. Firstly, the history and current state of CAI, SI, and biomimetics are described.
Secondly, literature review of papers on the cross area of sustainable design and CAI
is presented. Thirdly, bio-inspired design approach (encompassing biomimetics)
which aims at finding wisdom from man-made world is discussed. Fourthly, efforts
to correlating TRIZ and biomimetics are presented. Finally, the innovation story
of a paper production industry where material and energy consumption is huge
and critical is introduced as an example of the sustainable design by SI tools.
The example shows that radical innovation toward ideality can be considered as
an epitome of sustainable design.
Chapter Remanufacturing discusses method for remanufacturing of used parts
and components for a product. Remanufacturing, a process of bringing used
products to “like-new” functional state with matching warranty, is being regarded as
a more sustainable mode of manufacturing because it can be profitable and less
harmful to the environment than conventional manufacturing. The practice is
particularly applicable to complex electro-mechanical and mechanical products
which have cores that, when recovered, will have value added to them which is high
relative to their market value and to their original cost. Because remanufacturing
recovers a substantial fraction of the materials and value added to a product in its
first manufacture, and because it can do this at low additional cost, the resulting
products can be obtained at reduced price. Remanufacturing however is poorly
understood because of its relative novelty in research terms. This chapter clearly
defines the term “remanufacturing” by differentiating it from alternative green
production initiatives. It provides an overview of the remanufacturing concept,
significance, and practice.
Chapter Reuse of Components and Products: “Qualified as Good as New”
focuses on “qualified as good as new (quagan)” method for the design of a product
using reused components. Reuse of components and products offers attractive
economic advantages provided that those components are quagan. A quagan
component, deployed in a second life in a new product, can have a higher degree of
reliability than the new ones because early failures have been already eliminated by
its previous life.
This chapter provides guidelines to convince quagan consumers of getting a
technically up-to-date product, the quality assessment procedures, including the
ones to fulfill the safety requirements, and their documentation. It explains how
“design for recycling” can work and what should not be reused. Also it explains the
state of the software of more complex product systems and the importance of their
upgrading process.
Application of the sustainable product design and sustainable production part
shows the actual application of the above two parts to the industrial practices.
It addresses practical application to the sustainable product and production process
design.
Sustainable Production: Eco-efficiency of Manufacturing Process sustainable
manufacturing technologies and their application to the development of industrial
parts. Requirements for practical manufacturing technologies include satisfying
high quality, low cost, and low environmental impact simultaneously. Environmen-
tal issues are important; however, quality is the key feature in deciding whether the
266 K.-M. Lee
developed manufacturing technologies will be used in industries. In the first part

of this chapter, several new material technologies and fabrication technologies are
discussed in order to satisfy high quality, low cost, and low environmental impact
simultaneously. The “total performance analysis (TPA)” method enabled product
developer to quantify the value, life cycle cost, and life cycle environmental impact
of a product. In the second half of the chapter, the TPA method was applied to
an innovative manufacturing process producing ceramic products. Throughout the
case studies, the “total performance analysis” is proven effective in identifying
the bottlenecks of manufacturing processes and visualizing the effect of process
improvements.
Green PCB Manufacturing Technologies introduces alternative printed circuit
board (PCB) manufacturing technologies to meet legal regulations worldwide.
These regulations have affected the electronic industry supply chain. PCB a critical
component in the electronic products receives some of the most severe impacts. The
RoHS directive leads to lead-free solder material development. However, the lead-
free alloys require higher reflow temperatures, which translate to higher energy costs
as well as environmental load in terms of carbon footprint. The high solder reflow
temperature also forces changes in the PCB base material, and may require new
equipment to fabricate them.
The WEEE directive mandates electronic wastes to be recycled. PCB is one of
the most difficult parts to be recycled. PCB fabrication companies have to stop using
brominated flame retardants within the PCB base materials and prepregs, and to
develop substitutes. Furthermore, to facilitate recycling, several toxic substances
have to be avoided in the PCB manufacturing processes, for example, cyanide
in gold plating and formaldehyde in electroless copper plating. These all demand
changes and pose challenges to the PCB manufacturing industries. Global shortage
of fuel and energy sources calls for environmental friendly production processes,
with less energy used and more precious metal recovered within the production
cycle. Subsequently, alternative processes are to be developed to promote greenness
in PCB fabrication.
Structural Complexity Management in Sustainable Engineering introduces the
basic concepts of structural complexity management method and discusses its
application to the development of a high pressure pump. The method considers
various system aspects of a product and their relations or interdependencies
simultaneously. The system aspects include not only environmental but also material
and production issues, market success, and design processes. Key point here is that
all multiple aspects of dependencies are considered in equal terms.
Geometric and functional dependencies between technical components, for
example, can be processed jointly in order to describe the system’s behavior. This
possibility is addressed as the “multiple-domain” approach and contrasts common
“Design for X” perspectives in product design, where X stands for a large variety
of possible optimization targets that do not necessarily coexist simultaneously.
As system dependencies link different aspects of system behavior, they can help
to achieve the objectives of improved design by considering their combined
occurrence.
The structural complexity management method was applied to develop real

world products, high pressure pumps. The aim was to optimize the existing product
structures of various current pump concepts. The use case shows how different
product views, for example, geometry, function, and production, were modeled. The
different views were combined to derive proposals for modules and carry over parts.
Eco-Packaging Development: Integrated Design Approaches discusses the
opportunities of reinforcing strategies for the quantitative reduction and reuse
of packaging and integrated design processes which take into consideration all
the stages of the entire life cycle of a packaging, from manufacture to disposal,
balancing a wide range of factors and including all the environmental aspects,
beyond direct competencies of various actors involved in this life cycle (packaging
manufacturer, packer, logistics manager, consumer, designated disposer).
This chapter proposes a methodological statement which involves: integrating
conventional requisites with environmental requisites, in the development of tools
and metrics guiding the designer in choices on design variables; extending the
concept of environmental impact of packaging; and, analyzing the consequences
that design choices have on the environmental impact of the packaging over its
entire life cycle, as well as its economic sustainability and functional efficiency.
This chapter proposes two different, but complementary, approaches for an inte-
grated design. The first one consists in an integrated approach to the optimal choice
of materials, allowing the management of design parameters of varying nature
(materials, significant geometric parameters), taking into account various typologies
of requisites: functional (weight-bulk efficiency of the package), economic, and
environmental (quantitative reduction, containment of some factors of impact).
This first approach can be complemented by a second approach which integrates
LCA method in the packaging design where the diverse environmental implications
deriving from design choices, with regard to all the processes constituting the
packaging life cycle, are evaluated. Finally, examples of their application are
presented, illustrating the use and highlighting the potential of the tools proposed.
As stated above, sustainable production and sustainable products are prerequisite
to the sustainable product service system and consumption, which becomes key
factor for achieving sustainable society, economy, and environment. This section
introduces fundamentals of the sustainable production and product from the three
interlinked parts, and presents practical state-of-the-art methods together with actual
examples. All the outcomes from this section will serve as foundations for the
following sustainable product service system and sustainable consumption section.
Ecodesign Strategies: A Missing Link
in Ecodesign 17
Ferdinand Quella
Abstract
In ISO TR 14062 “Integrating environmental aspects into product design and
development,” company strategies and product strategies are clearly described
but design strategies are barely mentioned. There are many “design for X
(DfX)” approaches, the rules from experience, life cycle thinking, and other
potential design for environment (DFE) solutions. Many of these propagate to
make DfE complicated. Besides environmental impact considerations, structural
elements like modularity should be taken into account which has no effect on the
environmental impact. Product structure is important for disassembly and in the
end for the product lifetime.
A systematic product design approach is introduced in this chapter. Highlights
of the design strategies include:
• A product should be simplified in structure and complexity. Three design
strategies are distinguishable: design for functional units, design for a fewer
number of materials (target: one plastic, one metal), and a design with
standard components from the market combined with disassembly analysis to
simplify the product structure. Starting from a reference product, not only en-
vironmental impact but also disassembly time which offers information about
the structural quality of the product are taken into account. In reality, many
manufacturers have no real choice which way to go because they purchase
most of the components and do not engage in product design and development
much by their own. Often, there is also a mixture between these strategies but
an optimized solution could exist for each manufacturer situation.
• It should be mentioned that the result of application of the rules from
experience is part of the ecoprofile of a product. If possible, the rules of design
for recycling (DfR) are to be integrated in product design process.
F. Quella
Siemens, retired, DKE/ISO/ZVEI, formerly headed workgroups/projects, Ottobrunn, Germany
e-mail: Qusaeng@t-online.de
DOI 10.1007/978-1-4020-8939-8 115,
270 F. Quella
• Checking environmental impact caused by product software should be a new

step in Ecodesign. Impact can be caused by the software program itself,
by commands initiating something in a product like battery loading or the
possibility to better control functions of a part such as motors.
• The whole manufacturing process should become a target for redesign. It is
not enough to substitute only one hazardous substance. Company and product
strategy can now be formulated in-line with the design strategy. Therefore,
environmental aspect like recyclability is not a blank formulation in these
strategies but can be backed by details from the design strategy.
1 Introduction
ISO TR 14062 describes which environmentally oriented strategies a company

should apply on the company level and which information should be gathered,
applied, and communicated on the product level. Basic issues for product improve-
ment should be considered from the viewpoints of whole life cycle, functionalities
evaluation, and environmental aspects integration into a multicriteria approach
including cost, quality, and environmental performance.
Design approaches according to ISO TR 14062 should consider, among others:
• Reduction of materials
• Energy efficiency
• Land consumption
• Design for cleaner production
• Design for durability
• Design for optimizing functionality
• DfR (reuse, recovery, recycling)
• Avoidance of hazardous substances
The following question might come up: How can the engineer handle all these
approaches and many others not mentioned here at the same time? In addition,
some of these tools are not much more than headlines, or behind each tool there
is more than one standardized proposal. ISO TR 14 062 recommends that design
options should be checked against the basic concepts. If a “design to cost” approach
is applied additionally, environmentally compatible materials might be included and
the result could be considered as Ecodesign approach. Trends like miniaturization
of electronic components are linked to the direction of eco-efficiency, and the results
offer better environmental compatibility; however, they are usually not planned
Ecodesign.
In multicriteria approaches between different criteria, trade-offs could exist
which have to be resolved. Otherwise, the merits of a systematic approach will
be lost.
Usual way of checking environmental improvement of a product is that after
different steps of redesign, environmental impact is measured using life cycle
assessment (LCA) to show the progress. But there are no criteria for an engineer
to judge the degree of environmental improvement. Reason might be that the result
17 Ecodesign Strategies: A Missing Link in Ecodesign 271
of LCA does not indicate a path for further improvement in contrast to the rules of
experience.
Another approach is to use the rules from experience. Here, one finds rules for the
reduction of environmental impacts like energy or resource consumption and other
more structure-oriented rules like improving modularity, upgradeability, or avoiding
screws, adhesives, and many more. Starting initially with company specific rules,
summary of those internationally agreed rules is published in IEC 62 430 (2009).
The advantage of such rules is that an engineer can quickly improve his product
using the knowledge of many experienced engineers. As the rules of experience are
often only a mere collection of different rules and not embedded in a tight scheme of
design a beginner may be confused by the rules and do not know how to apply them.
The situation, however, was improved by applying only very few selected rules or
by applying them in the order of life cycle. In any event, application of the rules can
answer the question: How can the benefit of an improvement on the environmental
side be converted into benefit on the product sales or marketing side? With nearly
every “reduce” or “avoid” rule, potential environmental impact and cost reduction
are connected. Also, with the structure-oriented rules about modularity or simple
connections, better repairability or chance for separation of recyclable materials can
be realized.
In the end, there are different tools to choose for product improvement including
LCA, “Design for X (DfX),” rules from experience, or life cycle thinking. But
it remains unclear how these tools should be applied together and how they are
interrelated.
2 State of the Art
A systematic design approach is described in the Design for Recycling (DfR)

standard (VDI 2243 2002; Quella and Belli 2012), where a product is divided into
three levels: product, component, and material specific. In addition to these three
levels, general aspects of the whole product are discussed. Allocated to each level
are the activities on the building structure and material improvements.
DfR, often applied together with Design for Assembly/Disassembly and steps for
measurement of environmental impact, is often assumed to be equal to the whole
Ecodesign process. In comparison with many “DfX” procedures mentioned in ISO
TR 14062, this assumption is incorrect. An ideal Ecodesign process can be defined
as the process “to reduce environmental impact of a product (and its surrounding
system including the whole life cycle or product system) to a minimum.” Thus, an
Ecodesign process should take into account all opportunities for improvement, not
just reuse and recycling aspects.
In a broader approach described in the book of Wimmer et al. (2010, p. 124),
three basic principles of action can be applied to the whole product life cycle:
• Avoidance
• Reduction
• Substitution
272 F. Quella
These principles can be applied to all components for material reduction or energy
saving. These are generalized rules from experience as such they can fulfill the
requirements to be applied to an overall Ecodesign process. In addition, these
principles should be combined with a multicriteria approach because Ecodesign
requirements should be part of the overall product specification.
There will be only one design process, although environmental contribution is
discussed in this chapter in more detail. In Wimmer et al., “avoidance” refers to
“omitting a certain key element or function of a product, often connected with a
totally new product concept.” “Substitution” refers to the exchange or replacement
of a component, but can also refer to substituting one certain function of a product
for another. “Reduction” refers to using less material or less energy. If these
three general principles are combined with more detailed rules from experience,
significant improvement of a product might be achieved quickly. But again the
structural change is not systematically investigated, and a product simplification
is not a real target, although it might be the result in the end.
3 Systematic Product Improvement
A new product design requires structural and environmental evaluation and selec-
tion of the type of product. According to Melzer (2005), products produced in
mass or consumer products are designed preferentially in optimizing functional
components, whereas capital goods are better designed optimizing refurbishment,
reuse, and recycling. This general approach might be a picture of the current state
of the art in product design.
But in general, for capital goods and consumer products, the same kind of design
principles could be applied. This is the case when manufacturers purchase most
components and no or minimum effort is given to its own product design and
development. Then, products are only assembled with many components available
on the (spot) market. Design in this case concentrates widely on the housing.
Therefore, this design strategy depends strongly on the market situation of the
manufacturer which is often not taken into account when the question is put how
to apply Ecodesign.
In this chapter, the design approach selected is slightly different. Three main
principles exist in the design approach: (1) divide product into functions; (2) reduce
types and parts: target one kind of material; and (3) “use standard components from
the market,” All three approaches can be used for improvement of the environmental
attributes of a product. From these principles, the following design strategies are
derived (Fig. 17.1).
Here, the first step is the evaluation of environmental impact of a reference
product. Next step is the disassembly analysis of this product. Standard software
programs for disassembly time calculation are available on the market to identify
the problematic connections consuming time. The calculation results show also on
which product level connections should be changed or whether which product levels
are to be eliminated. Modern software tools correspond also to the computer-aided
Existing product structure with

known environmental impact
Disassembly analysis
Target setting, new

environmental profile
(1) (2) (3)
Virtual disassembly Integration of as many parts Build structure

into functional units as possible to units. Target: from standard
(housing, motor, fan, “one plastic”, “one metal” components
filter, tubes, …)
Optimization of parts
Optimization of units and connections Optimization of
and connections connections
Disassembly
analysis
Analysis of environmental impact

e.g. by LCA, results achieved
Fig. 17.1 Strategic design approaches: (1) Functional design, (2) Simplification by types and parts
reduction, taget: one kind of material, (3) Using standard components from the market
design (CAD) tools by which properties of the components can be evaluated.

Substances, type of connection, or joining elements are examples to be evaluated.
It must be mentioned that advantage of the knowledge of disassembly time is that
it normally corresponds to assembly time. Therefore, easy disassembly can mostly
be set equal to cost reduction because it usually means easier assembly. Results
from the application of the rules from experience are integrated into the step “Target
setting and new environmental profile (ecoprofile).”
3.1 Functional Design
If a company decides to divide a product into functional components like with a

vacuum cleaner – filter, housing, motor, tube, etc. (route 1 in Fig. 17.1) – then
optimization of these components can begin. The functional components can be
designed to give minimum environmental impact by the rules from experience
or perhaps by using route 2. In the example by Melzer (2005), one functional
component of a vacuum cleaner for fixing like screws is taken over by housing
274 F. Quella
in such a way that the component becomes an inlay in the housing and the housing
possesses extra functional content. Not only screws are avoided but also material is
saved and the size of the functional components is reduced.
Another idea behind the creation of functional components should be simple
exchangeability of a component for repair, reuse, or recycling. Nowadays, as repair
costs are often quite high, a functional component can be created and optimized by
concentrating, for example, most of the electronic components on the wall of the
product. Thus, new function is the sidewall, for example, of a dishwasher, and for
repair of electronics, the sidewall is easily and completely changed. But high cost
of such an exchange component makes customers better think about buying a new
dishwasher than about environmental impact of such an exchange. In any event,
product life has been prolonged and the solution could become an advantage for the
customer and the environment.
3.2 Types and Parts Reduction, Target: One Kind of Material
The “types and parts” reduction programs concentrate on the elimination of com-
ponents occurring only in small volume. After a Pareto or Always Better Control
(ABC) analysis where parts are classified according to their volumes occurring in a
product in categories A, B, C where A parts are with the highest and C parts with the
lowest volume the C parts are eliminated. This is a typical step of a “design to cost”
program. It is obvious that this procedure has nothing to do with environmental
improvement of a product, although a certain reduction of environmental impact
might occur.
The target shown in route 2 is to reduce the manifold of materials with a target
of very few, ideally only one, material, for example, one plastic and/or one metal.
If a product requires electric power, it needs a minimum of two materials: one
insulator, a plastic, and one conductive material like copper. For example, rather
cheap thermoplastic materials like PE, PP with different color, and additives are
normally included in a standard electronic product. This might have been applied
to take advantage of the cheapest possible material for a specific mechanical
application. Maybe the housing is made from a more valuable ABS or a mixture
of PC/ABS. If an engineer now would look into different applications and plastic
properties and compare the mechanical requirements, he could find out that all or
nearly all materials could be made from one plastic. Maybe the engineer chooses
more valuable ABS which would increase the product costs. Although ABS is more
expensive, the company could buy now only ABS in one color like black which will
result in cost savings for storage, by buying higher volume of material or by getting
better recyclable plastics.
In the first step, those parts are identified which could be produced from the same
material, for example, same plastic, although they are present in the former product
with many other plastics. A good choice could be ABS which covers properties of
PE, PP, and others. In the next step, the engineer can combine different parts to one
or a few new designed parts or to integrate them into housing if the housing consists
Fig. 17.2 Improvement of an old subrack (left), a holder of printed circuit boards consisting of
4 materials and 66 parts, to a new version consisting of 1 material and 17 parts with significantly
reduced environmental impact and costs (Source: Siemens AG)
of the same plastic. The advantage will be to save material and reduce production
costs for injection molding. With fewer parts, disassembly could become easier and
recyclable material does not require intensive sorting.
An example is given in Fig. 17.2 to show the principle of reduction of types
and parts and in consequence reduction of manifold of materials. In this example,
a subrack to hold printed circuit boards and plastic and metal parts are combined
in a simple construction consisting of only one material: stainless steel. Although
stainless steel is more expensive, the new solution is nearly 80% cheaper than the old
version and the subrack can be reused many times or recycled. The environmental
impact of the new solution is much lower than that of the previous product.
Sometimes, reduction of manifold of materials may be impossible in the case of
a railroad car. In this case, application of compatible plastics in the product only
for recycling is a solution to simplify the recycling process. Several systems of
compatible plastics exist. “ABS system,” for example, consists of polymers like
ABS, PC, PET, PMMA, and PVC. Other systems are based on PP or PUR. The
blends are not as valuable as pure material. Simplification is only achieved for
recycling and not in the manifold of materials. It must be mentioned that before such
solutions are applied, it should be checked whether there are recyclers interested in
the material and whether their capacities are sufficient.
3.3 Using Standard Components from the Market
The third route is the route taken for many consumer products like personal
computers, phones, or printers. Here, manufacturers often only buy components
mostly on the spot market. These companies have low developmental capacity
276 F. Quella
and often do assembly only. Nevertheless, room for improvement of environmental

impact can be high. Main elements for a simplified structure are housing and printed
circuit boards. Environmentally compatible plastics, especially for the housing,
might be combined according to route 2. An example that every manufacturer
could apply is the selection of plastic labels placed on the housing which consist
of a plastic compatible with the housing plastic and therefore need not be removed
before recycling. In the disassembly analysis, one result could be that components
will be concentrated on several distinct electronic boards so that they can easily be
removed. They might end up in the metal recycling ovens. If possible, purchasing
department could take care of the components with higher energy efficiency, less
hazardous substances, or recyclable plastics with reduced manifold. Examples are
more efficient motors, using integrated circuits (IC) with lower power consumption,
avoiding active cooling, using same power supply for nearly all mobile phones,
reducing standby, or applying less energy consuming software. Also, a grouping of
components to functional components according to route 1 might be possible.
No company today will really apply exactly one of these strategies alone. But if
the decision is taken to apply functions strategy (route 1), the functional components
themselves could be designed according to route 2. Also, situation according to
route 3 will occur. But it depends on the purchasing department to buy more efficient
components to start initiatives with the suppliers for better compatible components
or to initiate the development of a not yet available component like an energy-
saving oven. Especially, route 2 enables the manufacturer to take complexity out of
a product and by that reducing production costs, although development costs could
be higher. The third route is not so promising in cost reduction for the manufacturer
because environmentally better compatible components might be more expensive
than conventional components. Cost savings and therefore an advantage for the
customer could be achieved if more energy-efficient components or solutions are
applied and over the life cycle high energy costs could be reduced. This might be a
good sales argument.
For all the three routes, the principles of the DfR matrix (Quella and Belli 2012)
should be applied too if they were not already used for the determination of the
ecoprofile or during one of the strategic approaches.
How complete are these strategies?
Resources and energy consumption of components which are structural elements
should be covered by these design strategies. The whole specifications (cost, quality,
environment, technical aspects) including ecoprofile must be transformed step by
step into new product using these design strategies. Environmental impact from the
life cycle of a product has to be analyzed before and must be considered.
One of such life cycle-oriented ideas might be a low-cost approach with
materials and components with an expected useful life of only a few years or with
highly valuable components and materials with an expected useful life for about
30 years. Both ideas were discussed with railroad cars, and both might make sense
also from the environmental point of view. A version with short life materials
and components could be easily adapted to the technical progress which could
Raw circuit board
Washing,
Drying in oven
Print Solder
b
Paste
Pick&Place Soldering Assembly
Fig. 17.3 Solder process of a printed circuit board from the raw circuit board till assembly of the
completed printed circuit board. (a) Normal process at about 260ı C, consuming approximately
80% of the soldering process energy; deviation 20ı C; (b) Apply energy-saving solder oven with
stand-by mode and better temperature characteristics, deviation 5ı C; (c) Changed process to for
example crimping, compression soldering or new circuit board materials
mean light-weight material, less energy consuming components, and with good
recyclability of materials. A version with more valuable material might also be
reused widely after 30 years of operation. If the manufacturer has no opportunity
to take the valuable material back, then the value of the plastic is lost for him.
The use of cheaper plastics, not recyclable plastics where only energy is recovered
by incineration, might then be more environmentally compatible and creates also
cheaper product for the customer.
It should be mentioned that most of the recycling concepts concerning material
reuse are only applicable if these materials can be nearly completely collected in
sufficient volume and be transferred to the manufacturer again. This is often the case
if the product is sold domestically. Some engineers were very astonished to hear that
their wonderful recycling concept did not work because the planned recycling was
not possible. The engineer should do market analysis with recyclers before starting
Ecodesign.
In many Ecodesign approaches, the effects of cleaner production are not
considered. If, for example, solder is changed from lead containing to leadfree,
the new soldering process has to be designed additionally. This broader view is
often overlooked. In Fig. 17.3, a suggestion is made on how a new manufacturing
process could look like. Table 17.1 shows the product design and development
process according to ISO TR 14 062 (2002). Under the “conceptual design” phase,
278 F. Quella
Table 17.1 Typical phases of product design and development process and possible measures
related to the integration of environmental aspects into product design (ISO TR 14 062 2002)
Phase Corresponding measure
Planning Get facts, prioritize according to benefits and feasibility, align with
(design ideas) organization strategy, consider environmental aspects, life cycle
thinking, formulate environmental requirements, analyze external
factors, choose appropriate environmental design approaches,
check chosen approach against the basic issues, and make envi-
ronmental analysis of a reference product
Conceptual design Brainstorm, conduct life cycle-oriented analyses, formulate mea-
(design concept) surable targets, develop design concepts, meet environmental
requirements, consolidate into specifications, and apply results
from analysis of a reference product
Detailed design Apply design approaches, and finalize product specifications,
(design solution) including life cycle considerations
Testing/prototyping Verify specifications by testing prototypes, and review life cycle
considerations for prototype
Production/market launch Publish communication materials on environmental aspects, best
use, and disposal of the product. Consider possible environmental
declaration and its requirements
Product review Consider and evaluate experiences, environmental aspects, and
impacts
recommendation to develop design concepts is made. A term design strategy not

design concept or design approach is used in this chapter (cf. Fig. 17.1) because
strategy includes a plan and a process to implement it. In the planning phase,
recommendation is made to choose appropriate environmental design approaches,
checked against the basic issues.
These indicate that the authors of ISO TR 14062 did not overlook the issues but
did not describe how it could work. As it turned out, a more systematic approach
is required and would better include in a hierarchical order of “company strategy,”
“product strategy,” and “design strategy.”
A design strategy is not independent from environmental strategy of a company
and environmental strategy of a product. If a company strategy requires “selling
products which are energy saving, resources saving, take back, easily recycled, and
repaired,” then the strategy for the product sold should show these attributes during
marketing and in the communication such as Environmental Product Declaration
(EPD) to the customer and to the public.
But often there is a huge gap between the company strategy and the real
product attributes. A company should therefore decide which of the three routes in
Fig. 17.1 they can take. A good environmental design strategy should enable a better
compatible product at cost not higher than that of the forerunner product assuming
roughly the same functionality.
One could sort out design tools according to their purpose and where the results
are used or applied. This is summarized in Table 17.2.
Table 17.2 Relationship between different design tools, their purpose, and to which element of
Ecodesign they may be used or applied
Tool Purpose Use/application
Design for durability, Directed more to product Ecoprofile
optimizing functionality, design
avoidance of hazardous
substances, energy
efficiency, DfR, software
analysis
Design for cleaner Directed more to life cycle Process changes,
production, DfM or a process in life cycle (ecoprofile)
Life cycle thinking
Rules from experience Directed to product design Ecoprofile, product structure
and life cycle
Disassembly analysis, DfR Easy disassembly, extract Suitability of product structure
reusable components review
LCA Measures the design result Review, ecoprofile
Requirements can be contradictory like light weight of composites and recycla-

bility of materials which occur in the ecoprofile and specification of a product. It is
recommended to compare these requirements with each other to identify the trade-
offs and to take a decision of which solution should be applied. Then, they can be
integrated into one specification. The same result should be achieved by the rules
from experience if the rules are intensively applied.
Results from disassembly analysis or recommendations from DfR might become
part of the product strategy and must be transferred to the design strategy. If software
is not available, disassembly analysis could also be made by an experienced recycler
who can also mark where joints in the product cause problems during disassembly.
A redesign of a process from the life cycle of a product such as “design for
cleaner production” will have some influence on the product design, but this is not
an essential requirement of a product design. However, as described below, it might
be a very different input if changes of a product lead to complete redesign of the
production process. If time allows, one could do it from both directions: one is
analyzing and improving the structure of the existing product, the other starting
from environmental analysis of the production processes and their consequences
resulting from the changes of the product. Life cycle thinking enables the review of
environmental attributes of a product.
Environmental impact of a product before and after Ecodesign can be measured
by LCA. To see the progress made during the product development steps, one might
think to repeat LCA after some steps of investigation, but for complex products,
this might cost too much and require too much time. Therefore, it could be easier
to apply an evaluation system based on approximation. It was proposed to use the
rules from Ecodesign experience (Wimmer et al. 2010, p. 150) to determine roughly
the degree of improvement.
280 F. Quella
4 Additional Steps
At the end of all the analysis and after defining the ecoprofile as part of the
requirements specification, all necessary changes for product and process should
have been defined. Thus, further discussions should no longer be necessary.
Nevertheless, as already mentioned, two aspects should be considered in more
detail: the role of production and the role of software applied.
Consideration of the role of production can best be explained by citing an
example. It might be a hazardous substance like lead in electronic components. This
substance is restricted in an application to the electronic product and then usual
solution to the problem will be changing the solder. This might cause some troubles
but anyhow a change will be made, and, for example, a tin-silver-copper solder can
be chosen as a substitute. Afterwards, a big discussion will start in the company
because of higher cost for the change and development of the new process.
But new idea is to see such changes always as an opportunity for improvement of
the whole process often with many advantages for reducing environmental impact
and for lowering cost. This is not part of the Ecodesign process as it is applied today
but in future companies who want to achieve better improvement results could use
such opportunities.
Figure 17.3 shows a typical soldering process. If a soldering process is analyzed
using the aforementioned new solder, the result might be that solder temperature is
slightly different. Thus, for normal process, ovens with temperature deviations in
the range of about 20ı C can be applied. But for the use of new solder, temperature
should be close to 260ıC and should not deviate more than 5ı C.
Therefore, the first idea is to buy an improved oven which could not only show
improved heat transfer characteristics but also switch to standby mode when not
in use. Another question might be whether other technologies like crimping or
compression soldering could be applied. Then, oven might no longer be necessary.
Material for printed circuit boards could be changed from halogen-containing
material to halogen-free material. Two advantages occur: Halogen-free materials
can have higher temperature resistance which is nowadays often required for new
electronic products, and also material could be saved if thickness is reduced. One
could find out that washing of raw board in the first step will not be required.
Also for soldering, non-oxidizing nitrogen atmosphere might be required. But is
the nitrogen flow controlled? If not, a lot of money can be wasted. Also, proactive
medical investigation of workers is no longer necessary because they do no longer
deal with lead.
In short, if most of these potential changes would not be applied, environmental
impact and cost could be reduced anyway. If for an own new development costs
are too high for one company, cooperating with other companies might be possible
to develop, for example, an energy-saving product together. In addition to the
production aspect, there are also other opportunities for additional environmental
improvement such as maintenance or service of the product.
Other aspect to consider is software which draws more and more attention to
Ecodesign. Software controls standby mode, battery loading, or kind of printout.
Table 17.3 The route to ecoprofile according to the Ecodesign Directive (row 2) or according to
the view of a manufacturer for the main life cycle stages (row 3)
Analytical stages (acc. to Pro-phase to analyze (acc. to
the Ecodesign Directive) the Ecodesign Directive) View of producer: examples
Raw material generation Resources consumption: Types/parts reduction; manifold of
material, energy, water materials, hazardous substances
(avoidance)
Manufacture Waste generation Efficiency, suitability for process,
redesign of process
Packaging, transport, Physical effects like noise, Volume of packaging, customer
supply EMF, vibrations, information, take back of waste
product
Installation and Emissions (soil, water, air) Concept; life time: equipment,
maintenance parts; spare parts requirement;
consumables (cleaner, lubricant)
Application, use Consumption Energy consumption
End-of-life Reusability, recyclability As-new parts in new machines;
take back and recycling concept
(also batteries, lamps)
All processes Software applicability and Total energy consumed by
influence of software on energy software; loading or printing
consumption commands; chances for power
consumption control; reuse of
software in reused equipment
There is often no assistance for the consumer to decide whether he wants a high
energy consumption caused by software or a low one. As software was for a long
time considered as not part of the environmentally relevant attributes, this aspect
should now be investigated. Especially energy consumption is driven or controlled
by software. Also, software itself might contribute to energy consumption as it can
be seen during the Internet use. A standard for an energy-saving software design
is not available. Also, if older hardware is reused, it is often accompanied by an
old software which might not be substituted for a new energy-saving one. For this
purpose, a standard procedure is missing for how to embed it into a bigger software
system or how to improve its environmental behavior.
It should be mentioned that ecoprofile as described in political nature like in the
Ecodesign Directive (2009) and that of practical nature like in the manufacturer is
different (Table 17.3). It is not enough to say, for example, to a design engineer that
he should reduce energy consumption. This leaves many opportunities unexplored.
But after some of the universal and well-known improvement possibilities like using
energy-saving lamps or eliminating standby energy were applied, then the idea
pool might soon come to an end. A busy engineer requires automatically either
company’s own rules from experience which show what to reduce or what strategies
to adopt for the reduction. One of these strategies is not only reduction of the
manifold but also miniaturization of the components or structures which will save
resources at once.
282 F. Quella
In the bottom row of Table 17.3, the subject of software application is newly
added by the author because it is missing in the Ecodesign Directive scheme.
Software is a general subject for all life cycle stages with consequences for
environmental impact. It could be applied for energy reduction or it could cause
high energy consumption.
5 Conclusions
Product structure and environmental impact are closely linked. Therefore, a proce-
dure is proposed which combines the existing Ecodesign tools like LCA, the rules
from experience, disassembly analysis, DfR, and other design tools to a logical and
potentially successful product design strategy. Importance of such an integrative
design strategy was not seen during the development of ISO TR 14062. This is the
reason why this chapter discusses about a “missing link” in Ecodesign.
It might be an interesting task to collect all the “Design for X” approaches, not
only for deriving environmentally valid and a hierarchical recommendation for an
integrative design approach but also taking into account potential trade-offs. One
result could be that the rules from experience could be better clustered.
After the discussion in this chapter, an international standard for the development
of a design strategy is desirable. A tool for the analysis of environmental impact
caused by software is still missing in Ecodesign.
The first step of the Ecodesign strategy is to reduce complexity and create
simplicity. This has to be achieved for the whole product and not only for recycling.
The strategy has to work throughout the whole product specification and not only for
the environmental part of the product specification: This means that design strategy
should not be geared too specific to environmental aspects.
Ecodesign is a complex process. In IEC 62 430, it covers products and product
systems including their life cycles. By the word system in combination with product
here does not mean a complex system like Internet but periphery of the product or
product system. Also, hardware products are very different. Thus, applicability of
the Ecodesign strategy to consumer products and capital goods might be different
and requires flexible approach as shown in the design strategy. The software
application and energy control of the equipment by software could also play an
important role.
Plants like those for product production are more complex and require additional
elements for Ecodesign. Still more complex products like product systems including
energy distribution or Internet can hardly be described. Thus, the outlook for future
work should focus on these new areas of Ecodesign.
6 Summary
The application of the LCA tool and the rules from experience to the Ecodesign of
a product soon might come to such an end where improvement might no longer be
possible. With the LCA tool, engineers can obtain only the environmental impact
result of a product but no clue on how the improvement should be made. The
engineer could look into the LCA results of those components or existing functional
components causing the highest impact and finding solution to reduce its impact. An
example is to reduce the energy consumption of the functional component “motor,”
but the “know how” behind would require not only substituting the motor but also
installing a drive (a software-controlled motor) which will save much more energy.
With the rules from experience like in IEC 62 430, improvement is much quicker
because an LCA analysis is not really necessary and a collected knowledge of
the company with reduction possibilities could be applied. If all rules have been
applied and other ideas are no more available, then a structural product change like
avoiding screws or designing modular is required between these two approaches.
Disassembly analysis helps in both cases to find out where structural problems
occur.
Doing Ecodesign only from the viewpoint of recycling as it is done by DfR
does not cover all potential environmental improvement. General design strategy
takes out complexity of a product by optimizing functional components, reducing
manifold of components and materials, or optimizing structure of a “purchased”
product. The recommendations by the DfR should be included. Part of the strategy
is disassembly analysis.
Additional steps are the analysis of the environmental impact caused by software
and a complete restructuring of the corresponding production processes as a result
of changes in a product like elimination of hazardous substances.
An extension of the design strategy to plants and complex systems might be a
future step. But Ecodesign of plants and systems are at first glance not covered
by the design strategy described above. Anyway, the design of the hardware of
a plant or a system could be made in the same way as described. Usually, many
components in plants and systems are commercially available products which can
be designed as in the proposed strategy. But it is essential for the reduction of the
environmental impact of a plant to concentrate on the energy drivers like drives,
cooling, or heating elements. For still bigger systems, energy control via a network
might become decisive for energy consumption of the total system like Internet.
Also, software design and application is generally a subject for the organization of
the system.
7 Cross-References
Blueprints for Teaching Ecodesign and Sustainability to University Students

Environmental Quality Function Deployment for the Development of Sustainable
Products
Green PCB Manufacturing Technologies
Life Cycle Thinking for Improved Resource Management: LCA or?
Product LCA and PCF
Reuse of Components and Products: “Qualified as Good as New”
284 F. Quella
Strategies for Sustainable Technologies: Innovation in Systems, Products and

Services
Sustainable Design by Systematic Innovation Tools (CAI, SI and TRIZ)
Sustainable Design Engineering: Design as a Key Driver in Sustainable Product
and Business Development
Sustainable Product Design and Development: TPI-Based Idea Generation Method
for Eco-Business Planning and Eco-Product Development
Sustainable Product Development Experiences with Industry
References
Monographs, standards, and legislation:
Ecodesign, Directive 2009/125/EC of the European Parliament and of the Council of 21 October
2009 establishing a framework for the setting of ecodesign requirements for energy-related
products (recast), OJ of the EU of 31 Oct 2009, L285/10–35 (2009)
IEC 62 430, in Environmentally Conscious Design for Electrical and Electronic Products and
Systems, International Electrotechnical Commission, Geneva (2009)
ISO TR 14 062, in Environmental Management System – Integrating Environmental Aspects into
Product Design and Development, International standardization organization, Geneva (2002)
K. Melzer, Integrierte Produktpolitik bei elektrischen und elektronischen Geräten zur Optimierung
des Product-Life-Cycle, (Meisenbach, Bamberg, 2005)
F. Quella, F. Belli, Reuse of components and products – “qualified as good as new”, in
Sustainability Handbook, Chapter 42 (Springer, Amsterdam, 2012)
VDI 2243, Recycling Oriented Product Development (Verein Deutscher Ingenieure, Beuth, Berlin,
2002)
W. Wimmer, K.M. Lee, J. Polak, F. Quella, Ecodesign – The Competitive Advantage (Springer,
Amsterdam, 2010)
Environmental Quality Function
Deployment for Sustainable Products 18
Keijiro Masui
Abstract
The twentieth century saw remarkable progress in scientific technology that our
way of life was drastically transformed; the products humans made and the
processes used to manufacture them had a considerable effect on the natural
environment. Being aware of this, manufacturers are now trying to develop
and commercialize manufacturing processes that produce as little environmental
impact as possible (“cleaner production”). In addition, manufacturers are con-
ducting life-cycle assessments (i.e., assessments of the product’s whole lifespan
from cradle to grave) that specify processes that are considered to have the least
environmental impact and maximum “eco-efficiency.” However, these techniques
cannot be properly evaluated unless attempts are made to understand what is
presently unknown with the use of social science, corporate ethics, and science
and technology. Even when these concepts are established, there is still a long
way to go before theory can be put into practice. Since 1994, the Study on the
Introduction and Promotion of Design for Environment (DfE) techniques has
studied the evaluation criteria for environmentallyconscious products in Japan.
After studying this aspect until the end of the twentieth century, the study
continued to develop and examine techniques for DfE. In the twenty-first century,
as a final step to developing activities associated with DfE, the development of
a technique called QFDE (Quality Function Deployment for Environment) was
completed.
This chapter presents a methodology to apply Quality Function Deployment
(QFD) for environmentally conscious design in the early stage of product devel-
opment. This methodology has been developed by incorporating environmental
K. Masui
Advanced Manufacturing Research Institute, National Institute of Advanced Industrial Science
and Technology (AIST), Tsukuba, Ibaraki, Japan
e-mail: k-masui@aist.go.jp

DOI 10.1007/978-1-4020-8939-8 91,
286 K. Masui
aspects into QFD to handle the environmental and traditional product quality re-
quirements simultaneously. “QFD for Environment (QFDE)” proposed consists
of four phases. Designers can find out which parts are the most important parts
to enhance environmental consciousness of their products by executing QFDE
Phase I and Phase II. Further, a methodology to evaluate the effects of design
improvement on environmental quality requirements was developed as Phase III
and Phase IV. The results obtained from the case study of IC package show
that QFDE could be applicable in the early stage of assembled product design,
because the most important component from the viewpoint of the environment
is clearly identified and multiple options for design improvement are effectively
evaluated.
1 Introduction
In recent years, environmental consciousness is rapidly becoming a fundamental

product design focus for manufacturers. In 1997, environmentally conscious design
(Ecodesign) dissemination project aimed at small- and medium-sized companies has
been conducted jointly by UNEP (United Nations Environment Programme), Delft
University of Technology and Syntens Corp etc. in the Netherlands (UNEP 1997).
There are several design tools in evaluating a product’s impact on the environment
and disassembly time to enhance recyclability of a product (e.g., Rapoza et al. 1996;
Jean et al. 1999). However, most design tools which need detailed data of a product
cannot be used in the early stage of product design.
Quality Function Deployment (QFD) which is used to analyze functions required
for a product or the product structure to realize these functions is a design tool
applicable to the early stage of product development (Akao 1990). In this chapter, a
methodology of QFD applied to environmentally conscious design and the result
of practical case studies are introduced. Figure 18.1 shows general “Design for
Environment (DfE)” flow. After a project team is organized, product concept will
be discussed by using QFD, and then conceptual design, qualitative design review,
detail design, and quantitative design review are following. “QFD for Environment
(QFDE)” consists of four phases. The outcome of QFDE Phase I and Phase II
is the identification of the components that should be focused in product design
when environmental as well as traditional items are considered. After identifying
the important parts and components, design engineers will try to improve the design
of their products from the viewpoints of the environment. It is helpful for design
engineers to evaluate the effect of their design changes on the environmental aspects
of a product beforehand. Further, QFDE Phase III and Phase IV are also developed
so that design engineers could examine the possibility of design improvements for
each component and find out the improvement effects of their design changes. In
the final section of this chapter, the results of verification through the case studies
are discussed.
18 Environmental Quality Function Deployment for Sustainable Products 287
DfE project organized
Product concept making

(Utilization of QFDE)
Conceptual design
Qualitative design review on environmental aspect
Detail design
Quantitative design review on environmental aspect

(Utilization of LCA)
Production
Fig. 18.1 DfE flow and design support tools
2 Applying QFD to DfE
2.1 Quality Function Deployment (QFD)
It is important to listen to the customer requirements to obtain market needs and

tailor the product design accordingly. QFD is a method to collect vaguely expressed
quality requirements (Voice of Customer: VOC) from the market and deploy them
to actual design work.
While QFD needs many phases for deeper hierarchical deployment, only two
phases are used in order to translate VOC up to parts characteristics. In Phase I,
VOC for a product is deployed to more detailed Engineering Metrics (EM) to
clarify their positions. In Phase II, the relationship between the above EM items
and components of the product is clarified. Through these steps, the designer can
identify which functions and components should be focused in order to satisfy
customer requirements. The roles of QFD include the analysis between trade-offs
items for design and identification of their product’s market competence through
288 K. Masui
benchmarking processes. However, to make it simple, the method to create quality

tables is introduced here as they are the basic elements of this tool.
2.2 Voice of Customer (VOC) and Engineering Metrics (EM)

on Environmental Aspects
When designers improve their products environmentally, they will listen to the
voice of green consumers. There are several research works on green marketing
(Stevels 2000); however, the requirements for the environment from the consumers
are not strong so far. On the other hand, in recent years, many companies are
extending their responsibility to consider the upstream environmental impacts of
manufacturing and the downstream impacts of consumer use and disposal of
products. OECD’s (Organisation for Economic Co-operation and Development)
work on Extended Producer Responsibility (EPR) began in 1994, and the trend
is toward the extension of EPR to new product groups (OECD 2001). Here, EPR
is a policy approach under which producers accept significant responsibility –
financial and/or physical – for the treatment or disposal of post-consumer products.
Assigning such responsibility to manufacturers could provide incentives to form
partnerships with customers and recyclers to work on making changes that reduce
the environmental impact. Eagan and Finster (2001) identified two categories of
customers who might represent the environment. The first category includes the
customers who speak directly for the environment like environmental regulators and
green consumers. The second category includes the customers whose behavior and
actions support the environment such as recyclers and end-of-life disposal plants.
Based on the EPR policy approach as mentioned above, not only consumers
(users) but also recyclers, the government, the environment are considered to be
customers in this chapter. The author investigated what kind of requirements and
attributes should be considered from the environmental point of view through a
whole product life cycle, and then integrated those environmental items into a set
of feasible environmental VOC and EM, and their correlation factors. The selected
environmental VOC and EM are to cover most of the environmental problems, so
that designers have only to consider them to incorporate environmental aspects into
product development. Also, they are designed for a generic, not specific product.
Therefore, designers can use them effectively by ignoring some of them or dividing
one into multiple items in more details depending on the type of the product.
Furthermore, designers who are not familiar with the environmental science can
understand the environmental VOC and EM. It should be noted that these VOC and
EM can be employed by incorporating with VOC and EM for an ordinary design
with no modification to the framework of traditional QFD. The environmental VOC
and EM are explained below. In terms of the environmental VOC, it should be
noted that several statements sound like rather technical solutions than typical cus-
tomer requirements. When recyclers and the government are treated as customers,
the voice of recyclers and regulation are often expressed as engineering terms
directly.
2.2.1 Environmental VOC

1. Less material usage: using smaller amount of materials for the product.
2. Easy to transport and retain: easy to transport and retain during the logistics to
retailers and reverse logistics from users.
3. Easy to process and assemble: easy to process and assemble during manufac-
turing.
4. Less energy consumption: consuming less energy and electricity during all the
life-cycle stages.
5. High durability: slow to deteriorate and highly reliable during usage.
6. Easy to reuse: easy to reuse as a product or as a part.
7. Easy to disassemble: easy to disassemble in the maintenance stage during usage
and in the end-of-life stage.
8. Easy to clean: easy to clean the exterior.
9. Easy to smash: easy to smash in the end-of-life stage.
10. Easy to sort: sorting products or parts easily from the viewpoint of material.
11. Safe to incinerate: releasing no toxics during incineration in the end-of-life
stage.
12. Safe to landfill: releasing no toxics out of the sites after landfilling the parts or
the remaining of incineration.
13. Harmless to living environment: harmless to the living environment of the
users and the inhabitants of their neighborhood during the manufacturing and
usage stages. For example, toxic substances, noises, vibrations, electromagnetic
waves, or smells are not released.
14. Safe emission: safe emission from the manufacturing plants.
15. Possible to dispose of at ease: requesting no consideration of resource depletion
or toxicity when users throw away.
2.2.2 Environmental EM
1. Weight: the weight of the product
2. Volume: the volume of the product
3. Number of parts: the number of parts in the product
4. Number of types of materials: the number of types of materials in the
product
5. Likelihood to get dirty: the speed of change of the exterior color by the effect
of dirt
6. Hardness: the hardness of the parts in the product
7. Physical lifetime: the physical lifetime of the product
8. Amount of energy consumption: the amount of energy consumption along all
the life-cycle stages
9. Rate of recycled material: the rate of recycled materials in the product
10. Noise, vibration, electromagnetic wave: the volumes of the noise, vibration,
electromagnetic wave given out during the use of the product
11. Mass of air pollutant: the mass of emission of air pollution substances along all
the life-cycle stages
290 K. Masui
12. Mass of water pollutant: the mass of emission of water pollution substances
along all the life-cycle stages
13. Mass of soil pollutant: the mass of emission of soil pollution substances along
all the life-cycle stages
14. Biodegradability: biodegradability of the materials of the parts to be landfilled
15. Toxicity of materials: toxicity of the materials of the product
3 Identifying the Target of Design Improvement
3.1 QFDE Phase I
Tables 18.1 and 18.2 show examples where QFDE is applied to the design of a
hair drier (Ishii 1997). Table 18.1 shows the deployment of VOC to Engineering
Metrics (EM) (Phase I). VOC items in the table include the environmental VOC
items such as “less material usage” as well as requirement items from customers
such as “dries quickly” and “quiet.” Usually VOC items are weighed based
on market survey to show the “Customer Weights.” “9” shows that it is very
important, “3” shows it is important, and “1” shows it is slightly important. The
degree of importance of environmental VOC is dependent on the concept of
developed product or the context of product life cycle. Further, they might be
decided based on the result of LCA, which is the quantitative evaluation method,
applied to a similar product. On the other hand, EM items include new items
such as “amount of energy consumption” as well as traditional items such as
“air flow.”
At crossing points between VOC items and EM items are shown numbers
indicating magnitude of both factors called “Relational Strength” determined by the
designer. Similar to the weighing of VOC items, “9” shows the relation is strong,
“3” shows it is relatively strong, and “1” shows weak relation. Here, at the crossing
points between the environmental VOC items and environmental EM items, the
values of relational strength prepared by the author are provided for designer
to help their decisions. The total of the sum multiplied by “Customer Weights”
and “Relational Strength” is the “Raw Score” for each EM item. Furthermore,
“Relative Weight” for each item is obtained by the Raw Score/Sum of the Raw
Score. This example shows that “air flow,” “air temperature,” and “amount of
energy consumption” are relatively important as EM items to satisfy customer
requirements such as “less energy consumption,” “high durability,” and “harmless
to living environment” as well as traditionally required quality items such as “dries
quickly” and “comfortable to hold.”
3.2 QFDE Phase II
In the second stage (Phase II) “Deployment of EM items to Components of

Product,” relative importance for each component of the product is obtained in the
same way as in Phase I. As shown in Table 18.2, “motor” is judged most important
Table 18.1 QFDE Phase I of a hair drier

Engineering metrics
Noise, vib., electromagnetic wave

Amount of energy consumption
Number of types of materials
Rate of recycled materials
Mass of water pollutant

Mass of soil pollutant
Likelihood to get dirt
Toxicity of materials
Mass of air pollutant
Customer weights
Physical lifetime
Biodegradability
Balance (torque)
Number of parts
Air temperature
QFD for
environment
Hardness
Phase I Air flow
Volume
Weight
Voice of customer
Dries quickly 9 9 9 9 9
Quiet 3 9 9 9
Operates safely 3 1 9 3 1 3 9 9
Operates easily 1 3 1 1
Comfortable to hold 9 1 9 9 9 1 3 1
Reliable 3 1 1 3 3 9 9 1 1
Portable 1 3 9
Less material usage 1 9 9 1 3 9
Easy to transport 1 9 9 3
and retain
Easy to process and 3 9 9
assemble
Less energy 9 9 9 9
consumption
High durability 9 1 9 9
Easy to reuse 1 9 9
Easy to disassemble 3 9 9 3
Easy to clean 1 9 3
Easy to smash 3 9 9
Easy to sort 3 9 9 3
Safe to incinerate 1 3 9 3 1 9
Safe to landfill 3 3 3 9 9 9 9
Harmless to living 9 9 9 3 9
environment
Safe emissions 1 9 9 3 9 9 9 9
Possible to dispose 3 1 1 3 9
at ease
Raw
276
282
115
120
171
171
273
229
93
91
78
39
18
27
39
37
27
72
score
Relative
0.13
0.13
0.04
0.05
0.06
0.04
0.04
0.02
0.08
0.08
0.13
0.01
0.11
0.01
0.02
0.02
0.01
0.03
weight
followed by “housing.” To environmentally improve existing systems, compare the

results obtained here with the QFD results without the environmental VOC and
environmental EM items.
292 K. Masui
Table 18.2 QFDE Phase II of a hair drier

Component characteristics
Phase I relative weights
Switch/wiring harness
Heater elements
QFD for environment
Phase II
Housing
Fan asm
Motor
Engineering metrics
Air flow 0.13 9 1 1 1 1
Air temperature 0.13 3 3 9 1 1
Balance(torque) 0.04 9 3 9
Weight 0.05 9 3 3 1 9
Volume 0.06 9 3 1 1 9
Numbers of parts 0.04 1 1 1 9
Numbers of types of materials 0.04 1 1 1 9
Likelihood to get dirt 0.02 3 9
Hardness 0.08 9
Physical lifetime 0.08 9 1 9 3 9
Amount of energy consumption 0.13 9 1 9
Rate of recycled materials 0.01 9
Noise, vib., electromagnetic wave 0.11 9 3 9
Mass of air pollutant 0.01 9 9 1
Mass of water pollutant 0.02 3 3 1
Mass of soil pollutant 0.02 3 3 1
Biodegradability 0.01 3 9
Toxicity of materials 0.03 3 3 1
Raw
0.36 6.15
0.09 1.58
0.20 3.48
0.05 0.94
0.30 5.14
score
Relative
weight
4 Evaluation Method of Design Improvement
4.1 QFDE Phase III
When design engineers improve their product from a viewpoint of the environment,
evaluating the effects of design changes on environmental aspects is an effective
process after identifying the important components. In this section, a method to
evaluate the effects of design changes for parts or components on environmental
aspects (Phase III and Phase IV) is introduced.
In Phase III, the effect of a set of design changes on the engineering metrics
(EM) items is estimated. In general, design engineers can make several alternative
Table 18.3 QFDE Phase III of a hair drier

Component characteristics
Improvement rate of engineering metrics

Switch/wiring harness
Heater elements
QFD for environment
Phase III
Housing
Fan asm
Motor
Score
Engineering metrics
Air flow 0 0.00
Air temperature 0 0.00
Balance (torque) 0 0.00
Weight 0 0.00
Volume 0 0.00
Number of parts 0 0.00
Number of types of materials 0 0.00
Likelihood to get dirt 0 0.00
Hardness 0 0.00
Physical lifetime 0 0.00
Amount of energy consumption 9 9 18 0.95
Rate of recycled materials 0 0.00
Noise, vib., electromagnetic wave 9 9 0.43
Mass of air pollutant 0 0.00
Mass of water pollutant 0 0.00
Mass of soil pollutant 0 0.00
Biodegradability 0 0.00
Toxicity of materials 0 0.00
plans. There are two approaches when design engineers decide where they should
first focus on. One approach is originated from a target VOC. If they have already
had a target of “less energy consumption” VOC for example, they should seek the
parts which can suppress in terms of “amount of energy consumption.” The other
one is examining the most important components identified in Phase II. Table 18.3
shows an example of Phase III for a hair drier. Here, priority was assigned to the
environmental aspects, and the design improvement plan was mainly set from the
viewpoint of the amount of energy consumption. If it is assumed that the energy
consumption of a motor and a heater is reduced and then the noises caused by
a motor are reduced, the numbers indicating the relational strength in Phase II
(Table 18.2), at crossing points between the target engineering metrics and parts,
294 K. Masui
remained as shown in Table 18.3. The improvement rate to each EM item mrj is
obtained from (18.1):
P
K
bj;k cj;k
kD1
mrj D .j D 1; : : : ; J / (18.1)
P
K
bj;k
kD1
where
K: index number of a component
J : index number of an EM item
bj;k : relational strength between j th EM item and kth component in Phase II
Cj;k : improvement rate of j th EM item to kth component
Here, Cj;k is originally allowed to take the real number from 0.0 to 1.0. To make
it simple, Cj;k can take binary numbers as shown in (18.2):
Cj;k D 1 (improvement possible)

(18.2)
Cj;k D 0 (improvement impossible)
4.2 QFDE Phase IV
The mission of Phase IV is to translate the effect of design changes on EM into

environmental quality requirements (environmental VOCs). Table 18.4 shows an
example of Phase IV for a hair drier. In this table, the number of customer weight
and relational strength between VOC items and EM items is same as shown in
Phase I (Table 18.1). The improvement rates for the EM items obtained in Phase III
are at the bottom of the table. The improvement rate for each environmental VOC
vri is obtained from (18.3):
P
J
mrj ai;j
j D1
vri D .i D 1; : : : ; I / (18.3)
P
J
ai;j
j D1
I : index number of a VOC item

J : index number of an EM item
ai;j : relational strength between i th VOC item and j th EM item in Phase I
The improvement effect of the environmental VOC considering customer weight
is obtained by multiplying vri by customer weight i . The authors consider that this
evaluation method for design improvements can help design engineers select the
most effective design changes’ plan.
Table 18.4 QFDE Phase IV of a hair drier

Engineering metrics
Improvement effects of customer requirement

Improvement rate of customer requirement
Noise, vib., electromagnetic wave
Numbers of types f materials

Customer weights
Numbers of parts
Physical lifetime
Biodegradability
Balance (torque)
Air temperature
QFD for
environment
Hardness
Air flow
Phase IV
Volume
Weight
Voice of customer
Dries quickly 9 9 9 9 9
Quiet 3 9 9 9
Operates safely 3 1 9 3 1 3 9 9
Operates easily 1 3 1 1
Comfortable to hold 9 1 9 9 9 1 3 1
Reliable 3 1 1 3 3 9 9 1 1
Portable 1 3 9
Less material usage 1 9 9 1 3 9 0.00 0.00
Easy to transport 1 9 9 3 0.14 0.14
and retain
Easy to process and 3 9 9 0.48 1.43
assemble
Less energy 9 9 9 9 0.32 2.85
consumption
High durability 9 1 9 9 0.00 0.00
Easy to reuse 1 9 9 0.00 0.00
Easy to disassemble 3 9 9 3 0.14 0.41
Easy to clean 1 9 3 0.24 0.24
Easy to smash 3 9 9 0.48 1.43
Easy to sort 3 9 9 3 0.14 0.41
Safe to incinerate 1 3 9 3 1 9 0.00 0.00
Safe to landfill 3 3 3 9 9 9 9 0.00 0.00
Harmless to living 9 9 9 3 9 0.13 1.16
environment
Safe emissions 1 9 9 3 9 9 9 9 0.05 0.05
Possible to dispose 3 1 1 3 9 0.00 0.00
at ease
Improvement rate of
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.95
0.00
0.43
0.00
0.00
0.00
0.00
0.00
engineering metrics
Amount 2.09 8.10
296 K. Masui
5 Implementation of Case Study
5.1 Design of an IC Package
Shinko Electric Industries Co., Ltd., which is a medium-sized company in electron-

ics industry in Japan, carried out this case study. IC packages are built in personal
computers, cellular phones, video tape recorders, among others. In this case, the
product is a type called BGA (ball grid array), which has been already developed
and manufactured by Shinko. Figure 18.2 shows the structure of an IC package of
BGA type.
5.2 QFDE Phase I and Phase II
Tables 18.5 and 18.6 show the matrices of Phase I and Phase II of QFDE,
respectively. In the shaded parts, environment-related items are shown, while others
are the items to be considered in traditional design. The results from Phase I
show that the important engineering metrics (EM) in this product are (1) radiation
capability, (2) high frequency characteristic, (3) toxicity of material, (4) physical
lifetime, and (5) amount of energy consumption. The results from Phase II show that
the important components are (1) core printed-wiring board (PWB), (2) insulation
resin, and (3) inner wiring.
5.3 Design Options in QFDE Phase III
The study team proposed two DfE options with consideration of the results of
Phase I and Phase II and an identical economic constraint.
5.3.1 DfE Option I

This option includes redesigning all the following combinations of components and
EMs. Table 18.7 shows the process and the result of Phase III for this option.
• Making bonding wire from material with high Young’s Modulus to make
physical lifetime longer
• Employing lead-free solder in outer terminal to decrease mass of soil pollutant
IC resin
core PWB
outer
terminal
Fig. 18.2 The structure of the product

Table 18.5 The matrix of Phase I in IC package design

Engineering metrics
Noise, vibration, electromagnetic wave

High frequency characteristics
Number of types of materials

Radiation capability
Customer weights
QFD for
Physical lifetime
Biodegradability
Number of parts
environment
Phase I
I/O density
Hardness
Volume
Weight
Customer
requirements
High I/O density 1 1 3 9 3 3 1 1
Small size 3 1 1 3 3 9 3 1 3 1 1 1 1 1 1
Good radiation 1 9 1 3 1 3 1 1 9
capability
Ability of protecting 9 9 9 1 1 9 3 1
IC
Light 3 1 1 3 9 3 3 1 1 3 1 1 1 1 1 1
Reliability 9 3 3 3 1 1 1 1 9 3
Good high frequency 1 3 9 3 1 1 9
characteristic
Less material usage 1 3 1 3 9 9 9 9 9 9 9 9 9 9 9
Easy to transport and 1 3 3
retain
Easy to process and 1 1 1 1 9 1
assemble
Less energy 9 3 1 1 9
consumption
High durability 9 9 9 1 1
Easy to reuse 1 1 1
Easy to disassemble 1 1 1 1 1 1 9 9 3
Easy to clean 1 1 1
Easy to smash 3 1 1 1 1 1 1 9 9
Easy to sort 3 1 1 1 1 1 9 9 3 3
Safe to incinerate 1 3 1 1 1 3 9 3 3 3 9
Safe to landfill 3 1 1 1 1 3 3 9 9 9 9
Harmless to living 9 1 1 1 1 3 1 1 1 1 1 9
environment
Safe emission 1 3 1 1 9 9 9 9 9 9 9 9
Possible to dispose at 3 1 1 1 1 3 9
east
Raw
240
235
112
179
158
186
90
95
82
71
19
84
18
79
51
63
63
63
score
Relative
0.13
0.12
0.06
0.05
0.05
0.04
0.04
0.01
0.04
0.09
0.08
0.01
0.04
0.03
0.03
0.03
0.03
0.10
weight
298 K. Masui
Table 18.6 The matrix of Phase II in IC package design

Parts characteristics
Phase I relative weights
Insulation resin
QFD for
Outer terminal
Heat spreader
Bonding wire
Inner wiring
environment
Core PWB
Phase II
Engineering metrics
Radiation capability 0.13 3 1 1 3 3 9
High frequency 0.12 3 3 3 3 3 1
characteristic
I/O density 0.06 9 3 9 3 1 1
Weight 0.05 1 1 3 9 3
Volume 0.05 1 1 3 9 3
Number of parts 0.04 1 1
Number of types of 0.04 1 1
materials
Likelihood to get dirt 0.01 1 1 1
Hardness 0.04 9
Physical lifetime 0.09 9 9 3 3 3 3
Amount of energy 0.08
consumption
Rate of recycled 0.01 1 1
materials
Noise, vibration, 0.04 3 3
electromagnetic wave
Mass of air pollutant 0.03 9 9
Mass of water pollutant 0.03 3 9 3 3 3
Mass of soil pollutant 0.03 3 9 3 3 3
Biodegradability 0.03
Toxicity of materials 0.10 3 3 9 9 3 3
Raw
0.18 2.86
0.12 1.93
0.17 2.82
0.19 3.05
0.20 3.22
0.15 2.42
score
Relative
weight
• Changing solvents for insulation resin to decrease toxicity of materials

• Optimizing the thickness of heat spreader to decrease weight
5.3.2 DfE Option II

This option includes redesigns below.
• Employing lead-free ingredient in outer terminal to make physical lifetime longer
• Employing halogen-free resin in insulation resin to decrease mass of air pollutant
Table 18.7 The calculation in Phase III for DfE option I in IC package design
Parts characteristics
Improvement rate of engineering metrics

QFD for
Insulation resin
Outer terminal
Heat spreader
Bonding wire
environment
Inner wiring
Core PWB
Phase III
Score
Engineering metrics
Radiation capability 0 0.00
High frequency characteristic 0 0.00
I/O density 0 0.00
Weight 3 3 0.18
Volume 0 0.00
Number of parts 0 0.00
Number of types of materials 0 0.00
Likelihood to get dirt 0 0.00
Hardness 0 0.00
Physical lifetime 9 9 0.30
Amount of energy consump- 0 0.00
tion
Rate of recycled materials 0 0.00
Noise, vibration, electromag- 0 0.00
netic wave
Mass of air pollutant 0 0.00
Mass of water pollutant 0 0.00
Mass of soil pollutant 9 9 0.43
Biodegradability 0 0.00
Toxicity of materials 9 9 0.30
• Employing halogen-free resin in core PWB to decrease mass of air pollutant

• Changing heat spreader materials to increase radiation capability
5.4 Evaluation of DfE Options Through Phase III and Phase IV
The improvement effect for the VOCs with their weights was calculated for each
DfE option through Phase III and Phase IV. In this case study, the scores of 5.30 and
6.15 were obtained for option I and II, respectively. The team concluded option II
to be the best.
300 K. Masui
6 Summary
“QFD for Environment (QFDE)” has been developed by incorporating environ-

mental aspects (Environmental VOC and Environmental EM) into QFD to handle
the environmental and traditional product quality requirements together intended
to be used in the early stages of product design. Design engineers can identify
components that should be focused in their product by carrying out Phase I and
Phase II analyses, and then analyze which design changes among the various
alternatives are most effective on the environmental improvement through Phase III
and Phase IV.
From the case studies, it was proved that QFDE is applicable to an early stage of
the assembled product design. At the same time, some critical points for successful
use of QFDE were revealed. It was relatively easy for design engineers to decide
the numbers which shows relational strength between engineering metrics and
components in Phase II; however, it was difficult to give numbers to relational matrix
in Phase I, especially to decide the numbers showing relational strength between
the environmental requirement and engineering metrics due to lack of enough
knowledge about the environment. Collaboration with environmental specialists is
essential for successful use of QFDE.
Future works include an application of QFDE to the stage of developing brand
new products, and extension of this method as a communication tool among the
supply chain enterprises.
References
Y. Akao, Quality Function Deployment (Productivity Press, Cambridge, 1990)
P. Eagan, M. Finster, Creating business value by linking industrial ecology with business strategy
and product design, in Second International Symposium on Environmentally Conscious Design
and Inverse Manufacturing (EcoDesing2001) (IEEE Computer Society, Los Alamitos, 2001),
pp. 842–847
K. Ishii, Design for Manufacturability: Product Definition. Course Reader for ME217 (Stanford
University, Stanford, 1997)
P. Jean, R. Coulon, D. Timmons, Building an EcoDesign toolkit for the electronics industry, in
First International Symposium on Environmental Conscious Design and Inverse Manufacturing
(EcoDesign ’99) (IEEE Computer Society, Los Alamitos, 1999), pp. 701–706
OECD, Extended Producer Responsibility: A Guidance Manual for Governments (OECD Publish-
ing, Paris, 2001)
B. Rapoza, T. Harjula, W.A. Knight, G. Boothroyd, Product design for disassembly and environ-
ment, Ann. CIRP 45, 109–112 (1996)
A. Stevels, Green marketing of consumer electronics, in Joint International Congress and
Exhibition Electronics Goes Green 2000+ (VDE, Berlin, 2000), pp. 539–544
UNEP, ECODESIGN: a promising approach to sustainable production and consumption, United
Nations Publication (1997)
Green PCB Manufacturing Technologies
19
K. C. Yung
Abstract
More and more green legislations were adopted in the global community. These
legislations have notably affected the electronic industry supply chain. Printed
circuit board (PCB) as a critical part in electronic products or systems receives
some of most severe impacts.
The legalization of RoHS leads to lead-free solder material development in the
past 10 years. However, the lead-free alloys require higher reflow temperatures,
which translate to higher energy costs as well as environmental loading in terms
of carbon footprints. The high solder reflow temperature also forces changes in
PCB base material and may require new equipment to fabricate them.
The legalization of WEEE requires electronic waste to be recycled. PCB is
used to be one of the most difficult parts to be recycled. WEEE also stipulates
separation of components containing brominated flame retardants from other
electronic waste prior to disposal or recycling. PCB fabrication companies
have to stop using brominated flame retardants within the PCB base materials
and prepregs and to develop substitutes. Further, to facilitate recycling, some
toxic substances have to be avoided in PCB processes, for example, cyanide in
gold plating and formaldehyde in electroless copper plating. These all demand
changes and result challenges in PCB manufacturing.
Global shortage of fuel and energy sources call for environmental friendly
production processes, with less energy used and more precious metal recovered
within the production cycle. Subsequently, alternative processes are to be
developed to promote greenness in PCB fabrication.
K.C. Yung
Department of Industrial and Systems Engineering, The Hong Kong Polytechnic University,
Kowloon, Hong Kong
e-mail: mfkcyung@inet.polyu.edu.hk

DOI 10.1007/978-1-4020-8939-8 92,
302 K.C. Yung
1 Global Environmental Policy
1.1 Basic Facts About Global Environmental Policies and

Legislation
In recent years, there has been an increase in environmental awareness globally,

which has also influenced the PCB manufacturing industry. New “green” legislation
such as Waste Electrical and Electronic Equipment (WEEE), the restriction of
the use of certain hazardous substances in electrical and electronic equipment
(RoHS), and Registration, Evaluation, Authorization and Restriction of Chemicals
(REACH) has been introduced to compel PCB manufacturers to employ less
harmful chemicals and to recover more precious metals during processing.
Chemicals, alone or in combination, have been incorporated into millions of
critical components (like PCBs) and products used every day. Many chemicals
may have inherently harmful characteristics that can impact ecological and human
systems as they are used throughout the supply chains. A growing number of
companies are discovering that the approaches of Green Chemistry and Design for
Environment (DfE) allow for a transition to safer alternatives. To further facilitate
this transition, REACH is a recent European Union law addressing the production
and use of chemical substances and their potential impacts on both human health
and the environment.
RoHS requires EU member states to legislate for limits on restricted substances
in electrical/electronic equipment sold after July, 2006. All electrical and elec-
tronic equipment “put in the marketplace” must not contain banned elements in
amounts exceeding the set maximum concentration values (MCVs). The elements
banned and their maximum concentration values at the component level are listed
in Table 19.1.
In the past few years, the global community has seen that the adoption of EU
Directive 2002/95/EC on RoHS has significant rippling effects all over the world,
such as (Park 2010):
• Chinese Management Measures of February 28, 2006, for the Prevention and
Control of Pollution from Electronic Information Products
• The Japanese Industrial Standards on the Markings for the Presence of Specific
Chemical Substances for Electrical and Electronic Equipment, J-MOSS (JIS
C0950) of Japan
• The Korean Act of April 27, 2007, on the Recycling of Electrical and Electronic
Equipment and Automobiles
In fact, under the REACH regulation, a candidate list of 53 substances of
very high concern (SVHCs) was released in June 2011, and around 100 chemical
substances will be evaluated in 2012 onward. In addition, further elements may be
banned in the upcoming review of EU RoHS Directives, which could take effect in
2012 or later. Some new substances of interest that could possibly be included in the
scope of the revised RoHS Directive (Horne and Gertsakis 2006) are:
• Arsenic
• Beryllium
19 Green PCB Manufacturing Technologies 303
Table 19.1 Elements Maximum concentration values

banned in RoHS and their MCVs (by weight (%))
Elements
maximum concentration
values (MCVs) Mercury 0.1
Cadmium 0.01
Lead 0.1
Cr6C 0.1
Polybrominatedbiphenyls 0.1
(PBB)
Polybrominated Diphenyl 0.1
Ethers (PBDE)
• TBBPA
• Antimony
• DecaBDE
• Phthalates
• PVC
On the other hand, the European Commission’s WEEE Directive requires
that member states reuse, recycle, and recover all waste electrical and electronic
equipment rather than simply disposing of it in landfill sites. WEEE consists of a
wide variety of equipment, including, for example, washing machines, televisions,
computers, mobile telephones, electrical tools, medical equipment, and control
instruments.
1.2 Impacts to the PCB Industry
Lead has been comprehensively used as a solder for electronic components and
PCBs and PCB assembly industries for many years. The legalization of RoHS would
inevitably lead to electrical and electronic (E&E) products and/or components
produced without the intentional use of lead in any raw material form in processing
or in assembly. Thus, there have been lead-free solder materials developed in the
past 10 years in the market. Unfortunately, the leading Pb-free alloys require higher
reflow temperatures, which translate into higher energy costs and longer cycle time
(reduced productivity). Such high reflow temperatures will force changes in the base
materials and components and may also require new equipment.
On the other hand, halogen flame retardants may be identified as potential
dangerous substances. As required in WEEE regulations, E&E original equipment
manufacturers (OEMs) have to take back and dispose of the equipment at the
end of its life. The WEEE has approved separation and recovery standards for
electrical and electronic equipment, which require the separation of E&E equipment
from unsorted waste. It also stipulates further separation of components containing
brominated flame retardants from the other E&E waste prior to disposal or recycling.
304 K.C. Yung
Thus, E&E OEMs have to make a decision to move away from any type of
brominated flame retardants within the base materials and prepregs.
Further, to facilitate recycling, some toxic substances have to be avoided in PCB
processes, for example, cyanide in gold plating and formaldehyde in electroless
copper plating. These all demand changes and result in challenges in PCB manufac-
turing.
The global shortage of fuel and energy sources call for environmental friendly
production processes, with less energy used and more precious metal recovered
within the production cycle. Subsequently, alternative processes are to be developed
to promote greenness in PCB fabrication.
Section 2 focuses on the material development in PCB base materials suitable
for a lead-free soldering environment as well as reduction of toxic solvents in
PCB materials. The current status and research on PCB flame retardants are also
discussed. Section 3 briefly presents a few examples of green processes in PCB
manufacturing. Section 4 discusses different methods to recycle PCBs and to
recover metals in PCB processes.
2 Environmental Friendly PCB Material
2.1 Halogen-Free PCB Laminate Materials
2.1.1 Definition of Halogen-Free

The term halogen is used to describe the elements of group 7 of the periodic table of
elements (Molyneaux and Ebnesajjad 2012). Technically speaking, the term halogen
provides little descriptive value in scientific and technological discussion. The term
precious metal is common and refers to group 1b of the periodic table of elements.
Atop of this column sits copper (Cu), followed below by silver (Ag) and gold (Au).
It is clear that the diversity in the values and chemical properties of these three
elements is not captured by the phrase “precious metal.” Similarly, fluorine (F)
sits atop of group 7 of the periodic table of elements, followed below by chlorine
(Cl), bromine (Br), iodine (I), and astatine (At). The last element is unknown to an
overwhelming majority of the public as well as the technical community.
A major common characteristic of halogens is that they all have seven electrons
in the outer shell of their atomic structure. They all have a valence of 1 in their
reactions with hydrogen and metals. The reactivity of halogens decreases from the
top (fluorine) to the bottom of the column.
The definition of halogen-free PCB and substrate laminates can be found in
Institute for Interconnecting and Packaging Electronic Circuits (IPC) 4101, Spec-
ification for Base Materials for Rigid and Multilayer Printed Boards, (International
Electrochemical Commission 2003) as:
• For PCBs and substrate laminates, “low halogen” is defined as containing no
more than 1,500 ppm of total halogens in the resin plus reinforcement matrix and
no more than 900 ppm (each) of bromine or chlorine (per IPC-4101).
2.1.2 Source of Halogen in PCB Material

Bromine has been extensively used as a flame retardant (FR) in many industries.
Bromine is unique in its efficacy as a gas phase flame retardant, (it combines with
free radicals) and its compatibility with engineering thermoplastics formulations.
An effective way of introducing flame retardant into a polymer is to react in a
bromine-containing compound in the polymeric material. The majority of PCB
produced in the world today is manufactured using base laminate materials and
prepregs, which have been produced with E-glass fabrics and an epoxy-based
thermosetting resin. The resultant PCBs need to be flame retardant and must
conform to the Standard for Safety of Flammability of Plastic Materials for Parts
in Devices and Appliances testing (UL-94) classification V0 requirements. As a
result, the epoxy resins used are “brominated” to give the desired flame resistance.
Bromine is added in the form of tetrabromobisphenol A (TBBPA), a comonomer,
which chemically reacts with the epoxy resin to become covalently bonded in the
resin matrix. Once bonded covalently in the epoxy resin of the circuit board, TBBPA
ceases to exist as a chemical entity and becomes part of a three-dimensional cross-
linked matrix.
The addition of bromine through the addition of TBBPA reduces the possibility
of ignition of the material, and if ignition occurs, then it limits the rate of flame
growth; thus, it is seen as a cost-effective way of preventing/impeding fire in printed
circuit boards. The addition of TBBPA allows the base materials and prepregs to
conform to the UL-94 V0 (Underwriters Laboratories 1996) status required by the
industry. TBBPA is the largest volume flame retardant in use today, and it is this
chemical compound, and its addition to the flame retardant (FR-4) resins, which
generates great interest in “bromine/halogen free” alternatives within the printed
circuit industry. Currently, there are no other brominated materials in the process
of being banned in the EU legislation, including TBBPA, which is incorporated in
FR-4 epoxy resins so widely used in the printed circuit industry.
2.1.3 Alternatives for Flame Retardants

Brominated flame retardants (BFRs) can form halogenated dioxins and furans under
severe thermal stress or when they are burnt in accidental fires or uncontrolled
combustion (Doring and Diederichs 2010). Findings in the environment and biota,
and the suspicion that some flame retardants bioaccumulate in organisms, have
added to these concerns. Thus, replacement of BFRs has been researched for several
years. Some of common alternatives are:
• Metal Hydroxides
These minerals are useful flame retardants, whether used on their own or in
synergy with other flame retardants. They act by consuming energy during thermal
decomposition, releasing water and forming an oxide layer. Thereby, they cool the
polymer, dilute the combustion gases, and shield the resin substrate by the formed
oxide layer. Furthermore, this oxide layer adsorbs soot particles leading to low
smoke levels. A big advantage of these mineral flame retardants is their effect in
306 K.C. Yung
reducing the coefficient of thermal expansion (CTE) down to very low values. Some
example of metal hydroxide flame retardants are:
(i) Aluminum trihydroxide Al(OH)3 – Rather high loadings are necessary to
achieve the necessary fire performance. It has moderate thermal stability
(decomposes at about 200ı C). Combination of aluminum trihydroxide with
other FRs is common.
(ii) Aluminium monohydrate AlOOH – Unlike aluminum trihydroxide, aluminum
monohydrate has a good thermal stability up to 340ıC. Laminates produced
with aluminum monohydrate feature very high temperature stabilities, result-
ing in very reliable products. Aluminum monohydrate is usually combined
with other flame retardants because of its low flame retarding efficiency.
• Metal Phosphinates and Polyphosphates
Metal phosphinates are a new class of nonhalogenated flame retardants which can
be used for rigid as well as flexible PCBs or other applications in this area. Metal
phosphinate is not hygroscopic, nontoxic, has an extremely low solubility in water
and common solvents, and does not hydrolyze in the presence of water. The latter
point is especially crucial since the release of phosphoric acid is not tolerable in the
E&E applications.
Further key aspects are the high phosphorus content (>23%) and its good
thermal stability (>300ıC) which makes it compatible with lead-free soldering
operations. Electrical properties show virtually no impact on dielectric constant
(Dk)/dielectric loss (Df) even at frequencies well above 1 GHz. However, the metal
phosphinate cannot be used alone to achieve a UL 94 V0 classification; therefore,
it is usually combined with N-synergists such as melamine polyphosphate, with
modified (phosphorus or nitrogen containing) epoxy resins, or blends with other
polymers (cyanate esters, benzoxazines, phenylene ether (PPE), or others). Metal
phosphinates are also suitable for flexible printed circuit boards (FPC).
Nitrogen-based flame retardants are typically melamine and melamine deriva-
tives. They are often used in combination with phosphorus-based flame retardants.
• Reactive Flame Retardants
Reactive flame retardants are chemically bound to the polymer and eliminate most
of the migration problems such as vaporization. Some examples of reactive flame
retardants are:
(i) DOPO (dihydrooxaphosphaphenantrene) – is a cyclic hydrogenphosphinate
containing a P–H bond. It is monofunctional, but several modifications are
possible, which, when properly catalyzed, can be grafted to C=C linkage or
reacted with epoxy groups. Today, DOPO can be regarded as the major building
block used to make phosphorus containing epoxy resins (Tg up to 150ı C).
DOPO is commercially available from different suppliers in global capacities.
(ii) Poly(1,3-phenylene methylphosphonate) – Due to its hydroxyl groups, it can
react into the polymer and act as a curing agent for epoxies. It is recommended
in combination with aluminium tri hydroxide (ATH) or aluminium oxide
hydroxide (AOH). High temperature stability is reported (high Tg, pressure
cooker test).
2.1.4 Other Halogen Material Used in PCBs

There are grades of higher performance base materials, which also contain bromine,
and as such are being drawn into the “halogen-free” debate (Doring and Diederichs
2010). Among these are the BT (bismaleimide-triazine) resin systems, which are
usually blended with certain proportions of epoxy material (BT epoxy) to aid
processing. These epoxy resins normally contain a certain percentage of TBBPA-
based bromine content, and so, these base materials are being highlighted. The BT
pure resin could be used to produce a UL-94 V0 type resin system, and where this
is the case, then the halogen (bromine) issue is not applicable.
A similar picture emerges with cyanate ester systems. While they are “halogen-
free” when used in their pure form, it is known that some laminators blend
with epoxy (FR-4) resins to impart some desired finished laminate properties.
A relatively new type of base-resin system, cross-linked aliphatic rubber materials
filled with organic fillers, has also gained influence in the higher performance base
material sector. Here too, the use of a brominated additive is needed to achieve the
UL-94 V0 flame retardant requirement, although it is not TBBPA-based. As with
the FR-4 type resins, these other bromine-containing materials are not banned by
any legislation, but they are burdened with the same momentum for the reduction
in bromine in E&E equipment. By comparison, polytetrafluoroethylene (PTFE) (or
trade name Teflon) base materials do not contain bromine and should not be included
in the “halogen-free” debate.
2.2 Lead-Free PCB Laminate Materials
2.2.1 Material Requirement for a Lead-Free Environment

The legislation of RoHS means that the widely used Sn-Pb solder alloy is banned
in the electronics industry. As a consequence, many Pb-free solders have been
developed as possible candidates to replace the conventional Sn37Pb solder. The
leading Pb-Free alloys require higher reflow temperatures. Thus, PCB material
should be revised to meet the new thermal requirements, such as (Matrix US Inc
2005):
(i) The board must be able to withstand peak reflow temperatures in excess of
250ıC, up from 215ı C.
(ii) Heat cycles for multilayer applications may increase from 6 to 10.
(iii) The substrate must be able to withstand longer process dwell times at peak
temperatures.
The new thermal requirement should be reflected by a number of substrate
material characteristics (Matrix US Inc 2005):
(i) Time to delamination, T-260/T-288 – Base material or PCB test to determine
the time, in minutes, the sample can withstand the specified test temperature
before a catastrophic failure (delamination) occurs. It can be determined using
a Thermo Mechanical Analyzer (TMA).
308 K.C. Yung
(ii) Glass transition temperature (Tg) – Temperature at which the material changes
from a semirigid to a softened state. It can be determined using several methods
such as differential scanning calorimetry (DSC), dynamic mechanical analysis
(DMA), and thermal mechanical analysis (TMA).
(iii) Coefficient of thermal expansion (CTE) – Dimensional change of materials
as a function of temperature. All FR-4 materials will expand with thermal
excursion. Measurement of this expansion is referred to as (CTE). It is
measured by TMA. A material with a higher Tg will delay the increase in
CTE through thermal excursion for that resin system, but total expansion
can be significantly different for each material type. Expansion of the entire
assembly during reflow and assembly will be drastically increased with the
introduction of Pb-free solders and the corresponding requirement for higher
peak temperatures and an extended time above the Tg of the materials.
(iv) Thermal decomposition temperature–(Td) – The temperature at which the
actual chemical and physical degradation of the base resin begins. It is usually
measured by a “thermogravimetric analysis” (TGA). Td is calculated based on
5% weight loss of the sample. Studies have found that similar resin systems
having the same Tg can have a significantly different Td. Td is now recognized
as an important tool in determining the performance and overall reliability of
materials.
2.2.2 Formulation Modification

To fulfill the new material requirement, the base material should be modified. Most
of today’s FR4 epoxy laminates are cured with a hardener called dicyandiamide
(Dicy) (Matrix US Inc 2005). Dicyandiamide is a hygroscopic function bond, that is,
a substance that attracts moisture from the atmosphere. Moisture can affect the final
cure process in lamination/impregnation, which in turn affects the glass transition
temperature of the substrate. Moisture is also bad for the finished board and the
soldering process, as it would lead to delamination defects.
Today, lead-free laminates are manufactured with phenolic (also referred to
Novalac) hardeners. Therefore, they have improved curing effects and therefore
better final thermal performances. The reduced moisture content in finished boards
also improves solderability.
2.2.3 Standards for Lead-Free PCB Laminates

IPC 4101B Specification for Base Materials for Rigid and Multilayer Printed Boards
(Institute for Interconnecting and Packaging Electronic Circuits 2009) summarizes
a number of material requirements for lead free laminates, for example:
• Time to delamination (T260) should be longer than 3 min.
• Time to delamination (T288) should be longer than 5 min.
• Decomposition temperature should be higher than 330ıC.
• Requirements of conductive anodic filament and interconnect stress tests should
also be met.
It is worthwhile to give a final remark before ending this subsection. Lead-
free solder applications in many cases may not be environmentally beneficial from
all environmental perspectives. It leads to avoiding potential toxicity because of

lead elimination, but these effects should be balanced with the additional resource
depletion created. Strategies restricting the use of lead may reduce the total life-
cycle environmental impact by a factor 2–4 (depending on the end-of-life scenario)
when resource depletion is not taken into account; however, when a certain weight
is assigned to resource depletion, the most common lead-free soldering alternatives
(such as SnAgCu) can be worse from an environmental perspective. The increased
demand for tin could also pose a resource problem. Added to these are the additional
energy and resources used in qualifying and using the new lead-free PCB laminates.
2.3 Reduction of Toxic Solvent in PCB Materials
PCB substrates, also known as copper-clad laminates, are made of organic laminated
materials consisting of a particular resin, usually an epoxy or phenolic, embedded
with some type of reinforcement, either glass or paper, and they have copper
foil attached to the outer surfaces (Permadi and Castro 2004). When a multilayer
PCB is manufactured, several PCBs are stacked and bonded together by prepregs,
which basically consist of partially cured organic material impregnated in the
reinforcement used to make the laminate.
The conventional process of manufacturing prepregs and laminates has several
drawbacks:
(i) The first step in the lamination process is impregnating fiberglass with an
epoxy resin mixture. The fiberglass is run through several rollers and dipped
into an open epoxy resin bath. The epoxy is dissolved in a solvent, typically
acetone or dimethylformamide. The solvents are used to lower the viscosity
for improved impregnation and to dissolve the catalyst in the epoxy system.
These solvents are not environmentally friendly. As a result, great care must
be taken in their use and disposal. Moreover, these solvents are harmful to the
operators.
(ii) After the impregnation, the fiberglass impregnated in the epoxy resin is passed
through a heating chamber, which is called a treater, to dry off the solvent
and partially cure the resin. Not only is this not environmentally friendly, but
because the glass impregnation is not performed under pressure, it is difficult
to properly impregnate the glass bundles; this brings the possibility of voids
forming inside the glass bundles, which are called cigar voids. In addition, if
the resin is dried too quickly, the solvent boils and leaves spherical voids.
(iii) Another related problem of this process is treater fires. The main cause of
treater fires is the burning of organic material that accumulates in the treater
wall (treater dust) because of solvent boiling. The treater dust also contributes
to prepreg inconsistencies. Voids produce product variability, which leads to
the so-called internal registration problem. This is one of the major causes of
scrap in a board shop. Internal registration basically refers to the misalignment
of drilled holes and inner-layer circuit features.
(iv) Another problem is that if the drilled holes hit a void, the copper solution used
to plate the holes may flow into the void and cause a short circuit.
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Filters
+ Curing
Resin Agents
Mechanical
Energy
Glass Copper
Rolls Impregnation Foil Force
Mixing Belt Clamp
B-staging Die
Copper Clad
Laminate
Cooling
Glass Working
Region
Impregnation B-staging Heat
Zone Force
Zone Heat
Prepreg
Fig. 19.1 Solventless process (Permadi and Castro 2004)
A new continuous solventless process has been developed based on the concept
of injection pultrusion. The impregnation is performed by the injection of a
solventless resin system into a die under pressure instead of the fiber being dipped
into a solvent-based system in an open pan. This approach can eliminate cigar voids.
In addition, because no solvent is used, there will be no solvent boiling. From the
die, the prepreg can be fed into a continuous lamination belt clamp to manufacture
the copper clad laminates or it can just be stored. Figure 19.1 shows a schematic
diagram of the process.
To develop this new process, a chemical system needs to be identified and char-
acterized. It consists of DER (Dow Epoxy Resin) 383 [nonbrominated diglycidyl
ether of bisphenol A (DGEBA)] and DER 542 (brominated DGEBA). As the curing
agent, a resin based on phenolic novolac is included. The catalyst is 2-ethyl-4-
methylimidazole. The resin system melts at 105ıC, and no reaction occurs below
110ıC. It also has a low enough initial viscosity to make the impregnation possible
through a closed die and to minimize the pulling force. The new breed of resin
systems has acceptable Dk –Df values and less void content than found in a standard
prepreg.
3 Environmental Friendly PCB Process
3.1 Cyanide Gold Plating
3.1.1 Use of Cyanide Gold Plating in the PCB Industry

The plated gold being used by the electronics industry can be broadly classified into
two categories: soft gold and hard gold (Masaru and Okinaka 2004). Soft gold is
used for circuit metallization and for bonding semiconductor chips, while hard gold
Gold salt Deposition mechanism Bath pH Property
Cyanide Electroplating Acidic Hard gold
KAu (CN)2 Purity >99.8%

KAu (CN)4 (as metal) Hv >91
Displacement
Neutral Soft gold
Purity >99.9%
Non-cyanide Electroless (as metal) Hv >90
Na3 Au (SO3)2
NaAuCl4
Chemical reduction Alkaline
Autocatalytic type
Substrate-catalysed type
Fig. 19.2 Classification of gold plating (Masaru and Okinaka 2004)
is indispensable as the contact material on electrical connectors, electromechanical

relays, and printed circuit boards. The traditional cyanide-type gold plating bath
containing potassium cyanoaurate(I), KAu(CN)2 , as the source of gold, has been
in use for both electrolytic and electroless plating. The cyanide bath has a long,
successful history of being highly stable and capable of yielding gold films with
excellent physical properties. However, the cyanide bath has problems of toxicity
and suffers from the tendency of attacking the positive photo resist film which is
used to delineate circuit patterns.
The electrolytic cyanide-type baths include those operated at acidic, neutral, or
alkaline pH’s, and they can deposit either hard gold or soft gold. On the other hand,
noncyanide-type baths can be operated only at neutral or alkaline pH’s by either an
electrolytic or electroless mechanism, but the baths presently available can deposit
soft gold only. Hard gold can be deposited only from a cyanide-type electroplating
bath at present. However, there is still no effective technology for a cyanide-type
electroless hard gold plating bath or a noncyanide-type electrolytic or electroless
hard gold plating available yet. Figure 19.2 shows the classification of gold plating
in the PCB industry.
3.1.2 Alternatives for Gold Cyanide

Gold(I)-Sulfite Complex [Au(SO3 )2 ]3
The gold(I)-sulfite complex has been in electroplating use for many years as the
source of gold in commercial noncyanide, electrolytic gold plating baths (Masaru
and Okinaka 2004). Without a stabilizing additive, the sulfite bath itself suffers from
instability, and AuC ions undergo the disproportionation reaction, 2AuC $ Au.0/ +
Au3C , forming a precipitate of metallic gold. To suppress this reaction, the addition
of stabilizing additives such as polyamine, as ethylenediamine, is needed for the
formation of a mixed ligand gold complex. The addition of additives also makes it
312 K.C. Yung
possible to operate the bath in a lower pH range of 5–8, rather than >8 for a bath
containing no amine.
The gold(I)-sulfite complex has also been used to formulate electroless gold
plating baths. Both conventional reducing agents and less common ones have been
used successfully.
Gold(I)-Thiosulfate Complex [Au(S2 O3 )2 ]3

The electroplating of gold from an Au(I)-thiosulfate complex has been known
for 100 years, but it has never been used for making a practical bath due to its
low stability. Recently, an electrolytic gold plating bath using an Au(I)-thiosulfate
complex and containing iodide ions as an additive has been reported. In this system,
metallic gold is used as the anode, which dissolves into the bath during the plating
to maintain a constant Au(I) concentration. The Au(I)-thiosulfate complex was
also utilized to formulate an autocatalytic bath using ascorbic acid as the reducing
agent. This bath was operated at a pH between 6.4 and 9.2 at room temperature.
In this system, the accumulation of free S2 O23 ions produced by the reduction of
[Au(S2 O3 /2 ]3 decreases the plating rate. The periodic addition of H2 O2 removes
the excessive S2 O3 2 ions and maintains a constant plating rate. However, this bath
has only a short life (<2 h), and further improvement is needed.
3.2 Electroless Copper Plating Process
3.2.1 Problems Associated with Formaldehyde

Specifically, wet chemical processes are a significant source of hazardous waste
and consume large amounts of water and energy (Microelectronics and Computer
Technology Corporation 1998). One such wet chemical process is the method used
by PCB manufacturers to make PCB through-holes conductive, prior to electrolytic
plating. The technology most commonly used today to accomplish this function is
the electroless copper process. This technology typically employs formaldehyde as
a copper-reducing agent and requires large amounts of water and energy.
The Office of Environmental Health Hazard Assessment (OEHHA) of the USA
has concluded that exposure to formaldehyde can cause cancer in humans. Exposure
to airborne formaldehyde may also cause other illnesses, such as irritation to the
eyes, skin, and respiratory tracts; coughing; sore or burning throats; nausea; and
headaches. Formaldehyde may also worsen asthma or allergy symptoms in those
with such preexisting sensitivities. Reducing exposures to formaldehyde will reduce
these health risks.
Electroless copper has been the standard making hole conductive (MHC) method
used in the manufacture of double-sided and multilayered printed circuit boards.
A palladium/tin colloid is adsorbed onto the through-hole walls and then acts as
the catalyst for the electroless plating of copper. The autocatalytic copper bath uses
formaldehyde as a reducing agent in the principal chemical reaction that applies
a thin, conductive layer of copper to the non-conducting barrels of PCB through-
holes. The process is typically operated in a non-conveyorized mode, although
conveyorized systems are also available. Figure 19.3 shows the process flow of the
conventional electroless copper plating process.
3.2.2 Alternatives for Electroless Copper Processes

Carbon-Based Process
Carbon processes utilize a suspension of carbon black particles to deposit a
conductive layer of carbon onto the substrate surface. The spherical carbon black
particles form an amorphous, or non-crystalline, structure of randomly scattered
crystallites, which create a conductive layer. The process is typically operated in a
conveyorized fashion but can be modified to be run in a nonconveyorized mode. It
is compatible with all common substrates and, in the conveyorized mode, can be fed
directly into a cut-sheet dry-film laminator. Figure 19.4 shows the process flow of
carbon-based process.
Conductive Polymer Process

This MHC process forms a conductive polymer layer, polypyrolle, on the substrate
surfaces of PCB through-holes. The polymer is formed through a surface reaction
during which an immobilized oxidant reacts with an organic compound in solution.
The conductive polymer process can be operated horizontally and is compatible with
most common substrates as well as traditional etch-back and desmear processes.
Because of the potential instability of the polymer layer, the conductive polymer-
covered through-holes are flash plated with copper in an acid copper electroplating
bath. Flash plating may not be required in instances where hold times between the
formation of the polymer and the pattern plating step are minimal. Figure 19.5 shows
the process flow of conductive polymer process.
Cleaner/ Microetch Predip Catalyst Accelerator Electroless Acid Dip Anti-Tamish

Conditioner Copper
Fig. 19.3 Process flow of conventional electroless copper plating process
Cleaner Carbon Air Knife/ Conditioner Carbon Air Knife/ Microetch

Black Dry Black Dry
Fig. 19.4 Process flow of carbon-based process
Microetch Cleaner/ Catalyst Conductive Microetch Copper

Conditioner Polymer Flash
Fig. 19.5 Process flow of conductive polymer process

314 K.C. Yung
Graphite-Based Process
Graphite methods disperse graphite (another form of carbon) onto the substrate
surface. Similar to the carbon method, a conditioner solution creates a positive
charge on the substrate surface, including the through-holes. Graphite particles
are then adsorbed onto the exposed surfaces. Graphite has a three-dimensional,
crystalline structure as opposed to the amorphous, randomly arranged structure
found in carbon black. This crystalline structure creates a conductive layer covering
both the copper and the nonconductive surfaces of the outer layer and interconnects.
A copper microetch removes the unwanted graphite from the copper surfaces,
leaving a conductive, graphite layer on the glass and epoxy surfaces of the vias. The
graphite process typically is operated in a conveyorized mode but can be modified
for non-conveyorized applications. Figure 19.6 shows the process flow of graphite-
based process.
Palladium-Based Process
The organic-palladium process uses a water-soluble organic polymer to form the
colloid around the palladium particles. This protective layer surrounds the individual
palladium particles, preventing them from agglomerating while in solution. After
the particles have been deposited onto the board, the protective colloid is removed,
making the layer of palladium particles conductive. Organic-palladium can be
operated successfully in either conveyorized or non-conveyorized modes. The
process is compatible with all common substrates.
Tin-palladium processes use tin to form the colloid with palladium. After the
adsorption of the tin-stabilized palladium colloid, the tin is removed, creating a layer
of conductive palladium particles on the surface of the substrate. Tin-palladium
processes are similar, up to the accelerator step, but use different methods to
optimize the conductivity of the palladium deposit. Tin-palladium can be operated
successfully in either conveyorized or non-conveyorized modes. Figure 19.7 shows
the process flow of the palladium-based process.
Cleaner/ Graphite Fixer Air Knife/ Microetch

Conditioner (optional) Dry
Fig. 19.6 Process flow of graphite-based process
Cleaner/ Microetch Predip Conductor Postdip or Acid Dip

Conditioner or Catalyst Accelerator
Fig. 19.7 Process flow of palladium-based process

4 Recycling/Recovery for PCB Material
4.1 Copper Recovery in PCB Processes
The development of copper recycling processes from wastes is an important issue to

effectively utilize copper resources (HKPC 2007). Etching is an important process
in the PCB industry. Every year, approximately 7 million liters of etchant is used by
PCB industry and generates a huge volume of waste in the Pearl River Delta region
in Hong Kong and southern China. Therefore, the regeneration of spent etchant and
recovery of the copper is essential to minimize the operating cost of the etching
process. In the PCB industry, copper is commonly regenerated by two methods:
(1) solvent extraction, which is suitable for ammonia-based etching solutions, and
(2) oxidation technique, which is suitable for acidic etching solutions.
4.1.1 Solvent Extraction

In the manufacturing of printed circuit boards, copper is commonly etched with
an ammonia-based etchant, containing free ammonia, ammonium chloride, and
some oxidants. The use of ammonia complicates waste treatment and makes
recovery of copper difficult. Optimal etching efficiency is obtained when the copper
concentration in the etchant is 140–160 g/L.
In this solvent extraction system, spent etchant is withdrawn and circulated through
a solvent extraction arrangement, containing an organic solution in kerosene. About
30% of the copper is transferred to an organic solution and then back to the etching
line. The copper containing rinse water, obtained by rinsing the boards after etching,
is also treated in the solvent extraction arrangement to reduce the copper content
(<5 ppm).
Finally, copper is stripped from the organic solution with a sulfuric acid
electrolyte, and pure copper metal is produced by electrowinning. This reduces the
consumption of chemicals by more than 95%.
4.1.2 Oxidation Technique

Copper is also etched in an acidic environment containing cupric chloride. The
chemical reaction is (HKPC 2007):
CuCl2 C Cu ! Cu2 Cl2
With the help of hydrochloride acid, cuprous chloride can be regenerated:
2Cu2 Cl2 C 4HCl C O2 ! 4CuCl2 C 2H2 O
However, in commercial high-volume applications, regeneration of cupric chlo-

ride by air oxidation is too slow to be completely practical. By means of a boron
doped diamond (BDD) electrode, it has been proven to be able to generate hydroxyl
316 K.C. Yung
BDD (Anode) SS (Cathode)

BDD SS
Copper Foil
Membrane
2+
Cu
Regenerated Cu
Etchant Solution Solution
pump
Cu+ Cu+ pump
Etching Tank Electrochemical Reactor
Fig. 19.8 Schematic diagram of copper recovery in PCB etching process (HKPC 2007)
radicals which efficiently oxidized cuprous ions and regenerate the copper etchant.
Figure 19.8 shows a schematic diagram of a copper recovery process.
4.2 Recycling of Scrapped PCB
The market demand for the production of electric and electronic equipment (EEE)
is increasing rapidly. PCBs are widely used in EEE. In recent years, the average rate
of worldwide PCBs manufacture has increased by 8.7%, and this number is much
higher in Southeast Asia (10.8%) and mainland China (14.4%). Meanwhile, both
technological innovation and intense marketing continue to accelerate updated EEE
and shorten the average lifespan of EEE. As a result, the amount of waste PCBs is
dramatically increasing. The UN Environment Programme estimates that the world
generates 20–50 million tonnes of waste electric and electronic equipments each
year, and the amount is rising three times faster than other forms of municipal waste.
Thus, there is a need to recycle scrapped PCBs.
However, recycling of waste PCBs is a challenge due to the fact that PCBs are
diverse and complex in terms of type, size, and shape of materials and components.
This section discusses the technologies of recycling PCBs (Huang et al. 2009).
4.2.1 Common Material Found in PCB

Printed circuit boards are particularly problematic to recycle because of the
heterogeneous mix of organic material, metals, and glass fiber (Hall and Williams
2007). Currently, waste printed circuit boards are either incinerated, which can
lead to the formation of toxic brominated compounds derived from the brominated
flame retardants contained in the circuit boards, or sent to landfills, which can
lead to toxic compounds leaching into the water supply. Many printed circuit
boards are made up of either polymer films such as polyimides, or less fre-
quently polyethylene terephthalate or polyethylene naphthalate, or glass fiber
composites bonded with a thermosetting resin. Common resins include difunc-

tional epoxy resins such as bisphenol A, multifunctional epoxy resins such as
phenol and creosol-based epoxy novolacs, BT epoxy blends, cyanate esters, and
polyimides. As well as resins, a hardener is needed to form the cross-linking
required to create a thermoset plastic. The most common hardener is dicyan-
odiamide, but 4,4-diaminodiphenyl sulfone and 4,4-diaminodiphenyl methane are
also used.
The choice of manufacturing materials used for printed circuit boards depends on
the application. The most common type of printed circuit board used in computers
and communication equipment is made from glass fiber-reinforced epoxy resin
(referred to commercially as FR-4). Printed circuit boards also contain significant
quantities of metals, the most significant of which is copper, which is used to form
the electrical circuits on the printed circuit boards. Other metals that are present in
printed circuit board waste include iron, nickel, silver, gold, and palladium from the
electrical components themselves and the solder used to attach them to the boards.
In general, waste PCBs contain approximately 30% metal and 70% nonmetal. The
typical metals in PCBs consist of copper, iron, nickel, silver, and gold (Huang et al.
2009).
4.2.2 Recycling Method

Chemical Method: Pyrolysis
One possible method of recycling printed circuit boards and recovering both the
organic and nonorganic fractions is pyrolysis. Pyrolysis is a thermal recycling
technique that has been widely researched as a method of recycling synthetic
polymers including polymers that are mixed with glass fibers (Hall and Williams
2007).
In this process, printed circuit board types are pyrolyzed in a fixed bed reactor.
The reactor is then sealed and purged with nitrogen before being heated to 800ıC
at a constant heating rate. Once the reactor has reached 800ıC, it is held at this
temperature for 135 min to ensure that pyrolysis of the sample is complete. After
exiting the fixed bed reactor, the pyrolysis gases and oils pass through a water-
cooled condenser and then two ice-cooled condensers that collect any oils and
waxes released during the pyrolysis process. In addition, a glass wool trap is used
to remove any oils or waxes that are not trapped by the condensers. The pyrolysis
oils are recovered from the water-cooled condenser, and only a small amount of oil
is collected by the ice-cooled condensers and the glass wool trap. The pyrolysis oil
is often mixed with a significant quantity of water which is removed by centrifuging
the oil in a centrifuge. A small fraction of the oils cannot be poured from the
condensers, and this oil is recovered by washing the water-cooled condenser with
acetone. Figure 19.9 shows a schematic diagram of a fixed bed reactor used in
pyrolysis process.
The main purpose of chemical recycling methods is to convert the polymers
contained in the NMFs to chemical feedstock or fuels. Compared with physical
ones, chemical recycling methods have the advantages in converting BFRs to
monomers and in taking out the heavy metals left in residue. It is possible
318 K.C. Yung
N2
Temperature
controlled
Furnace
Plastic sample
Thermocouple Gas sampling

point
Water/Ice Co2/acetone Glass De-ionised

condenser condensers wool water trap
trap
Fig. 19.9 Schematic diagram of a fixed bed reactor (Hall and Williams 2007)
to prevent the formation of toxic gases. However, precautions should be taken for the
hazardous substances released in the process such as BFRs (tetrabrombisphenyl-A
(TBBA)) and heavy metals (lead, chromium, mercury, cadmium, etc.).
Physical recycling of the NMFs is a promising recycling method without
environmental pollution and with reasonable equipment investment and low energy
cost.
Chemical Method: Leaching

Crushed PCB pieces are used as actual electronic scrap and are processed according
to the flowchart shown in Fig. 19.10. The leaching solution is made from aqueous
ammonia solution and cupric oxide and either ammonium sulfate or ammonium
chloride in deionized water. Leaching is conducted for 24 h to ensure equilibrium
between the impurities dissolved and those remaining in the PCB.
After the leaching, the solution is filtered in a glove box filled with argon gas and
then extracted by a chelating reagent to effectively remove impurities like Ni, Zn,
and Co selectively from the Cu (I).
The purified solution is transferred to the electrolytic cell without exposure
to air and then subjected to electrodeposition in a cell separated by an anion
PCB: ground
Leaching
Solvent
Extraction
Electrowinning
Fig. 19.10 Process flow chart showing the copper recovery from printed circuit board (Oshi et al.
2007)
exchange membrane. The cell should consist of two platinum electrodes and the
purified solution. The current density is similar or slightly higher than that of
the conventional copper electrowinning from a sulfuric acid/copper (II) sulfate
electrolyte and is close to the value which previously had sufficiently low power
consumption in synthetic ammonia sulfate and chloride solutions. In order to prevent
oxidation by air, deoxygenated gas is introduced into the electrolytic cell before and
during the electrowinning. The resulting copper cathode is dried after successive
rinsing in an ammonia chloride solution mixed with tap water and deionized water.
Experiments show that the total metal impurity using this leaching method of
recycling can be as low as the ppm level (Oshi et al. 2007).
Physical Method: Pulverization

The waste PCBs are first pulverized in a process consisting of a coarse-crushing step
and a fine-pulverizing step, using a shearing machine and a hammer grinder (Guo
et al. 2008). Then, an electrostatic separator is used to separate the metals from the
nonmetals. After they are separated, the nonmetal fractions (NMFs) are screened
by a vibrating screen. Figure 19.11 shows the metallic fractions and nonmetallic
fractions of pulverized waste PCBs.
When combined with different polymers and additives, the NMF can be used as
fillers for:
• Different thermosetting and thermoplastic resin matrices
• Construction materials such as concrete
• Adhesives, asphalts, and other viscoelastic materials
320 K.C. Yung
Crushing and
Separating
Cu particles
waste PCBs
nonmetallic materials
Fig. 19.11 Metallic fractions and nonmetallic fractions of pulverized waste PCBs (Guo et al.
2008). (a) Cu particles. (b) Nonmetallic materials
The advantages of physical recycling methods are that the processing is relatively
simple, convenient, and environmentally sound and the equipment investment and
energy cost is low.
4.2.3 Products Made from Waste PCBs

PCBs contain 70–80% nonmetals with the main nonmetallic ingredients being
epoxy resins, glass fibers, and brominated flame retardants. The recovered non-
metallic materials can be used in several ways based on the physical characteristics
of the nonmetallic powder. To list a few:
• Composite board – Composite boards are used extensively in many fields in-
cluding automobiles, furniture, amusement equipment, and decorative materials.
The most attractive aspect of making composite boards from PCB nonmetallic
materials is the potential economic benefit. In general, products made from
composite boards are high-value products with large profit margins. A wide
variety of products can be made from composite boards for various applications.
Experiments show there is much improvement in terms of tensile strength, tensile
modulus of elasticity, flexural strength, and flexural modulus found in products
made from recovered PCB nonmetallic materials.
• Sewer grates – Sewer grates are often stolen in China due to the inflated cost
of iron, creating serious social problems, and road safety issues. In addition, the
demand for new sewer grates for construction is also enormous. Therefore, to
prevent such thefts, more and more sewer grates are being made of composite
materials in China. Recovered PCB nonmetallic materials can be used to make
the sewer grates. The main advantages of these are lower costs and better
mechanical strength, especially the flexural strength. Another important point

is that the PCB nonmetallic material is a recycled material, so the process makes
use of materials that would otherwise be sent to landfills.
• Surfboat – Surfboats are subjected to large bending pressures. Composite boards
can be effectively used in the deck and body of such boats (Mou et al. 2007).
5 Summary
In recent years, there has been an increase in environmental awareness globally,

which has also influenced the PCB manufacturing industry. New “green” legislation
such as WEEE, RoHS, and REACH has been introduced to compel PCB manufac-
turers to employ less harmful chemicals and to recover more precious metals during
processing.
There have been lead-free solder materials developed in the past 10 years
in the market. Unfortunately, the leading Pb-free alloys require higher reflow
temperatures, which translate into higher energy costs, and longer cycle time
(reduced productivity). Such high reflow temperatures will force changes in the base
materials and components and may also require new equipment.
Electronic products manufacturers have to make a decision to move away from
any type of brominated flame retardants within the base materials and prepregs,
which pushes PCB manufacturers to expedite the adoption of non-brominated base
materials.
Further, to facilitate recycling, some toxic substances have to be avoided in PCB
processes, for example, cyanide in gold plating and formaldehyde in electroless
copper plating. These all demand changes and result in challenges in PCB manufac-
turing.
On the other hand, the global shortage of fuel and energy sources call for
environmental friendly production processes, with less energy used and more
precious metal recovered within the production cycle. Subsequently, alternative
processes are to be developed to promote greenness in PCB fabrication.
This chapter only highlights some of the representative challenges in the material
development in PCB base materials and in finding greener and cleaner processes,
including the recycling and recovery of precious metals in PCB manufacture.
References
M. Doring, J. Diederichs, Innovative flame retardants in E&E application, non-halogenated
phosphorus, inorganic and nitrogen flame retardants, pinf a – Phosphorus, Inorganic and
Nitrogen Flame Retardants Association, 2010, pp. 23–27
J. Guo, B. Cao, J.Y. Guo, Z. Xu, A plate produced by nonmetallic material of pulverized waste
printed circuit boards. Environ. Sci. Technol. 42(14), 5267 (2008)
W. Hall, P. Williams, Separation and recovery of materials from scrap printed circuit boards.
Resour. Conserv. Recycl. 51(3), 691 (2007)
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HKPC, Development of a re-circulate copper etching system to enhance the precision of the HDI
PCB manufacturing. J. HKPCA 25, 16 (2007)
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electrical and electronic equipment, RMIT report to the Ministry for the Environment,
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technologies and treatment status in China. J. Hazard. Mater. 164, 199 (2009)
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printed circuit boards. Tsinghua Sci. Technol. 23(3), 276–283 (2007)
T. Oshi, K. Koyama, S. Alam, M. Tanka, J. Lee, Recovery of high purity copper cathode from
printed circuit boards using ammoniacal sulfate or chloride solutions. Hydrometallurgy 89, 82
(2007)
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F. Permadi, J. Castro, Development of an environmentally friendly solventless process for
electronic prepergs. J. Appl. Polym. Sci. 91, 1136 (2004)
Underwriters Laboratories, Standard for safety of flammability of plastic materials for parts in
devices and appliances testing, UL 94, V0 (1996)
Eco-Packaging Development: Integrated
Design Approaches 20
Fabio Giudice
Abstract
The opportuneness of reinforcing strategies for the quantitative reduction and
reuse of packaging, which in general terms is the most efficient for environmental
protection, requires an intervention which begins at the phases of conception and
design of the packaging, and necessitates the reasoned and effective management
of an ever broader spectrum of design requisites.
Hence it is necessary to operate following integrated design processes which
take into consideration all the stages of the entire life cycle of the packaging,
from manufacture to disposal, balancing a wide range of factors and including all
the environmental aspects, beyond the direct competencies of the various actors
involved in this life cycle (packaging manufacturer, packer, logistics manager,
consumer, designated disposer). In this way the most effective environmental
strategies with which it is possible to intervene (quantitative reduction, reuse,
recovery) can be directly linked to design choices, and thus translated into
true and proper design strategies. Such strategies, operating on the variables
associated with the physical dimensions of the package (system architecture,
materials, shape and significant geometric parameters of components), allow the
pursuit of the desired environmental requisites to be incorporated into design
practice.
An effective management of the requisites for the eco-sustainable design
of packaging becomes therefore a key factor for a successful development of
design solution, and must allow to make choices which implicitly take into
account the various factors in play and the potential conflicts between them.
F. Giudice
Department of Industrial and Mechanical Engineering, University of Catania, Catania, Italy
e-mail: fgiudice@diim.unict.it

DOI 10.1007/978-1-4020-8939-8 27,
324 F. Giudice
This chapter proposes a methodological statement which involves:

– Integrating conventional requisites (associated with the primary functions
of protection, containment, handling, and transport) with environmental
requisites, in the development of tools and metrics guiding the designer in
choices on design variables
– Extending the concept of environmental impact of packaging (which is most
commonly limited to the quantity of waste generated and the effects resulting
from the use of polluting or toxic substances)
– Analyzing the consequences that design choices have on the environmental
impact of the packaging over its entire life cycle, as well as its economic
sustainability and functional efficiency
Having developed these premises, this chapter proposes two different, but
complementary, approaches for an integrated design which interpret the exigen-
cies noted above. The first one consists in an integrated approach to the optimal
choice of materials, allowing the management of the main design parameters
(materials, significant geometric parameters), taking into account the various
typologies of requisites: functional (weight-bulk efficiency of the package),
economic, environmental (quantitative reduction, containment of some factors
of impact).
This first approach, which has some intrinsic limitations, can be comple-
mented by a second more complete approach. Integrating the techniques of Life
Cycle Assessment in the packaging design, this second approach consists in the
design of packaging life cycle, as it allows to take into account, in an organic
manner, the diverse environmental implications deriving from design choices,
with regards to all the processes constituting the package life cycle.
Finally, examples of their application are presented, illustrating the use and
highlighting the potential of the tools proposed.
1 Introduction
In recent years the problem of waste production has become ever more pressing,
assuming particular importance in developed and developing countries. Although it
is difficult to quantify the problem on a global scale due to differences in the way
waste is defined and identified, reference can be made to estimate which, however
approximate, are indicative of the dimensions of the problem, such as that of four
billion tonnes of refuse produced in the single year 2001 by OECD (Organization
for Economic Co-operation and Development) member states (OECD 2006).
Actions directed at returning value to materials discarded and dumped, such as
separate waste collection and recycling, can play an indisputably strategic role in
meeting the waste emergency. More radical interventions must however concern the
very system of consumption, which needs to be rethought and adapted to environ-
mental demands if the much hoped-for condition of sustainability is to be attained.
In this context, the use and management of packaging plays a fundamental role
given the high percentage of packaging in the total quantity of refuse. According to
20 Eco-Packaging Development: Integrated Design Approaches 325
Fig. 20.1 Distribution of the production of packaging waste in the EU15 countries, in kg per
capita, year 2007 (Source: EEA 2010)
an approximate assessment, in industrialized countries about one third of the flow

of solid waste not derived from industrial activity is attributable to packaging. With
regard to the EU15 countries, the latest assessment available, referring to 2007,
shows the generation of waste from packaging distributed as reported in Fig. 20.1,
with a mean value of 186 kg per capita and peaks over 200 kg in France, Ireland,
Italy, Luxembourg, and Holland (EEA 2010).
Diverse aspects of the environmental problem associated with packaging have
been analyzed and studied in depth for some years (Selke 1994; Levy 2000;
Jedlicka 2009). Its considerable impact in all the socioeconomic systems based
on the production and sale of consumer goods has led more than 30 countries in
the world to adopt legislative instruments expressly conceived to regulate the use
of packaging and manage the resulting waste. Each jurisdiction has implemented
various modes of intervention policies and programs, differing in the degree
of responsibility attributed to the various actors involved in the production and
management of waste, and in the financial mechanisms adopted to sustain and
promote such programs. The regulatory framework adopted in Europe, beginning
with the directive 94/62/EC on packaging and packaging waste, and reinforced by
326 F. Giudice
successive directives 2004/12/EC and 2005/20/EC and regulations 1882/2003 and

219/2009, has become a reference model (EC 1994).
Originally having the objective of harmonizing national measures for the man-
agement of packaging and packaging waste, the directive addresses all the products
used to contain and protect goods of any kind (from raw materials to finished prod-
ucts) and allow their handling and transport, promoting the following intervention
measures:
– Prevent the generation of packaging waste.
– Promote the reuse of packaging.
– Encourage the recycling of materials and other forms of waste recovery, includ-
ing among the recovery interventions all those defined in the directive 75/422/EC,
such as the recovery of energy and organic recycling (composting and other
biological transformation processes).
Although the regulatory framework is based on the premise that the best way
to prevent the creation of packaging waste is preventive, i.e., the reduction of
the overall quantity put into consumption, and that therefore the management
of packaging should prioritize its quantitative reduction and reuse, the specific
objectives to be attained within set time limits were fixed exclusively with regard
to the percentages in weight of materials to be recovered and recycled. As a
direct consequence, the drive for an eco-sustainable management of packaging
concentrated on the aspect of post-consumption recovery, thereby neglecting the
preventive aspect and potentially hampering it if the choices made in order to
favor recycling and other forms of recovery act to the detriment of the quantitative
reduction of packaging and its potential for reuse.
This effect can be deduced from the data on the quantity of packaging waste
produced and the modes of its treatment in the EU15 countries over the period
1997–2007 (EEA 2010). In the face of an increased percentage of waste treated
through recycling and energy recovery, and of a consistent reduction (from 48%
to 26% in 10 years) in the fraction dumped (Fig. 20.2a), there is a trend showing
substantial increase in the production per capita of packaging waste in almost all the
EU15 countries, excepting Austria and France (Fig. 20.2b). This distortion resulting
from the European regulations evidences the need to operate more effectively on
the preventive aspect through policies directed at extending the responsibility of
the producer and internalizing the environmental costs. Only policies of this nature
can obligate the producers of both packaging and consumer goods to organize the
product-packaging system in the most efficient way, no longer solely in functional
and economic terms, but also tackling environmental issues.
The design of packaging thus assumes a key role in confronting the problem
of its associated environmental impact. Only through an intervention originating
in the phases of conception and development of the packaging, the phases where
a reasoned and efficient management of an ever broader spectrum of design
requirements is possible, can strategies of quantitative reduction and reuse, the most
efficient for environmental protection, be pursued in an effective manner.
In order for environmental sustainability to become to all intents a requi-
site which need be considered on a par with other conventional requisites, the
a %
100
90
26%
80
48%
70
14%
60
50 6%
40
30 60%
46%
20
10
0
1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Recycling Energy recovery Disposal
b 300
250
200
150
100
50
0
Fi rk
Po nds
G ny
D ium
Fr d
Ire e
nd
m ly
Sw ain
15
Sp l
en
Be stria
he urg
m
er e
ga
an
ec
G nc
xe Ita
a
do
a
la
EU
ed
rtu
m
N bo
m
rla
lg
re
nl
a
Au
ng
en
Ki
et
d
Lu
te
ni
U
1997–2003 2004 2005 2006 2007
Fig. 20.2 Packaging waste in the EU15 countries over the period 1997–2007: (a) Percentage trend
of treatments; (b) Quantitative trend of packaging waste, in kg per capita annually (Source: EEA
2010)
328 F. Giudice
traditional approach to the design of packaging must be widened, introducing new

methodological and analytical tools. Implementing the techniques for assessing the
environment impact of the life cycle (Life Cycle Assessment – LCA), such tools can
aid the designer in an intervention able to
– Deal with environmental aspects in the most effective and complete way possible,
extending the analysis to the entire life cycle of the packaging.
– Be proactive, not limited to arranging corrective interventions, but operating in
a way that develops an eco-sustainable packaging from the very first design
phases, while maintaining the functional standards required of it.
2 Product-Packaging System
The arrangement of packaging for a product, with the aim of containing and protect-
ing it in the phases of transport, distribution, and sale, has become a true and proper
science which makes use of various disciplines such as physics, chemistry, mechan-
ical design, logistics, and marketing combined in what is now known as package
engineering (Hanlon et al. 1998), a specific branch of engineering arising over the
last decade which considers diverse aspects of packaging, from design and technol-
ogy to the materials used (Brody and Marsh 1997; McKinlay 1999; Soroka 2002).
A product cannot be developed without taking into account the need for its
containment and transport, and therefore the packaging which will contain it, since
all the design activities directed at guaranteeing its performance and quality could be
defeated by the damage incurred during the phases of the product’s life cycle from
production to sale, including those of handling, warehousing, and transport. On the
other hand, packaging cannot be developed except in correlation to the product it
contains, given that it must in fact perform the role of interface between the product
and the external environment from when the product is packaged, immediately after
production, until when it is used, immediately after sale. Over this time span, the
life cycle of the product and that of the packaging overlap (Fig. 20.3) and constitute
a single product-packaging system.
2.1 Definition and Classification of Packaging
In general terms, packaging is intended as a system provided to contain, protect, and

preserve goods, from raw materials to processed goods, and to provide information
about them in a manner which allows their transport, warehousing, distribution, and
sale, accompanying the goods until their final use (Soroka 2002). The variety of
consumer goods to be packaged is reflected in the variety of packaging typologies.
Defined on the basis of the level of interaction with the product, it is possible to
distinguish three main classes (Fig. 20.3):
– Primary packaging (unit package), in direct contact with the product, constitutes
the single unit of sale for the final user.
– Secondary packaging (multiunit package) consists of the grouping together of
a certain number of sale units; it can be removed without risk of altering the
WASTE
PRODUCT DISPOSAL
LIFE CYCLE
PACKAGING RECOVERY
RAW
LIFE CYCLE
MATERIALS
MATERIALS
PRODUCT PRODUCT
PROCESSING
RECYCLING
PACKING USE END-OF-LIFE
FINISHED
MATERIAL
MATERIALS
MANUFACTURE
REUSE
PACKAGE PRODUCT
PRODUCT
PACKAGE USE
MANUFACTURE
REUSE
PRIMARY
PACKAGING
SECONDARY
OR TERTIARY
PACKAGING
20 Eco-Packaging Development: Integrated Design Approaches
PACKING USE
TERTIARY
PACKAGING
TRANSPORT
Fig. 20.3 Life cycle of packaging and of the product-packaging system

329
330 F. Giudice
characteristics of the product and can also become a (multiple) unit of sale, or be
used for stocking shelves at the point of sale.
– Tertiary packaging (transport package), created for the handling and transport of
sales units or multiunit packages, also includes the so-called unit load, consisting
of assemblages which facilitate transport in large quantities.
Depending on the product typology, the packaging levels described are not
always present, or clearly distinguishable one from the other.
2.2 Packaging Functions and Potential Risks
During the phases of its life cycle where it is united with the product, packaging
must play the role of interface between the product and the external environment.
The functionalities required vary according to the life cycle phases that the
packaging and product share. Starting from this premise, a generic packaging must
provide and further the following principal functions:
– Containment
– Protection and preservation
– Handling and transport
– Information and identification
– Promotion and market appeal
– Usability
While the first are common functions to any typology of packaging, the functions
of promotion and usability (ease of packing, of opening, and, if necessary, of closing
again, ease of extracting the product contained) are typical of packaging in close
contact with the product, i.e., primary, or at most secondary, packaging.
In most cases, the functions of containment, protection, and handling predom-
inate over the others and the packaging is commonly called protective packaging.
The functions required of it are strictly correlated to the interaction of the pack-
aging both with the product contained and with the external environment. These
interactions are manifested in terms of stresses to which the packaging is subjected,
where stress is understood in a generalized sense, i.e., extended to include all the
phenomena which can cause variations in the state of the packaging and/or the
product.
In the case of stresses deriving from inside the packaging, which must be met by
its function of containment, the shape, volume, weight, and nature of the product
to be contained are decisive and can result in various types of stresses on the
packaging (not only mechanical, but also physical–chemical stresses, depending on
the typology of the product).
The stresses coming from outside the packaging, which must be met by its func-
tions of product protection and preservation, derive from the external environment
and include all the phenomena that can determine alterations to the state of the
product:
– Mechanical stresses (loads, impacts, vibrations, and abrasions)
– Biological contaminants (bacterial attacks, infestations)
– Environmental conditions (pressure, temperature, humidity, chemical agents)

The diversification of the functions of containment and protection depends on
the various phases of the life cycle shared by packaging and product (Fig. 20.3),
to which correspond different typologies of potential risks (represented by the
stresses introduced above in a generalized sense, both internal and external) which
can produce various types of damage to the entire product-packaging system
(Table 20.1). Risks such as collisions (impacts and falls), vibrations (periodic or
random), crushing (distributed or concentrated forces), and abrasions are among the
risks of a mechanical nature. These are correlated with the functions of protection,
in some cases with usability, and, in the case of the risks of internal stresses on the
packaging, also with that of containment. The risks due to environmental conditions
(pressure, temperature, humidity, oxidation, corrosion), to contaminating agents
(attack by insects, bacteria, or fungi), and to atmospheric agents (rain, exposure
to sunlight) belong to the categories of physical–chemical–biological risks.
3 Packaging Design
The design of packaging for a product has the strategic role of combining product
particularities and manufacturing requisites with the necessities related to logistics,
and in some cases to the marketing of the product itself and its perception on the part
of consumer. In order for this role to be fulfilled effectively, the packaging must be
designed taking into account a wide range of requisites which are clearly ascribable
to the analysis proposed above regarding the primary functionalities packaging must
guarantee. For example, the function of containment and protection corresponds
to requisites of structural resistance, capacity to absorb impacts and vibrations,
resistance to a range of temperatures, and stability of the materials under the
environmental conditions anticipated. To obtain such requisites, the designer must
operate on the fundamental design variables: materials, shapes and dimensions, and
the packaging structure.
As well as these requirements, at the root of packaging design there is that which
can perhaps be considered as the base requisite, apart from inexpensiveness: to
limit the weights and volumes of the packaging per volume contained. This last
parameter, volume contained, can be understood as the functional unit of packaging.
3.1 Requisites Specification
As in any other design experience, the key phase of the design development is the
specification of the requisites. It will guide all the subsequent phases, and must
therefore be operated with particular care. In the case of packaging, which as
discussed above involves particularly diversified necessities, the specification must
be undertaken in an equally diversified manner in order to avoid the predominance of
technical requisites, which are generally translated into restrictive constraints, with
the effect of limiting the domain of possible solutions too early in the development
332 F. Giudice
Table 20.1 Correspondence between phases of product-packaging life cycle, packaging func-
tions, potential risks, and damage (where not specified, damage refers to both packaging and
product)
Phase Function Risks Damage
Packing Usability Impacts and falls Breakage and deformation of product
Containment Internal stresses Breakage and deformation of
packaging
Handling Containment Internal stresses Breakage, deformation, wear of
packaging
Physical–chemical Variation in performance of
attacks packaging
Protection Vibrations Breakage and wear
Impacts and falls Breakage and deformation
Abrasions Variation in quality/performance
Warehousing Containment Physical–chemical Variation in performance of
attacks packaging
Protection Crushing Breakage and deformation
Preservation/ Environmental Variation in quality/performance of
isolation conditions product
Contamination
Transport Containment Internal stresses Breakage, deformation, wear of
packaging
Physical–chemical Variation in performance of
attacks packaging
Protection Vibrations Breakage and wear
Impacts and falls Breakage and deformation
Crushing
Preservation/ Environmental Variation in quality/performance of
isolation conditions product
Contamination
Atmospheric agents
Sale Containment Internal stresses Breakage and deformation of
packaging
Protection Impacts and falls Breakage and deformation
Use Usability Impacts and falls Breakage and deformation
of the design. An effective way of diversifying the specification of requisites in

order to manage its varied level of restriction is to distinguish between the following
(Lutters and Klooster 2008):
– Stated purpose specifications, the set of all the requisites ensuing from standards
or norms, imposed by the supply chain, by the market, or at the institutional level,
which must be respected in that they are non-negotiable
– Technical specifications, ineluctable technical requisites of packaging, strictly
correlated to the properties of the product it will contain
– Functional specifications, the group of requisites which interpret expectations

regarding the behavior of the packaging in the different phases it must undergo,
with respect to all the primary functionalities demanded of it
– Scenario-based specifications, requisites deriving from the interaction (mechan-
ical and physical–chemical stresses) between the product-packaging system and
the external environment
The specifications included in the last three points are correlated to all the phases
of the life cycle that packaging shares with the product (the phases of packing,
transport, and use shown in Fig. 20.3 and further clarified in Table 20.1), and are
directly ascribable to the functions summarized in Table 20.1, and to the correlated
risks. The specifications envisaged in the last two points are usually closely
interlinked, and often coincide, since the interaction between the product-packaging
system and the external environment is induced by the functionalities of packaging,
and takes place in ways which depend precisely on these functionalities. However,
distinguishing between these two specification typologies makes it possible to
evidence those requisites necessary to guarantee functionality when such requisites
are independent of the external environment (e.g., the case of packaging properties
which can favor its usability).
The specification of the requisites is translated into the definition of the objectives
and constraints of the design problem.
3.2 Data Analysis
So described, the specification phase requires a very wide array of information re-
garding five principal subjects: product, packaging life cycle, normative framework,
external environment, and materials.
As shown in Fig. 20.4, from the analysis of product properties and from the
planning of the packaging life cycle (which includes the life cycle of the product-
packaging system) there ensue, respectively, technical and functional specifications.
The particularities of the product and of the packaging life cycle determine
the reference framework of norms and the external environment with which the
product-packaging system must interact. From these there ensue, respectively, stated
purpose and scenario-based specifications. The set of information required must be
completed by data on the materials which can be utilized to produce the packaging,
derived from their characterization.
3.2.1 Analysis of Product

The analysis of the product must provide for the following steps:
– Identify the type of product and its geometric and physical–chemical character-
istics (dimensions, shapes, weights, materials, etc.).
– Identify the various components and attribute to each the corresponding geomet-
ric and physical–chemical characteristics.
– Evaluate the potential risks for each component (sensitivity of each component
to any possible generalized stresses).
334 F. Giudice
Fig. 20.4 Packaging design: reference scheme
– For each potential risks to which the component is susceptible, determine the
resistance of the component (i.e., the limit stress value beyond which damage
phenomena may arise).
– Determine the economic value of the product and components.
The potential risks (Table 20.1) to which the product and its components can be
sensitive are functions of the product typology. Each risk to which a component is
susceptible must be associated with a characteristic index, which is utilizable as a
metric to evaluate the magnitude of the stress acting on it and its resistance.
Determining the economic value of the object is important because a product (or
component) of high value requires highly efficient packaging (packaging efficiency
is commonly expressed as the ratio between the number of products that are
anticipated to be integral at the end-of-life of the packaging and the total number
of products packed).
At the end of the product analysis procedure the product components can be
subdivided into classes of risk, resistance, and value. This will allow the designer,
in subsequent phases, to specify the packaging requisites in a more reasoned manner
and to choose the most effective solution.
3.2.2 Planning of Packaging Life Cycle

The product-packaging life cycle must be preliminarily planned in all its details,
in order to define the changes in the external environment, the variation of which
modifies the potential risks. The life cycle represented in Fig. 20.3, and detailed in
Table 20.1 (packing, handling, warehousing, transport, sale, use) can be taken as
a reference. The life cycle planning also covers a strategic role with regard to the
aspect associated with environmental protection. To take the latter into account, the
planning and analysis of the packaging life cycle must be extended to also include
the phases of production and post-use. In particular, the interventions at end-of-life
most effective for environmental protection (reuse of the packaging, recycling of the
materials), which are also represented in Fig. 20.3, are particularly relevant to the
analysis of the resistance of the product-packaging system with respect to external
stresses (and, similarly, of its resistance with respect to internal stresses), because
of the potential deterioration in performance resulting from recovery processes of
this type.
3.2.3 Definition of Normative Framework

Defining the product typology (electronic, mechanical, pharmaceutical, foodstuff,
etc.) which will be packaged is crucial for the identification of the normative
framework of reference. In general terms, this is, predictably, extremely vast and
diversified, not only in commodity typologies, but also in national contexts. This
complexity is confirmed by the considerable effort made to standardize the packag-
ing sector, as witnessed by the fact that all the principal international standardization
bodies (ASTM, ISO, CEN) have set up specific technical commissions to address
this aspect, with the aim of outlining standardized schemes for the preparation of
packaging.
The regulatory prescriptions and restrictions regarding environmental protection,
as noted above, greatly depend on the national regulatory framework in which the
designer operates. In this sense, the initiative of the European Union, which is
here adopted as reference, is precisely directed at widening the horizon, defining
a transnational normative framework.
3.2.4 Analysis of External Environment

Considering the function of protection, packaging interacts with the external
environment (theoretically the whole environment outside the package) over all that
part of its life cycle it shares with the product, increasing the capacity of the latter to
resist stresses. The phase of external environment analysis is therefore fundamental
and includes the following:
– Identification of the potential risks (Table 20.1) resulting from the external
environment in the various phases of the product-packaging life cycle (e.g.,
accidental impact, overheating).
– The quantification of the magnitude (or severity) of the stresses which the
external environment can exert on the product-packaging system (e.g., im-
pact energy, temperature range); this quantification must be undertaken us-
ing the same metrics utilized to determine the damage limits of the ob-
ject (e.g., its resistance to impact, its maximum service and/or conservation
temperature).
336 F. Giudice
In this way it is possible to evaluate the safety factor of each sensitive product
component, i.e., the ratio between its resistance and the stress to which it is
subjected.
3.3 Design Development and Optimal Choices
The data analysis described above is decisive both for guiding the design devel-
opment, through the detailed definition of the specifications, and in the evaluation
phase, i.e., of assessing the degree to which the solutions developed meet these
specifications. Focusing attention on the primary function of protection, in general
terms packaging is necessary when the condition represented in Fig. 20.5 occurs,
i.e., when the capacity of the product to resist external stresses is lower than the
level of these stresses (the safety factor is lower than 1). Packaging, united with
the product in the product-packaging system, makes it possible to increase the
capacity of resistance. In this sense, the optimal condition of product-packaging
integration is represented by solution (1). Solution (2) is ineffective because it
leaves the product subjected to the risk of damage. Condition (3) is instead
inefficient because the packaging is excessive with respect to the real risk. These
Fig. 20.5 Packaging design: conditions of efficiency with respect to stresses from the external
environment
three conditions represent different outcomes when designing packaging for a

preexisting product. Each solution is defined by the structure, critical thicknesses,
and materials constituting the components of the packaging. Instead, solution (4)
envisages achieving the optimal condition through the development of the product-
packaging system, thereby including possible product redesign. The ineffectiveness
of solution (2) can thus be remedied by increasing the level of resistance of the
product and leaving unchanged that of the packaging. The resistance of the product
with respect to a generalized stress is in fact strictly dependent on the properties of
its components (dimensions, shapes, and materials), and on the product architecture
itself, which in the case of integrated product-packaging design can become design
variables.
The verification of the potential solutions developed is based above all on the
assessment of the safety factors defined above, extending the assessment of the
resistance properties of the product to the product-packaging system, in order to
quantify the protective efficiency of the prepared packaging. The outcome of the
verification can require two typologies of improvement intervention (Fig. 20.4).
In the case where the objective of the design is the development of a solution in
relation to a predefined product which cannot be modified, a negative outcome
from testing requires an intervention on the packaging design variables. In the case
where it is also possible to envisage an intervention of product redesign, a negative
outcome from the verification of the potential solutions can also (or only) lead to an
intervention of product redesign.
The consequence of this evaluation phase, and of any improvement interventions
deriving from it, is a set of effective solutions, which can be wide or narrow
depending on the strictness of the design constraints and on the margins of choice
within which the designer can operate.
The identification of the optimal solution from among the effective solutions will
finally depend on the way in which the designer seeks to harmonize the various
design objectives, best managing any possible conflicts.
4 Design of Eco-sustainable Packaging
To reinforce the strategies of quantitative reduction and reuse of packaging, which

in principle are the most efficient for environmental protection, it is necessary
to intervene beginning at the design stage. To do this, it is necessary to take
into consideration all the phases of the packaging life cycle (Fig. 20.3), from
production to end-of-life, harmonizing a wide range of factors and including all the
environmental aspects, going beyond the direct competences of the various actors
involved in the life cycle (manufacturer of the packaging, packer, logistics manager,
consumer, person in charge of collection). The only route possible to avoid reducing
the problem of the environmental impact of packaging to the waste generated at
end-of-life is by extending the perspective to include all the activities involved,
from production to disposal. These activities generate the flow of materials, energy
338 F. Giudice
resources, emissions, and refuse whereby the life cycle, in its entirety, interacts with
the environment, determining its environmental impact.
By structuring packaging design in the appropriate manner, the environmental
strategies operated to contain its environmental impact over the various phases, its
entire life cycle can be directly linked to design choices, translated into true and
proper design strategies, which, operating on the variables relating to the physical
dimension of the packaging (system architecture, materials, shapes, and geometric
parameters of components), make it possible to pursue environmental requisites
(Giudice et al. 2006). In this sense, the phase of life cycle planning, already
present in traditional packaging design procedure (Fig. 20.4), assumes a strategic
role. In this phase, in fact, it is possible to extend the functional specifications,
complementing the set of requisites which interpret the expected conventional
behavior of packaging throughout the various phases of its use, with environmental
requisites, i.e., integrating requisites which interpret the expected environmental
behavior of the packaging over its entire life cycle.
The characterization of materials also assumes an important role in a design
intervention directed at introducing requisites of environmental protection. In this
case, the traditional characterization must be extended to include what can be called
environmental characterization, the aim of which is to define and assess the material
properties which determine not only its direct impact on the environment but also
its behavior with regard to strategies of environmental protection, e.g., reuse and
recycling.
Ultimately, for an effective design, all the environmental data and requisites must
be the subject of preliminary investigation, and placed in relation to those associated
with the primary functionalities described above, allowing the rational management
of a very wide spectrum of requisites during the design intervention. In all cases, the
process of development must take into account the fact that, above and beyond the
efficiency of the design, truly practicable strategies of packaging reduction and reuse
require radical changes in the patterns of production, consumption, and distribution.
4.1 Environmental Strategies and Requisites
In general terms, the strategies to be followed in order to improve the environmental

sustainability of packaging can be divided into two principal typologies:
– Those operating on the processes of packaging production and management of
packaging life cycle
– Those operating on the packaging itself, understood as a separate product, and
potential subject of a design intervention dedicated to it
The first case deals with expedients and interventions directed at optimizing
the phases of production (procurement of raw materials, manufacture, labeling,
packing), use (optimization of logistics and of quantity of goods per transport unit,
and optimal planning of handling and transport), and end-of-life (optimization of
the collection, separation, recovery, and recycling of waste).
The second case, that taken into consideration here, concerns strategies of
quantitative reduction in the production phase, and those of reuse and recovery in
the end-of-life phase (Fig. 20.3). In the design development, these strategies must
be translated into the most effective choices favoring their realization.
Quantitative reduction, which clearly results in both environmental benefits and,
more generally, benefits in performance, depends on the efficiency of the packaging
in terms of the ratio of packaging weight/volume contained, or of the ratio of overall
size/volume contained. This requisite of efficiency can be attained by operating an
optimal choice of materials, shapes and dimensions, and structure.
The reuse of packaging depends on the stability of its physical–mechanical
properties over time. Also in this case, therefore, the designer must operate in terms
of the choice of materials, shapes and dimensions, and structure, but also provide
for the necessity of guaranteeing the separation of the integral packaging from the
contents, and thus anticipate reversible packing and use.
Recovery, with particular reference to the recycling of materials, depends on
the intrinsic properties of the material, its suitability for recycling, and on the
technology underlying the recycling process. It is conditioned by the choices the
designer operates on the materials and on the structure of the packaging-system,
which must facilitate the identification and separation of these materials.
The environmental benefits (and economic sustainability) of the interventions
of reuse and recovery depend on the impacts of the collection, separation and
classification processes, and on the efficiency of the reverse logistics.
4.2 Management of Conflicts and Design Statement
When the design problem includes such a wide and diverse range of requisites,
their management becomes the key factor for success in the design development.
This is all the more true if diverse requisites depend on shared design parameters,
a condition which frequently occurs and which usually gives rise to conflict.
This is the case under examination, where the various requisites which interpret
environmental strategies refer to all the principal design parameters and must
be harmonized not only with each other, but also with the requisites associated
with the conventional functionalities of packaging. This harmonization requires a
rational management of the various requisites and an integrated approach to design
development, in order to overcome conflicts which can already arise between the
environmental requisites alone. A design solution which limits the volume of the
packaging will satisfy requisites referring to quantitative reduction, but can also
result in shortening the useful life of the packaging, entering into conflict with
the possibility of its reuse; for their part, design choices directed at increasing the
useful life of packaging, favoring its reuse, can lead to the utilization of materials
unsuitable for recycling, entering into conflict with the need to guarantee preset
recovery quotas; in turn, the choice of using recycled materials can necessitate an
increase in the packaging volumes, due to the usually poorer performance of such
materials, entering into conflict with the principle of quantitative reduction.
340 F. Giudice
A design intervention which effectively manages the requisites for eco-sustainable

packaging must then allow the designer to operate choices which implicitly take
into account the various aspects in play, and the potential conflicts. This requires a
methodological statement which envisages:
– The integration of the requisites linked to the primary functionalities (contain-
ment, protection, handling) with environmental requisites, through the develop-
ment of suitable tools and metrics which guide the designer in the choices to be
made on design variables
– A complete approach to the packaging life cycle, and the extension of the concept
of environmental impact, ascribable to all the effects on the ecosphere of each
phase of the life cycle, from the impoverishment of resources to phenomena of
changes in environmental systems
– An accurate analysis of the consequences that design choices have on the
environmental impact of packaging over its entire life cycle (as well as on its
functional efficiency and inexpensiveness)
Only in this way is it possible to operate choices which result in an overall
environmental benefit, guaranteeing the primary functionalities and economic
sustainability.
5 Integrated Design Techniques
To illustrate the general overview considered above, it is worth presenting two

different but complementary approaches to integrated design for the purposes
of developing packaging which has a well-defined, and as limited as possible,
environmental impact. The two different approaches are: (1) integrated approach
to the optimal choice of materials and (2) design of packaging life cycle based
on integrating the techniques of Life Cycle Assessment in the packaging design.
Both approaches can serve as an example of how the methodological statement
suggested for tackling the problem of the environmental sustainability of pack-
aging can be translated into design practice in the phases of conception and
development.
5.1 Integrated Approach to the Optimal Choice of Materials
The optimal choice of materials is one of the key factors in design. If structured
in an appropriate manner, it can be operated implicitly taking into account the
most important geometric parameters and seeking to satisfy various typologies of
requisites, treated as objectives or as constraints.
Considering a generic packaging of the most common type, consisting of a
protective element (cushioning) and one of containment and protection (box), as
represented in Fig. 20.6, and focusing on the external container, it is possible to
structure the choice of material taking into account the following requisites:
– Protection of the product held by packaging
– Weight-volume efficiency of packaging
Fig. 20.6 Generic packaging and simplified loading model for analysis of stiffness
– Economic sustainability
– Limited environmental impact
The first two requisites, which are associated with the primary functionality
of packaging (protection of the contents, with the least weight and volume of
packaging itself), can be treated, respectively, as a constraint imposed on the
choice of optimal material and as an objective to achieve. Translating the protective
capacity of the packaging into its stiffness S, this must be such as to counter
deformations due to any forces applied externally, whether accidental or the result of
handling, transport, or warehousing. Applying the structural problem to the loading
scheme on one panel described in the lower part of Fig. 20.6, and considering it as
referring to the packaging surface of the greatest extension (and therefore the most
liable to deformation), the stiffness constraint imposes a maximum limit to bending
at the point where the force is applied. From this it is possible to derive some indices,
called material performance indices (Ashby 2005), which depend exclusively on the
properties of the panel material and which are able to express the efficiency of the
choice of material with respect to the diverse requisites under examination.
Considering as the first requisite that of limiting the volume, it can be translated
into minimizing the packaging thickness t, which on the basis of the stiffness
constraint is linked through a relation of proportionality to the index 1/E1=3 . This
indicates that for equal stiffness and other fixed geometric parameters (w and L
depend on the volume of the product to be packed), the thickness depends on
Young’s modulus E of the material, in the form expressed by the index. Considering
the second requisite to be that of limiting the weight, it can be translated into
minimizing the packaging mass m, which for equal stiffness and other fixed
342 F. Giudice
geometric parameters, depends on the density and Young’s modulus E of the

material, according to a function /E1=3 . Those materials with properties which
minimize the two performance indices 1/E1=3 and /E1=3 therefore allow the
reduction of the thickness and weight of the packaging.
From the second index /E1=3 it is possible to derive another two performance
indices which can guide the designer in the choice of materials with regard to the
other two requisites in play: limited cost and environmental impact. The index
Cm =E1=3 in fact expresses the proportionality factor with which the cost C of
the material required to produce the packaging varies (Cm is the unit cost of the
material), and therefore is a metric of the economic sustainability of the choice of
material. Analogously, the index ECm =E1=3 , again derived from the index of the
minimization of the mass, expresses the proportionality factor with which the energy
cost EC of the material required to produce the packaging varies (ECm is the unit
energy cost of the material). This therefore permits an investigation into the limiting
of a specific aspect of environmental impact that linked to energy consumption.
The choice of this particular impact indicator is very common and is also easily
ascribable to the emission of CO2 associated with the production of the packaging
(Hekkert et al. 2000).
To evidence the effectiveness of this approach to the choice of materials, it is
possible to relate the performance indices to a reference material Mo , obtaining the
metrics t/to , m/mo , C/Co , EC/ECo . They express the variation of thickness, mass,
cost, and energy cost on varying the material, with respect to the reference solution
(denoted by the terms with the subscript o), for equal thickness and fixed geometric
parameters.
The metrics obtained in this way can be used to investigate the various classes of
materials potentially utilizable in producing the packaging. The graph in Fig. 20.7a
classifies various commercially available typologies of aluminum, steel, glass,
plastic, and wood, with respect to the two metrics t/to and m/mo , expression
of the requisites associated with the primary functionality of the packaging,
considering as the reference material Mo stiff packaging cardboard. In this type
of graph, the reference material is clearly placed at the point where the metrics
assume a value of 1. The materials which in virtue of their properties lie in
the lower left quadrant are those allowing a reduction in both thickness and
mass of the packaging compared to the cardboard solution, while guaranteeing
the same stiffness. The other quadrants contain materials which improve one of
the parameters to the detriment of the other, or which if used in the place of
cardboard would result in an increase in both volume and weight in order to
guarantee the same stiffness. Analogously, using the graph in Fig. 20.7b it is
possible to identify the materials which are more efficient than cardboard from
the point of view of both their cost and environmental impact due to their energy
content.
It is clear that wood is the only material which behaves better than cardboard with
respect to the two functional metrics (weight and volume) and the economic and the
environmental metrics also. Aluminum alloy could be a good alternative solution,
but limits the cost only in some of its compositions and in all cases leads to a greater
a
20
10 STEEL GLASS
PE, PC, PP, PS,PVC
5
m / mo
0.5
AL ALLOYS
0.2
PPS, PA, ABS WOOD
0.2 0.5 1 2 5 10 20 50
t / to
b
10000
1000 PC, PVC, PPS, PA, ABS

AL ALLOYS
100
EC / ECo
10 PP, PS, PE
1
STEEL
GLASS
0.1
WOOD
0.01
0.01 0.1 1 10 100 1000 10000 100000
C / Co
Fig. 20.7 Integrated choice of materials: (a) Metrics for primary functionality; (b) Metrics for
economic and environmental sustainability (Graph created using CES Edupack 2006 software)
impact due to its high energy cost. Glass, which according to the analysis of the
metrics proposed could be a valid solution, is not suitable for the type of application
under examination due to its fragility. Of the plastic materials, the most interesting
from the point of view of primary functionality (PPS, PA, ABS) entail high costs and
energy impacts. Finally, the solution in steel could be considered only in the case
where a reduction in thickness is decisive, since with respect to the other metrics it
would be inefficient.
344 F. Giudice
5.2 Design of Packaging Life Cycle
The integrated approach to the choice of materials described above allows the man-
agement of different types of design variables (materials, geometric parameters),
taking account of various typologies of requisites, such as those under consideration.
Even if this approach is effective from the design point of view, it clearly limits the
reach of the environmental investigation given that only the impact resulting from
the production of the material is assessed (Giudice et al. 2005). It can therefore
complement a more complete approach which includes, in an organic manner, the
diverse environmental implications of the packaging, considering all the processes
making up its life cycle in which substances or energy are exchanged with the
ecosphere. For this purpose, it is necessary to turn to specific techniques such as Life
Cycle Assessment (LCA), which consists of an objective procedure for assessing
the consumption of resources and emission of wastes related to a generic industrial
activity, or rather to the entire life cycle of the product of such activity, through
the quantitative determination of all the flows of exchange between the product life
cycle system and the ecosphere, occurring in all the processes of transformation
involved, from the extraction of raw materials to their return into the ecosphere
as waste. Based on standardized procedures (ISO14040 2006), LCA makes use of
tools which in their most evolved form allow the elaboration of the quantities in play
and provide unequivocal impact indicators, e.g., the eco-indicators obtained using
the Eco-indicator 99 method (Goedkoop and Spriensma 2000). In this way it is
possible to
– Associate quantified environmental impacts to materials and processes using
unitary numerical indicators (respectively, for unit weight or volume, and for
unit quantity processed).
– Quantify the environmental impact of the various phases of the life cycle, as
a function of the principal design parameters and of the characteristics of the
processes operated during the different phases of the life cycle.
Through this complete approach to the life cycle and to its environmental
impact, it is possible to evaluate, at the design stage, the consequences which the
principal choices will have on the environmental impact of the packaging during the
main phases of its life and, ultimately, to design the life cycle with the objective
of reducing the overall impact. In general terms, this can be expressed in the
following form:
EILC D EIPROD C .EIUSE / C EIREUSE C EIREC C EIDISP where
– EIPROD D eimat QCeiprss Q0 is the environmental impact of production, with eimat
the eco-indicator of the material, eiprss eco-indicator of the primary process, Q
quantity of material, and Q0 the quantitative parameter on which the impact of the
primary process depends. Thus, EIPROD depends on the materials, the quantities
in play, and the manufacturing processes.
– EIUSE is the environmental impact of use. It is not always definable, and for
this reason is sometimes ignored. In general terms, it can be ascribed to the
environmental impact associated with the consumption of fuel for transport,
linked to theP weight of the packaging itself per volume contained.
– EIREUSE D r .EIPROD / is the environmental impact of reuse. It quantifies
the recovery of impact EIPROD associated with the production of an equal
packaging which would have to substitute it, if it were not reused. The loss
coefficient takes account of the fact that the net impact recovered must be
evaluated subtracting the impact associated with the process of reuse (collection
and any reconditioning necessary). EIREUSE depends therefore on the materials,
on the quantities in play and on the manufacturing processes (as EIPROD /, on
the stability of the packaging performance (duration), which determines the
possibility of reusing it one or more times (r is the number of possible reuses),
and on the efficiency of the reverse logistics processes at end-of-life.
– EIREC D eiric Q C eiinc .1 / Q is the environmental impact of recovery.
The first term quantifies the impact of recycling the fraction Q (where is the
recyclable fraction), and generally is a recovery of impact (the eco-indicator
of recycling material eiric is negative, evidencing the environmental advantage
of recycling). The second term quantifies the impact of recovering the fraction
.1 /Q (where is the fraction which can be processed by incineration, with
consequent energy recovery), and generally also this is a recovery of impact (the
eco-indicator of incineration of material eiinc is again generally negative because
of the environmental benefit of recovering energy). Thus, EIREC depends on the
materials (recyclability and suitability for energy recovery) and on the quantities
in play, as well as on the efficiency of the recovery processes and of the reverse
logistics.
– EIDISP D eidisp .1 / .1 / Q is the environmental impact of disposal. It
quantifies the impact of dumping as waste the fraction .1 /.1 /Q which
cannot be recycled or processed for energy recovery. Also EIDISP depends on
the materials (impact of dumping eidisp , recyclability and suitability for energy
recovery) and on the quantities in play.
Through this type of modeling of the impact over the entire life cycle, the
designer is able to assess the environmental consequences of design choices.
Depending on these choices, the life cycle of the packaging can develop according
to various forms of the general model described by the graph in Fig. 20.8, which
represents the composition of the environmental impact of the life cycle. It describes
the complete case where the design of the packaging allows its reuse (r D 1), the
recycling of materials ( > 0), and energy recovery ( > 0). In this way, as well as
having both types of recovery of impact (from reuse and recovery strategies), there
is a reduction in the impact of disposal due to a reduction in the volumes dumped
as waste. With regard to the environmental benefit of reuse, it can be more or less
important depending on the duration and functional stability of the packaging and
on the efficiency of the process of reuse. In the optimal situation, where reuse is so
efficient that it allows a substantial recovery of the impact of production ( ! 1), it
is theoretically possible that the life cycle provides an overall environmental benefit
(EILC < 0).
346 F. Giudice
Fig. 20.8 General model of packaging life cycle and composition of environmental impacts
Modeling of this kind can support design choices, using the complete approach
to the life cycle and taking account of indicators of overall impact. It also
allows the integration of the requisites associated with primary functionalities with
environmental requisites. This happens because the metrics introduced depend
on the fundamental design variables, on which also depend the metrics used
in the conventional design of packaging directed at guaranteeing the primary
functionalities: the packaging structure, geometric parameters, and materials.
Referring to Table 20.1, the stresses of a mechanical nature to which the packag-
ing is subjected, such as impacts, vibrations, crushing, and abrasions, must be met
by properties of resistance which depend precisely on these design variables. The
properties of resistance to stresses of a physical–chemical–biological nature, due
to environmental conditions, contaminants, and atmospheric agents, also depend on
variables such as the packaging structure and materials, and in some cases also on
thicknesses and critical geometric parameters.
These design variables must therefore respond above all to the necessities
dictated by the primary functionalities. This prefigures a first approach according
to which the materials are chosen and the minimum geometric parameters defined,
therefore determining the minimum quantities of materials able to guarantee the
capacity of resistance required to meet all the stresses to which it is anticipated
the packaging may be subjected over the span of its life cycle. The properties of
the chosen materials and the quantities in play are referenced by all the metrics
introduced above to quantify the environmental impact associated with the diverse
phases of the life cycle, which can then be used to quantify the environmental impact
of the solution with minimal properties.
This approach to the design of packaging with minimal properties can be
effective for translating the environmental strategy of quantitative reduction into
design. In the case where it is decided to follow other strategies, such as the reuse
or recycling of materials, it is instead necessary to employ an approach which is
not strictly sequential. Here the choices regarding design variables must be made
operating by means of all the metrics, both those for primary functionalities and
those for environmental sustainability, simultaneously. Only in this way is it possible
to define efficient solutions. These do not necessarily minimize the quantities in
play, since they can also envisage an increase in the geometric parameters and
volumes with respect to the necessary minima or the use of the materials with better
performance than those strictly necessary to guarantee the primary functionalities,
if this will allow packaging to be reused at end-of-life (which requires an adequate
stability of performance over time), or its constituent materials to be recycled.
Only through this second approach is it possible to operate on a broad domain of
design solutions, in such a way to potentially contemplate the entire spectrum of
environmental strategies that could characterize the development of packaging life
cycle (Fig. 20.8).
As an example, using the modeling proposed in the design of packaging for
mobile telephones (Fig. 20.9), in the simplest case it is possible to compare two
SOLUTION 1 EI [mPt]
10
8
6
EIREC
4
2 EIPROD EILC
0
PRODUCTION END-OF-LIFE
−2
−4
−6 RED REC
SOLUTION 2 EI [mpt]
10
8
EIREUSE
6
EIPROD
4 EIREC
2
EILC
0
PRODUZIONE END-OF-LIFE
−2
−4
−6 RED REUSE REC
Fig. 20.9 Life cycle design for mobile phone packaging

348 F. Giudice
alternative solutions: The first envisages an external casing and internal support
in cardboard, both recyclable; the second has and internal support in plastic (PS),
potentially reusable as well as recyclable. In both cases, the ideal condition of
integral recycling was hypothesized ( D 1), so that EIDISP could be theoretically
neglected. Comparing the balance of the life cycle impact (evaluated using the cited
Eco-indicator 99 method, which allows the assessment of the eco-indicators in mPt,
a fictitious unit of measurement), although the second solution involves an impact
of manufacture more than double that of the first and is therefore less efficient from
the viewpoint of the strategy of reduction, in relation to the entire life cycle it can
be sustainable precisely in virtue of the reuse of the support (with an environmental
benefit estimated at D 0:7). This is therefore the more interesting solution of the
two, also because of its higher quality and greater appeal to the consumer. These
latter aspects make it particularly suitable for products at the higher end of the
market where a possible increase in the cost of packaging can be sustained.
6 Summary
When the problem of the environmental impact of packaging is taken into exami-
nation in a complete manner, not simply reducing it to the generation of solid waste
but extending its reach to consider the environmental impact associated with the
entire life cycle of the packaging system, it is possible to make use of a diversified
set of strategies for environmental protection, from quantitative reduction to reuse
and various forms of recovery of the resources used in the production of packaging,
including the recycling of materials and the recovery of energy. From this viewpoint,
the design intervention assumes a key role given that it only is able to tackle the
environmental problem in a proactive rather than a corrective way, making the
strategies truly applicable in that they are translated into design requisites and
implemented in the development of the solution, thereby operating directly on the
most important design variables in order to achieve the optimal packaging in terms
of these strategies.
It is necessary, therefore, to enrich the traditional design of packaging, introduc-
ing tools which aid the search for an environmentally sustainable solution. New
methodological and analytical instruments emerge which, using techniques for the
assessment of the environmental impact of the life cycle (Life Cycle Assessment)
can aid the designer in an intervention which deals with environmental aspects in the
most efficient and complete way possible, extending the analysis over the entire life
cycle of packaging, and at the same time correlating the environmental requisites
with those associated with its primary functionalities (containment, protection,
handling, and transport).
With these premises, the methodological statement of design tends to enhance
some aspects of the preliminary analysis of the data typical of packaging design,
in particular regarding the phases of life cycle planning and the characterization
of materials. These phases are broadened to include the information necessary to
predetermine the environmental behavior of packaging over its life cycle.
The design intervention outlined in this chapter presents particular features

making it possible to operate choices that implicitly take into account the mul-
tiplicity of aspects in play (functional, economic, and environmental), and the
potential conflicts which can arise. These features can be identified in the integration
of the requisites associated with primary functionalities with those regarding
environmental protection, and in a complete approach to the life cycle of the
packaging and its impact on the ecosphere. Such an integration, achieved through
the development of appropriate metrics able to guide the designer in choices made
on design variables, allows the evaluation of the consequences such choices will
have on the environmental impact associated with the final solution (as well as on
its functional efficiency and economic sustainability). Two examples of approaches
to integrated design for environmental sustainability of packaging offer practical
instruments for the designer, simple but effective and of interesting potential,
confirming the importance of the various key aspects discussed.
7 Cross-References
Design for Sustainability (DfS): Interface of Sustainable Production and

Consumption
Ecodesign Strategies: A Missing Link in Ecodesign
Environmental Quality Function Deployment for Sustainable Products
Life Cycle Simulation for Sustainable Product Service Systems
Reuse of Components and Products: “Qualified as Good as New”
Services
Sustainable Design by Systematic Innovation Tools (TRIZ, CAI, SI, and
Biomimetics)
Sustainable Product Design and Development TPI-Based Idea Generation Method
for Eco-product Development
References
M.F. Ashby, Materials Selection in Mechanical Design, 3rd edn. (Elsevier, Oxford, 2005)
A.L. Brody, K.S. Marsh, The Wiley Encyclopedia of Packaging Technology, 2nd edn. (Wiley,
New York, 1997)
EC, European Parliament and Council Directive 94/62/EC on Packaging and Packaging Waste
(European Commission, Brussel, 1994)
EEA, Generation and recycling of packaging waste – March 2010 assessment (European Environ-
mental Agency, Copenhagen, 2010)
F. Giudice, G. La Rosa, A. Risitano, Mater. Des. 26, 9 (2005)
350 F. Giudice
F. Giudice, G. La Rosa, A. Risitano, Product Design for the Environment: A Life Cycle Approach
(CRC/Taylor & Francis, Boca Raton, 2006)
M. Goedkoop, R. Spriensma, The Eco-indicator 99: methodology report. (Pré Consultants BV,
Amersfoort, The Netherlands, 2000)
J.F. Hanlon, R.J. Kelsey, H.E. Forcinio, Handbook of Package Engineering, 3rd edn. (CRC Press,
Boca Raton, 1998)
M.P. Hekkert, A.J. Joosten, E. Worrell, W.C. Turkenburg, Resour. Conser. Recycl. 29, 33 (2000)
ISO 14040 Environmental management – life cycle assessment – principles and framework.
(International Organization for Standardization, Geneve, 2006)
W. Jedlicka, Packaging Sustainability: Tools, Systems and Strategies for Innovative Package
Design (Wiley, Hoboken, 2009)
G.M. Levy, Packaging, Policy, and the Environment (Aspen Publishers, New York, 2000)
D. Lutters, R. ten Klooster, CIRP Ann. Manuf. Technol. 57, 145 (2008)
A.H. McKinlay, Transport Packaging (CRC Press, Boca Raton, 1999)
OECD, Improving Recycling Markets (Organization for Economic Co-operation and Development
Environment Directorate, Paris, 2006)
S.E.M. Selke, Packaging and the Environment: Alternatives, Trends, and Solutions (CRC Press,
Boca Raton, 1994)
W. Soroka, Fundamentals of Packaging Technology, 3rd edn. (Institute of Packaging Professionals,
Naperville, 2002)
Material Flow Cost Accounting:
Significance and Practical Approach 21
Katsuhiko Kokubu and Hiroshi Tachikawa
Abstract
Manufacturers and other businesses are being placed under increasing pressure to
achieve higher productivity with reduced environmental impacts. Material Flow
Cost Accounting (MFCA), one of the major tools of environmental management
accounting, is considered to be an effective approach to meet such needs.
Being recognized as key approach for sustainability, MFCA was internationally
standardized to be ISO 14051 in September 2011.
MFCA promotes increased transparency of material use practices through
the development of a material flow model that traces and quantifies the flows
and stocks of materials within an organization in physical and monetary units.
This data can be used to seek opportunities to reduce material use and/or
material losses, improve efficient uses of material and energy, and reduce adverse
environmental impacts and associated costs. This chapter explains detailed
steps for MFCA implementation and shows actual case examples. Furthermore,
MFCA’s impact is not limited to a single entity. MFCA can be applied to the
supply chain where material wastage at one organization is occasionally sourced
from suppliers. Impact on supply chain is also described in this chapter.

Kokubu is convenor of the Working Group (WG8) on MFCA at ISO/TC207, and Tachikawa is
expert and assistant secretary.
K. Kokubu ()
Graduate School of Business Administration, Kobe University, Kobe, Japan
e-mail: kokubu@kobe-u.ac.jp
H. Tachikawa
Propharm Japan Co., Ltd., Tokyo, Japan
e-mail: hiroshi.tachikawa@propharm.jp

DOI 10.1007/978-1-4020-8939-8 96,
352 K. Kokubu and H. Tachikawa
1 Introduction
Environmental matters, including material scarcity, climate change, increasingly

stringent environmental regulations, worldwide economic instability (e.g., fluctu-
ations in stock prices), and social issues (e.g., worldwide food shortage), are in
the newspaper headlines more than ever, indicating that effective management of
both environmental and economic matters is becoming a vital issue on the global
scale. In response to this social trend, manufacturers and other businesses are
being placed under increasing pressure to achieve higher productivity with reduced
environmental impacts. Under such circumstance, Material Flow Cost Accounting
(MFCA) is considered to be one of the practical approaches to meet such pressure.
MFCA is one of the major tools of environmental management accounting and
promotes increased transparency of material use practices through the development
of a material flow model that traces and quantifies the flows and stocks of materials
within an organization in physical and monetary units. In particular, MFCA
highlights the equivalent comparison of costs associated with products and costs
associated with material losses, for example, waste, air emissions, wastewater, etc.
In many cases, an organization is unaware of the full extent of the actual cost of
material losses in adequate detail because data on material losses and the associated
costs are often difficult to extract from conventional information, accounting, and
environmental management systems. However, once available through MFCA both
in physical and monetary units, this data can be used to reduce material losses,
improve efficient uses of material and energy, and reduce adverse environmental
impacts and associated costs. In addition, MFCA is applicable to all industries that
use materials and energy, of any type and scale, with or without environmental
management systems in place. MFCA is primarily designed for use within a
single facility or organization. However, the approach can be extended to multiple
organizations within the supply chain, enabling them to develop an integrated
approach for more efficient use of materials and energy. The concept of MFCA
was originally developed in Germany and introduced in Japan around 2000. Since
the Japanese Ministry of Economy, Trade, and Industry has strongly supported the
MFCA dissemination, many Japanese companies have introduced MFCA. MFCA
has also attracted the attention of other countries, including those in Asia and the
Middle East. Parallel to the rapid dissemination of MFCA, the Japanese Industrial
Standards Committee submitted NWIP to ISO/TC207 on MFCA in 2008. Finally,
MFCA (ISO 14051) was internationally standardized in September 2011.
2 General Concept of MFCA
MFCA traces all input materials that flow through production processes and
measures products and material loss (waste) in physical units using the following
equation:
Input = Products + Material loss (waste)
21 Material Flow Cost Accounting: Significance and Practical Approach 353
Electricity
Input Output
Material Factory Product: 70 ton

150 ton
Material loss 80 ton
Fig. 21.1 Concept of Material Flow Cost Accounting (MFCA)
The essential starting point of MFCA is to measure amount of material losses

based on mass balance. The concept is illustrated in Fig. 21.1. In this case, the
amount of the material loss (80 ton) is calculated based on amounts of input and
products (i.e., Material loss = Input Products).
Decision-making in organizations typically involve financial considerations.
MFCA supports this point by calculating monetary value of material losses. In
detail, MFCA supports organizations to recognize material losses as “products,”
even though they are nonmarketable. This indicates that costs for both products and
material losses are calculated in an equivalent manner. To that end, all costs caused
by and/or associated with the material flows entering and leaving a quantity center
must be quantified and assigned or allocated to those material flows.
Under MFCA, the flows and stocks of materials within an organization are traced
and quantified in physical units (e.g., mass, volume) and the costs associated with
those material flows are also evaluated, as shown in Fig. 21.2. Under MFCA, four
types of costs are quantified: material costs, system costs, energy costs, and waste
management costs. Each cost is defined as follows:
• Material cost: cost for a substance that goes through a quantity center. Typically,
the purchase cost is used as material cost.
• Energy cost: cost for energy source such as electricity, fuels, steam, heat,
compressed air.
• System cost: cost incurred in the course of in-house handling of the material
flows, except material cost, energy cost, and waste management cost.
• Waste management cost: cost for handling material losses.
Following identification of material flow data in physical unit, material costs,
energy costs, and system costs are subsequently assigned or allocated to the quantity
center outputs (i.e., products and material losses) based on the proportion of the
Energy cost: $50,000 System cost

Electricity: 10 kW $250,000
Input Output Product: 70 ton

Material Material cost: $520,000
Factory System cost: $175,000
(100 ton)
Energy cost: $35,000
$650,000 --------------------------------
Total $730,000
Material loss: 30 ton

Material cost: $130,000
System cost: $75,000
Energy cost: $15,000
Waste management cost: $50,000
------------------------------------------
Total $270,000
Fig. 21.2 MFCA evaluation in monetary unit
material input that flows into product and material loss. For example, as illustrated
in Fig. 21.2, of the 100 tons of material used, 70 tons flow into product and 30 tons
flow into material loss. Thus, the material distribution percentages of 70% and
30% are used to allocate energy and system costs to the product and material loss,
respectively. In this example, the material distribution percentage based on mass
is used to allocate these costs. On the other hand, all waste management costs of
$50,000 are attributed to material loss since the costs are caused solely by the subject
material loss. In the final analysis, the total cost of material loss in this example is
$270,000. This cost is not separated but included in the cost of the product in the
conventional costing; the subject cost is invisible without MFCA.
This resulting information, the cost of the material loss, can encourage or-
ganizations and managers to reduce the material loss. Through these activities,
simultaneous achievements of financial benefits and control of material losses (i.e.,
more effective resource use) can be achieved.
MFCA can be applied to any types of organization which uses materials and
energy. In other words, MFCA does not demand any specific requirements in
regard to type of products, services, size, structure, and location. A number of case
examples in Japan prove the effectiveness of the approach for multiple scales of
industries. In addition, MFCA can be expanded to multiple organizations belonging
to the supply chain. This will enable the organizations to identify even more
opportunities for material reduction as well as higher energy efficiency. Wider
MFCA scope than that for a single entity is especially helpful because waste
generation in an organization is occasionally derived from materials or specification
of materials provided by a supplier or demanded by customers/consumers. The
MFCA application for supply chain is further depicted in Sect. 5.
3 Practical Approach for MFCA Implementation
MFCA takes a number of implementation steps. The level of detail and complexity
of the analysis will depend on a number of factors, such as the size of the organiza-
tion, nature of the organization’s activities and products, number of processes, and
quantity centers chosen for analysis.
MFCA can be implemented in organizations regardless of implementation of an
environmental management system (EMS); however, the implementation process
is considered to be easier and faster within the context of an existing EMS as
the environmental management-related data typically contains material- and waste-
related data.
Further, MFCA can provide significant information in various stages of the
Plan-Do-Check-Act (PDCA) continual improvement cycle. For example, the use
of MFCA allows the organization to include financial considerations in setting
objectives and targets. The knowledge of potential environmental impacts and
financial impacts can enhance the quality of the evaluation, providing useful
information for organization’s decision-making.
3.1 Step 1: Engaging Management and Necessary In-House

Personnel
Every project needs support from the company management for its successful com-
pletion; MFCA is not an exception. The company management should understand
value and practicability of MFCA in achieving an organization’s environmental
and financial goals. In order to be effectively implemented, management is highly
recommended to take a lead in the MFCA implementation; naming the project; as-
sign roles and responsibilities, including setting up an MFCA task force; providing
resources; monitoring progress; reviewing results; and deciding on improvement
measures based on the MFCA results. In addition, MFCA requires multiple types of
expertise, which can provide the diverse types of information that is required for the
analysis. The following are the typical expertise that is necessary for the successful
implementation of MFCA:
– Operational expertise from design, procurement, and production in relation to the
flow of materials and energy use throughout the target process
– Engineering and/or technical expertise on the material-related implications of
processes, including combustion and other chemical reactions
– Quality control expertise on various issues, such as frequency of product
rejects, causes, and rework activities, maintenance, and other quality assurance
data
– Environmental expertise on environmental aspects and impacts, waste types, and
waste management and other environmental management activities
– Accounting expertise on cost accounting data and practices, for example, cost
data and cost allocation
3.2 Step 2: Understating General Components for MFCA

Implementation
MFCA brings about both environmental and cost-reduction impacts on the orga-
nization. In order to apply MFCA to an organization effectively, implementation
activity should be based on understanding of the fundamental concept of quantity
center and material balance.
3.2.1 Component 1: Quantity Center

A quantity center is typically one or multiple unit process(es). The center is used
for quantification of materials in physical and monetary units. One quantity center
can include single process or multiple processes, which depends on the amount of
the material losses identified at the unit production. Further, the quantity centers
within the MFCA boundary can be based on existing production management
information, cost center records, and other existing information. If the material flows
between two quantity centers cause relevant material losses or system costs, such as
energy for transport, oil, or air pressure leakage, then these flows can determined
as an additional quantity center. Typical examples of quantity centers include points
where materials are stocked and/or transformed, such as storage, production units,
waste management, and shipping/receiving points.
Once the inputs and outputs have been identified for each quantity center, they
can be used to connect the quantity centers within the boundary so that data from
the quantity centers can be linked and evaluated across the entire system within the
scope. It is important that material balance be ensured to fully evaluate material
efficiency in physical and monetary units. Concept of material balance is described
in Sect. 3.2.2.
3.2.2 Component 2: Material Balance

In MFCA, material that goes into the quantity center and that goes out of the
quantity center is balanced Thus, in order to account for all the materials targeted
for the MFCA analysis, the material input and output need to be confirmed for
its balance, comparing the quantities of material inputs to outputs and changes in
inventory to identify any data gaps. The missing materials or other data gaps can
lead organizations to identify
potential missing points which result in sources for improvements.
As an example, Fig. 21.3 shows a general material balance around a quantity
center. In this example, a total of 100 kg of materials (Material A, B, C, D,
and E) enter the operation. Over the time period for analysis, the subject 100 kg
is distributed between product (70 kg) and material loss (30 kg) as illustrated in
Fig. 21.3.
For each quantity center, the amounts of inputs and outputs should be quantified
in physical units. All physical units should be convertible to a single standardized
unit (e.g., mass) so that material balances can be conducted for each quantity center.
It is preferable to use existing on-site basic units for production management.
Input Output
Material A Product (70 kg)
(40kg) Material A (30kg)
Material B (20kg)
Material B Material C (10kg)
(25kg) Material D (7kg)
Material E (3kg)
Material C Operation
(20kg) Material loss (30 kg)
Material A (10kg)
Material D
Material B ( 5kg)
(10kg)
Material C (10kg)
Material D (3kg)
Material E
(5kg) Material E (2kg)
Material Flow
Material balance
Fig. 21.3 Material balance in a quantity center
A material balance requires that the total amount of outputs (i.e., products and
material losses) is equal to the total amount of inputs, taking into account any
inventory changes within the quantity center. Ideally, all materials within the MFCA
boundary should be traced and quantified. However, in reality, materials that have
minimal environmental or financial significance can be excluded.
3.3 Step 3: Defining a Boundary and Establishing a Material

Flow Model
Based on collected material flow data, the MFCA boundary needs to be specified in
order to clearly understand scale for MFCA activity. The boundary can be a single
process, multiple processes, an entire facility, or a supply chain at the discretion of
the organization. However, it is advisable to initially focus on a process or processes
with potentially significant environmental and economic impacts. After specifying
the boundary, a time period for MFCA data collection needs to be specified. The
period for data collection should be sufficiently long to allow meaningful data to be
collected and to consider any significant process variations, for example, seasonal
fluctuations, or inherent process variances that can affect the reliability and usability
of the data. Several historical MFCA projects indicate that the appropriate data
collection period can be a month, a half year, or a year, depending on the analysis.
MFCA boundary
Final
Input Process 1 Process 2 Product
process
Material Material Material Material

loss loss loss loss
Fig. 21.4 Material flow model for a process within the MFCA boundary
In MFCA, production, recycling, and other systems are represented by visual

models that illustrate MFCA boundary and multiple quantity centers where materi-
als are stocked, used, or transformed, as well as the movements of materials between
those quantity centers. An example of a material flow model is provided in Fig. 21.4.
Fig. 21.4 depicts a flow system, providing an overview of an entire process and
identifying the points where material losses occur. Products include both finished
products from the entire system and intermediate products, or material inputs to
other quantity centers. For each quantity center, material balance-based verification
should be conducted to understand material-related efficiency. The material flow
model is not necessarily visualized by computer; the model can be made by paper
and post-it for discussion among project members.
3.4 Step 4: Allocating Cost
Material costs, energy costs, and system costs are assigned or allocated to the
material outputs (i.e., products and material losses) at each quantity center based
on the proportion of the material input that flows into product and material loss.
The material costs for each input and output flow are quantified by multiplying the
physical amount of the material flow by the unit cost of the material over the time
period chosen for the analysis. When quantifying the material costs for the outputs
(i.e., products and material losses), the material costs associated with any changes
in material inventory within the quantity center should also be quantified. As an
example, of the 150 tons of material used, 70 tons flow into product and 80 tons
flow into material loss as illustrated in Fig. 21.1. Thus, the material distribution ratio
of 70/150 to 80/150 is used to allocate energy and system costs to the product and
material loss, respectively. On the other hand, 100% of the waste management costs
are attributed to material loss since the costs are caused solely by this material loss.
In some cases, however, costs such as energy costs, system costs, and waste
management costs are often available only for an entire process or facility. In this
case, it will be necessary to initially allocate these costs to each quantity center,
and subsequently allocate them to products and material losses, in the following
two-step procedure:
1. Allocation of overall (e.g., process-wide, facility-wide) costs to each quantity
center
2. Allocation of costs to products and material losses
During each allocation step, an appropriate allocation criterion should be selected,
which should reflect the main driver for the costs being allocated as closely as
possible. When process-wide or facility-wide costs are being allocated to quantity
centers, appropriate allocation criteria may include machine hours, production
volume, number of employees, labor hours, number of jobs performed, floor space,
etc. For the second step, allocation of costs from a quantity center to products
and material losses, another appropriate allocation criterion should be selected,
for example, the total material distribution percentage and material distribution
percentage of the main material.
3.5 Step 5: Interpreting and Communicating MFCA Results
MFCA brings about multiple impacts by increasing the transparency of material

loss throughout the process using the quantities of materials that do not become
products, as well as overall costs, including energy and system costs, associated with
the material loss. The information will bring opportunities to increase efficiency in
material use and improve business performance.
By making material loss “visible,” MFCA provides organizations with opportu-
nities to identify problems and recognize the necessity for their improvement.
MFCA highlights material losses based on quantities and identifies issues,
recognizing points for improvement. Through MFCA, organizations have a chance
to realize the presence of material loss and the resulting economic loss, which has
been overlooked by conventional cost accounting.
Many organizations indicate that they monitor yield rate associated with the
materials used in the process. However, the general scope of such monitoring only
covers part of materials, processes, or losses in many cases. They often control main
materials without monitoring the amounts of use or loss in auxiliary or operating
materials. On-site operators may be seeing materials getting lost, whereas managers
of the manufacturing, production engineering, and the product design departments
are not aware of such losses. This happens because the organization’s conventional
waste management practices only focus on handling of wastes. In such cases, MFCA
helps organizations to highlight uncontrolled material losses.
Following physical and monetary quantification, the data obtained during the
MFCA analysis is summarized in a format that is suitable for further interpretation,
Table 21.1 Example of a material flow cost matrix for a quantity center
Cost Material (xxx%) Energy (xxx%) System (xxx%) Disposal (xxx%) Total (xxx%)
Product AAAAA DDDDD GGGGG N/A NNNNN
Material BBBBB EEEEE HHHHH LLLLL OOOOO
loss
Total CCCCC FFFFF KKKKK MMMM PPPPP
for example, in a material flow cost matrix. The data should first be summarized for
each quantity center separately. Table 21.1 illustrates a format of the summary of
the MFCA data for a quantity center.
In general, review and interpretation of the summarized data will allow the orga-
nization to identify quantity centers with material losses that are environmentally or
financially significant. These quantity centers can be analyzed in more detail (i.e.,
root cause for sources of material loss). Data from individual quantity centers can
also be aggregated for the entire target process being analyzed.
Once the MFCA analysis is completed, the results should be communicated to
relevant stakeholders. Most MFCA stakeholders will be internal to the organization.
Management can use MFCA information to support many different types of
decisions aimed at improving both environmental and financial performance. Com-
municating the results to the organization’s employees can be useful in explaining
any process or organizational changes that will take place as a result of the MFCA
findings.
3.6 Step 6: Improving Production Practice Through MFCA

Results
Once an MFCA analysis has assisted an organization to better understand the

magnitude, consequences, and drivers of material use and loss, the organization
may review the MFCA data and seek opportunities to improve environmental and
financial performance. The measures taken to achieve these improvements can
include substitution of materials, modification of processes, production lines or
products, and intensified research and development activities related to material
and energy efficiency. MFCA data can support the cost-benefit analysis of proposed
measures, both those requiring additional investment and those requiring little or no
initial investment (e.g., process standardization, process improvement).
Furthermore, it is important to note that MFCA implementation also creates
opportunities for improvements in the organization’s accounting and information
systems. System improvements provide more precise data for all future projects and
avoid some of the manual data collection and analysis that would be required in the
absence of system improvements. Possible system improvements that are discovered
during MFCA implementation must be noted and included in the overall analysis.
An organization may be aware of material losses; however, it may not have
appropriate improvement measures in place. There are a variety of reasons for
not taking improvement actions, such as “This is standard operation,” “This is

the result of past improvement,” and “Capital investment is not likely to be
retrievable.” Recognizing the necessity for improvement is the first step toward
taking improvement measures beyond such excuses (Furukawa 2008).
By applying MFCA, loss costs are identified including processing costs and
those caused by material losses. In many cases, scale of the identified costs is
more significant than previously assumed. At the same time, MFCA presents an
ultimate target for engineers: “the zero material loss cost.” As mentioned above, this
ambitious goal encourages engineers to make a breakthrough, through recognition
of the necessity for improvements. The types of typical losses identified by MFCA
include the following:
1. Occurrence and yield rate of material loss by process
2. Causes for material loss by process (swarf, listing, setup loss, defects, tests, etc.)
3. Procurement cost for material losses (main, auxiliary, and operating materials)
4. Waste treatment cost for material loss
5. Procurement cost for material losses sold to external recycling contractors
6. System cost for material losses (labor, depreciation, fuel, utility and other costs);
7. System cost required to internal recycling of materials
8. Material and system costs for in-stock products, work-in-progress materials, or
materials that were disposed off due to a switch to a newer model or deterioration
of quality, or for stock that has been aging
Many companies manage the first three items listed above, at least for main
materials. Unfortunately, only a few companies control sub or auxiliary materials
on a corporate basis. Auxiliary and operating materials are often managed on a
process or equipment basis, and the quantities of materials input (and lost) for each
model are rarely managed. In some cases, such quantities are managed in the unit
of production lot. The overall waste treatment cost (Item (6)) is generally managed
on a factory basis by waste type. However, few companies identify such cost by
material type, by product model, and process type.
Companies are often unaware of losses associated with recyclable waste as
indicated in Item (5) because such waste is reused as resources and sometimes sold
as valuable material to external recyclers. Items (7)–(8) are difficult to be identified
unless a process-wide MFCA calculation is conducted.
Many companies identify time loss owing to equipment downtime, setup,
and other reasons. Some of them promote improvement activities, such as Total
Productive Maintenance (TPM). Such loss is considered to be a part of the input
cost included in the equipment depreciation cost and should preferably be used in
combination with MFCA (Furukawa 2008).
4 Case Example of MFCA: Nitto Denko Corporation
In this section, a case of MFCA is explained. Nitto Denko Corporation, the first
major company that implements MFCA in Japan, was referred as an example. Nitto
Denko introduced MFCA in 2000 by attending the METI (Ministry of Economy,
Table 21.2 Material flow cost matrix (Furukawa 2008)

Cost Material Energy System Disposal Total
Product 2,499,944 57,354 480,200 N/A 3,037,498
(68.29%) (68.29%) (68.29%) (67.17%)
Material loss 1,160,830 26,632 222,978 74,030 1,484,470
(31.71%) (31.71%) (31.71%) (100%) (32.83%)
Total 3,660,774 83,986 703,178 74,030 4,521,968
(100%) (100%) (100%) (100%) 912pcs
(100%)
Trade and Industry, Japan) project on environmental management accounting. In

the process subject for MFCA analysis, adhesive tapes are manufactured. The
process consists of five activities that are dissolution, batch composition, coating and
heating, cutting, and inspection/packaging. Historically, Nitto Denko developed the
“Daily Transaction Control System” to completely control items and information
from reception of orders to delivery of products. This system is applied for
production control and monthly closing. Material flows (e.g., input, output, and yield
rate) were managed through the main production/control process unit of this system.
Therefore, this system’s control unit was selected and defined as a quantity center
for the purpose of MFCA data collection.
Material losses in each step of the manufacturing process were identified to be
the followings
– Coating and heating process: substrates, separators, and specialized adhesive
– Cutting process: cut ends of the intermediate product
The percentage of the above material losses per initial input materials in monetary
unit was identified to be approximately 32.83% as shown in the flow cost matrix
(Table 21.2). Through accurate costing of the material loss, the organization can
be fully aware of impacts of material losses, which is often greater than was
originally expected. Further, the flow cost matrix helps the company management
understand impact of material losses as the matrix is designed to provide summary
of the information collected based on each quantity center. In other words, detailed
information that constitutes the matrix is useful especially for those who seek
improvement opportunities such as personnel at production and quality control
departments.
Fig. 21.5 is an example of process analysis based on the material flow model. It
is important to understand that the quantity center at which material losses occur
is not always the quantity center that generates material losses. The root cause of
the material losses may lie in the upstream process. In other words, MFCA reveals
source for the material losses based on flow-based thinking. As shown in Fig. 21.5,
the organization can potentially seek the loss source beyond a single-quantity center
through MFCA (①). In this example, study indicates that the source for material
losses at store phase lies in the previous quantity center, coating, and drying (②).
Furthermore, by thoroughly identifying the loss source, MFCA can potentially point
out that the source is external material suppliers (③).
Recovery, Refinement, Deodorizing Furnace
Suppliers
3
Solvent Gases
(100%)
Four of materials Two of materials Gas emissions

(Unit Kg) (Unit Width x Length) Auxiliary materials
-Solvent (1) Backing Films Packaging materials
Two of -Monomer Energy One of material
570mm width
materials (Unit Kg) -Crosslinker A (1) Steam, Thermal Plastic core (Unit Piece)
(2) Separator
Solvent, Polymer -Crosslinker B (2) Electric power Energy Electric power
650mm width
Manufacturing
Materials Division
¥ 104,494.22 ¥ 72,936.90 2 1
Inspection &
Dissolution Batch Blend Coating & Drying Store Slitting Warehouse
Packing
Finished Products (912 rolls)
Two of materials Adhesive Mass Upper quantity Backing film
(Unit Kg) Finished Product
(Unit Kg) center Each size oof product Separator
Solvent, Polymer Adhesive tapes for
(Width x Length)
n Adhesive
Electronics
Plastic core
Application
Packaging materials
Waste Waste Waste Quantity 912 rolls
21 Material Flow Cost Accounting: Significance and Practical Approach
The cause of losses does not

Energy cost ¥ always lie in the quantity
Waste Waste out of Jumbo Roll
(Dissolution, Batch blend, Coating & Drying,
Backingfilm Backing film center where they occurred
Slitting & Inspection and Packaging)
Separator Separator
Adhesive Adhesive
Fig. 21.5 MFCA-based process analysis (Furukawa 2008)

363
Nitto Denko implemented “waste/loss analysis” and “improvement measures”

based on the MFCA results and achieved improvement by approximately 10%.
However, further rooms for improvement still remained, and a wider scale of
improvement measures (a capital investment) were considered along with imple-
mentation of the other existing improvement measures. As a result, the production
processes were fundamentally reviewed and the full-scale capital investment to
advance further improvement/reform was decided (Furukawa 2008).
MFCA can bring both internal and external benefits simultaneously, which
implies that organizations can make a greater profit with less environmental impact.
In other words, these benefits contribute to sustainable development. The balancing
of the environment and the economy within organizational management is a vital
issue confronting economic organizations when achieving sustainable development.
MFCA can be of great assistance to such organizations.
5 Application of MFCA in the Supply Chain
5.1 Significance of the Introduction of MFCA into the

Supply Chain
MFCA, like other methods of EMA, has been developed and disseminated on the
premise that it is to be applied to a single organization; and a large number of
effective case studies of its application have been accumulated (Kokubu 2008).
MFCA is, in principle, applicable to the entire supply chain, from the extraction
of resources to the disposal of products, rather than a single organization. In this
sense, an expanded scope of application would be more likely to contribute to the
enhancement of resource efficiency, encouraging single companies to expand the
scope of MFCA application to their supply chains.
Although it is likely that material loss does not occur, especially for final-
assembly manufacturers, which usually only assemble parts, the manufacturing of
materials and parts in actuality generates a tremendous loss. In addition, the final-
assembly manufacturers’ product specifications are often the fundamental cause of
losses of resources in the supply chain and have a significant impact on the amount
of loss in the entire supply chain. Therefore, since the possibility of reducing the
losses of resources within a single organization is rather limited, the reduction must
be the target of each unit of the supply chain.
Fig. 21.6 (METI 2011b) presents a model that shows the types of material
loss and the possibility of their reduction in the supply chain. This model places
Company B in the central, midstream company position, Company A in the
upstream company position, and Company C in the downstream company position.
It shows what kinds of responses are required of Companies A and C in order to
reduce material loss for Company B. The figure does not show all the types of losses
originating from the supply chain and shows just the major types: loss owing to the
shape of purchased materials, loss owing to quality standards, loss owing to product
design methods, and loss due to production information (ordered lots and sizes).
Material loss
100% in Company A
Material loss
in Company B
80%
Resource input by
Resource input
Material loss in
Company A assembly
manufacturer
40%
30%
Material Parts Parts Assembly

manufacturer manufacturer A manufacturer B manufacturer
Fig. 21.6 Transition of material loss in the supply chain (Source: METI (2011a))
5.2 Cases of MFCA Introduced in the Supply Chain
METI had conducted a project to introduce MFCA into the supply chain from 2008
to 2011. In this project, MFCA was introduced to approximately 50 supply chains.
In this section, among those examples, a traditional success case (the case of Kyosha
Co. Ltd.) is picked up.
Case: Kyosha Co. Ltd.
Fig. 21.7 shows the supply chain of Kyosha which participated in the METI’s
commissioned project for FY2010, the supply chain resource conservation partner-
ship program.
Kyosha Co., Ltd., a manufacturer of printed circuit boards, purchases copper-clad
laminates from a material manufacturer, has the hole-drilling process applied to the
laminates by NC Industry Co., Ltd., has through-hole plating applied to the drilled
laminates by Sansui Electronics Co., Ltd., and lastly executes pattern formation !
resist printing ! mark printing ! external-form processing for shipment of the
double-sided printed circuit boards for home appliances. This is the supply chain
in which Kyosha purchases raw materials and has drilling and plating processes
executed by external companies.
As a result of applying MFCA to this manufacturing process, it became clear that
the result shown in Fig. 21.6 was obtained in the whole supply chain: the positive
product cost of good products was 66%, while the negative product cost of material
loss was 34% (Fig. 21.8)
Looking at these calculated results, Kyosha’s Kyoto factory manager,
Mr. K. Nakayama, said, “The visualization of ‘material loss cost’ using the MFCA
method made us realize with surprise that material loss was far greater than had
been imagined” (METI 2011b, p. 20). Therefore, how to reduce material loss was
discussed among the three companies participating in the supply chain, and as a
366
NC Industry Sansui Electronics Kyosha (Kyoto factory)

cutting of material Copper plating of Pattern formation process/Press
Drilling process through-holes /Inspection/Packing/
Shipment
Copper-clad laminate (standard size) Drilled copper-clad laminates

Plated copper-clad laminate
Input
Resin (-baked) board Plating material (copper)
Various types of
Aluminum (-cut) board Various types of plating solutions processing materials (ink, etc.)
Double-sided
printed-circuit
board
inspection
Inspection
Inspection
Inspection
Mark printing
Resist printing
Material cutting
Drilling process
Pattern formation
Packing and shipment

Material receiving and

Electric copper plating
Automated pin planting

Finishing process (flux)
High-pressure polishing
Chemical copper plating
Profilling process (press)
Receiving and inspection

Receiving and inspection
Waste liquids from various types of

End scraps (disposal) Plating waste liquid processings/Ink
Material loss Residual resin (-baked) material Defective products (disposal) Press end scraps (disposal)
Defective products (disposal) Defective products (disposal)
Manufacturing process Input materials Waste
Fig. 21.7 Kyosha’s supply chain (Source: METI (2011b), p. 20)

K. Kokubu and H. Tachikawa
100%
System cost
90%
Energy cost
Material cost
80%
46.4%
70%
60%
50% 7.6% 33.7%
40%
30% 5.4%
12.7%
46.0%
20% 2.2%
26.9%
10% 19.0%
0%
Input cost Cost of products Cost of material losses
Fig. 21.8 Result of MFCA calculations (before improvement) (Source: METI (2011b), p. 21)
result it was found that altering the standard size of a laminate would increase
the number of panels that could be cut out of it, realizing a significant reduction
of waste to about one-fifth of the previous amount of waste. It was clear that
this would contribute not only to Kyosha but also to the other two companies by
improving productivity, making it possible to enhance resource productivity in the
whole supply chain, which is a win–win solution. From MFCA’s simulation of the
effect of the improvements (shown in Fig. 21.9), it is estimated that negative product
cost could be reduced from 34% to 25%.
In response to this estimation, Mr. Nakayama, Kyosha’s factory manager, said:
The design of the divisional construction of material in manufacturing printed circuit boards
is an important factor, and, therefore, I had been confident there would be no more room
for improvement. As a result of this analysis and future cooperative activities, however,
further improvement was found to be possible. Through this, it is hoped that new mutual
relationships between companies in the supply chain will be constructed and further efforts
to improve our future business activities shall be made. (METI 2011b, p. 20)
From this statement by Mr. Nakayama, it follows that activities for improvement
to date had been premised on the standard size of a purchased material, and,
therefore, it was not until the introduction of MFCA that alteration of the standard
size was considered. Putting this result into consideration, Kyosha negotiated with
their upstream material manufacturer and succeeded in changing the standard size
100%
System cost
90%
Energy cost
Material cost
80%
46.1%
70%
60%
37.6%
50% 7.5%
40%
6.1%
30%
46.4%
20% 8.5%
31.0% 1.4%
10%
15.4%
0%
Input cost Cost of products Cost of material losses
Fig. 21.9 Result of MFCA calculation (after improvement) (Source: METI (2011b), p. 21)
of the base material, resulting in a significant reduction of material losses, and,

accordingly, the external companies commissioned with various processing tasks
had the benefit of improved productivity as well. This is a case of improvement
involving an upstream material manufacturer based on the result of MFCA analysis
in a supply chain composed of three companies, and is a typical case of successful
application of MFCA to the supply chain. In addition, Kyosha’s team has been
awarded for their achievement with the green supply chain prize from the diagnostic
project evaluation committee.
6 Summary
Climate change, material scarcity, environmental legislation, and the global com-
petition are in the headlines more than ever, highlighting the fact that effective
management of environmental and economic matters has become a vital social
issue on the global scale. In response, manufacturers and other businesses are under
pressure to increase productivity while reducing cost and environmental impact.
MFCA can help organizations to achieve such objectives by identifying emissions
and waste within a process in cost and physical terms. Such data can motivate
organizations to enhance material productivity and significantly reduce waste more
effectively than relying only on conventional production management and cost
accounting information. In addition, MFCA helps organization to reduce energy
use associated with the waste production.
MFCA is a management information system that traces all input materials

flowing through production processes and measures output in finished products
and waste.
MFCA can also bring external environmental benefits by enabling organizations
to manufacture the same amount of finished product with less input. As a result, they
can even reduce environmental impacts such as energy use (i.e., CO2 emissions) and
consumption of natural resources.
In addition to ISO 14051 published in September 2011, new standard for MFCA
is currently being discussed worldwide. It is believed that MFCA will be one of the
internationally recognized key management tools for achievement of sustainable
society in twenty-first century.
Acknowledgments
This research is supported by the Environmental Research and Technology Devel-

opment Fund (E-1106) of the Ministry of the Environment, Japan.
7 Cross-References
Design for Sustainability (DfS): Interface of Sustainable Production and Con-

sumption
References
Y. Furukawa, Material Flow Cost Accounting, Japan Environmental Management Association for
Industry (Tokyo, Japan, 2008)
K. Kokubu, H. Kitada, Introducing MFCA into the Supply Chain: A New Possibility. A Paper
presented at the 10th Northeast Asia management and economics joint conference, Chungnam
National University (Daejeon, Korea, November 2011)
K. Kokubu (ed.), Practical Material Flow Cost Accounting, Japan Environmental Management
Association for Industry (in Japanese) (Tokyo, Japan, 2008)
METI, Guidance for Supply Chain Inter-Company Partnership to Improve Resource Conser-
vation(Ver.3). Recycling Promotion Division, Ministry of Economy, Trade and Industry (in
Japanese) (Tokyo, Japan, 2011a)
METI, Case Studies in the Supply Chain Resource Conservation Partnership Program. Recycling
Promotion Division, Ministry of Economy, Trade and Industry (in Japanese) (Tokyo, Japan,
2011b)
METI, Introduction to Resource Conservation through Inter-Company Partnership. Recycling
Promotion Division, Ministry of Economy, Trade and Industry (in Japanese) (Tokyo, Japan,
2011c)
M. Nakajima, K. Kokubu, Materials Flow Cost Accounting 2nd edition. Nihon Keizai Shinbunsha
(available only in Japanese and Korean) (Tokyo, Japan, 2008)
H. Tachikawa, Y. Furukawa, International Standardization of MFCA (ISO 14051). A Paper
presented at Eco Balance Conference (Tokyo, Japan, 2010)
H. Tachikawa, Material Flow Cost Accounting and Environmental Risk Management. Environ-
mental Management, vol 46(55) Japan Environmental Management Association for Industry
(Tokyo, Japan, 2010)
Product Life Cycle Assessment (PLCA)
and Product Carbon Footprint (PCF) 22
Kun-Mo Lee
Abstract
Ecodesign, an integration of environmental aspects into product design, requires
identification of significant parameters of a product in its entire life cycle.
Significant parameters are processes, materials, parts, activities, and life cycle
stages that contribute significantly (e.g., >1%) to the total impact of a product.
Product life cycle assessment (PLCA) is a tool that enables quantification of the
input and output from the processes and activities of a product, assessment of
their potential impact on the environment, and then identification of significant
parameters.
PLCA has two major applications: the identification of significant parameters
and the development of the environmental profile of a product. Significant
parameters can be used for clarifying the environmental needs for Ecodesign,
while environmental profile for assessing the Ecodesign results or eco-product
and environmental communication of the eco-product. Product carbon footprint
(PCF) is one of the most visible applications of the product’s environmental
profile by communicating to the market only the data related to greenhouse gases
(GHG) emissions.
Practical guidance and relevant examples related to the topics such as product
modeling, data collection and processing, data compiling, calculation of the
life cycle impact, identifying significant parameters, and development of an
environmental and carbon profile are given in this chapter to aid understanding
of the PLCA and PCF.
K.-M. Lee
Department of Environmental Engineering, Ajou University, Suwon, Korea
e-mail: kunlee@ajou.ac.kr

DOI 10.1007/978-1-4020-8939-8 37,
372 K.-M. Lee
1 Introduction
PLCA aims primarily at identifying significant parameters of a product in its entire

life cycle or value chain. Another aim is to generate environmental profile of a
product. The identified significant parameters help product designers and developers
pinpoint the problematic or weak spots of a product. As such they can focus
on the improvement of weak points of a product under redesign. Environmental
improvement strategies corresponding to the identified significant parameters are
then translated into the Ecodesign tasks which are translated to specific functions
of a newly redesigned product and then eventually new solutions. The redesigned
product with the new solutions is termed eco-product. An eco-product does exhibit
better environmental performance compared with the reference product (Wimmer
et al. 2004). PCF is an environmental profile of a product only focused on
greenhouse gas (GHG) emissions. Summing up the GHG emissions impact across
the entire life cycle stages of a product or value chain gives a single number which
is termed as the PCF value.
The PLCA, though based on conventional LCA method, adopts different ap-
proaches in the systematic identification of significant parameters and generating
environmental profile of a product. Four phases of LCA (i.e., goal and scope
definition, life cycle inventory analysis, life cycle impact assessment, and life
cycle interpretation) offer basic framework to the step-by-step implementation of
the PLCA. Typical steps involved in the PLCA implementation include: product
modeling, input/output data collection and processing, compiling of the data,
calculating potential impacts of the inventory results on certain impact categories of
interest after linking compiled data to the LCI (life cycle inventory) database, and
identifying significant parameters of a product (e.g., significant processes, materials,
parts, and life cycle stages). A product here refers to a reference product which
undergoes redesign to improve its environmental performance. Table 22.1 shows
the relationship between the four phases in conventional LCA and steps adopted for
the PLCA and PCF in this chapter.
Outcomes of the PLCA implementation can also be used to generate an
environmental profile of a product. Here an environmental profile means a list of
the input and output parameters in and out of the product system. There is no
linkage of these data to the LCI database in this case. Only the actual input and
output parameters appear in the environmental profile. By linking each parameter to
the corresponding LCI database, all entries in the list are expressed as elementary
flow, which have no practical meaning to the design of a product. One aspect of the
Table 22.1 Relationship PLCA and PCF LCA

between the four phases
in conventional LCA Product modeling Goal and scope definition
and in the step-by-step Data collection and processing Inventory analysis
approaches adopted Data compiling Inventory analysis
for the PLCA and PCF Calculating life cycle impact Impact assessment
Identifying significant parameters Interpretation
22 Product Life Cycle Assessment (PLCA) and Product Carbon Footprint (PCF) 373
Product modeling: defining functional unit, reference flow, and system boundary in each life cycle stage
Collecting and processing data from each process in the system boundary; material and energy input and
process emissions and output data
Compiling data by arranging them with respect to parameter and combine them for each life cycle stage
PLCA track: PCF track:

Link compiled data to LCI DB Link compiled data to GHG emission factors
Calculating GHG emissions impact in terms of

Calculating potential life cycle impact : Cl and WI g CO2 equivalent
Identifying significant parameters
Product profile and significant parameters PCF profile and significant parameters (GW
(all impact categories) impact category only)
Fig. 22.1 Step-by-step approach for the implementation of PLCA and PCF
product embodiment design is to form a bill of materials (BOM) of a product by

choosing relevant parts and components including materials, not elementary flows
such as crude oil, iron ore, or bauxite.
Outcomes of the PCF implementation are similar to those of the PLCA imple-
mentation with a notable exception. As its name implies, the PCF only focuses on
one impact category named global warming. As such, emissions only contributing
to the global warming impact are inventoried. Resulting environmental profile of a
product thus exhibits parameters related to the global warming impact, so does the
identified significant parameters.
Figure 22.1 shows the step-by-step approach for the implementation of PLCA
and PCF. Major steps involved include modeling of a product, collecting and
processing input/output data, compiling data in life cycle stages, calculating the life
cycle impact of a product in the case of PLCA or the GHG emissions impact in the
case of PCF, and identifying significant parameters or environmentally weak points
of a product.
The product modeling step includes defining functional unit and system bound-
ary of each life cycle stage (i.e., use of raw materials, manufacture, distribution,
use, and end of life) of a product system, forming a product composition table by
applying the cut off rule and setting up a process tree that shows the interconnec-
tivity of the unit processes in a product system. The data collection and processing
step includes collecting material and energy input data and process emissions data
374 K.-M. Lee
from the unit processes and activities in all five life cycle stages, and processing
them with respect to functional unit. The data compiling step includes arranging
processed data with respect to each parameter. The sum of each parameter data is
arranged in a matrix form.
There are two separate tracks to follow: PLCA and PCF for the calculation of
the life cycle impact and the impact of GHG emissions or global warming impact,
respectively. The PLCA track links the compiled data to the LCI database, while
the PCF track links the compiled data to the GHG emission factor database. The
calculation step includes calculating life cycle impact (e.g., characterized impact
(CI) and weighted impact (WI)) and the impact of GHG emissions of a product in the
case of PLCA and PCF, respectively. The identification step includes contribution
analysis to identify significant parameters of a product.
Significant parameters and environmental profiles encompassing broader spec-
trum of the parameters and environmental impact categories (e.g., acidification,
resource depletion, and global warming.) are main outcome from the implemen-
tation of PLCA. Meanwhile, product carbon profile and significant parameters
focused only on global warming impact category are the main outcome from the
implementation of PCF.
Last but not least, data quality assessment including uncertainty analysis must be
made before presenting final results of the PLCA and PCF. Normally data quality
assessment begins with the significant parameters identified. Qualitative assessment
such as the Pedigree matrix method can often be used. However quantitative
analysis using the uncertainty analysis method should be performed for those
uncertain significant parameters. The procedure involves assumption of the most
likely probability distribution of the uncertain input data followed by the simulation
of the artificially generated input data on the output results of a model equation using
the Monte Carlo simulation technique. A range of values, upper and lower bound
values, of a say 95% confidence interval are generated with the most probable mean
value. Since the data quality assessment including uncertainty analysis is a lengthy
subject, no further discussion will be made in this chapter.
2 Product Modeling
In order to quantify inputs of materials and energy into a process and outputs
including emissions from the process, a clear demarcation line or boundary shall
be defined prior to quantification. A product system is a collection of processes and
activities associated with a product of interest under analysis along its value chain or
entire life cycle stages. For the analysis of a product system, the very first thing to do
is to define functional unit of a product and setting up the product system boundary.
Functional unit is a unit that can measure functional performance of a product.
For instance, function of a beverage container such as bottle or can is to store
beverage. Functional unit is then volume or certain volume of the container, say
350 ml. Reference flow is an actual product that realizes the functional unit. Here
either a glass bottle of 350 ml or an aluminum can of 350 ml is the reference flow.
For comparative purpose, defining functional unit is of utmost importance because
comparison must be based on the same leveling field. For others where comparison
is not involved, one piece of product under analysis is the reference flow without
needing to specify functional unit (Lee and Inaba 2004).
Next step is to define boundary of a product system. Defining system boundary
in accordance with the life cycle stage is the most practical approach. There are
five life cycle stages in any product system, provided the scope of the study is
from cradle to grave. They are: target product of the PLCA and/or PCF study,
upstream and downstream activities. The upstream activities include the use of raw
materials stage up to parts manufacturing. The target product is the manufacture
stage. The downstream activities include the distribution, use, and end-of-life stages.
A method for defining boundaries for each life cycle stage and accompanying
examples are given below.
Use of raw materials stage: Often this stage is referred to as the upstream
processes of a product system. This stage consists of the acquisition of natural
resources, the processing of the natural resources into raw and ancillary materials,
the manufacturing of parts, and the associated transport of parts and materials.
In order to set up system boundary of this stage, major parts, components, and
assemblies from the BOM data and/or disassembly data of a product should be
identified (Wimmer et al. 2010). List them on the descending order of its weight.
Calculate cumulative weight and cumulative weight percentage. Apply mass cut
off rule, say 95%, of the total weight below which are excluded from the product
system boundary. Those excluded are assumed to exert insignificant impact on the
environment. If this is not the case, parts, processes, and activities associated with
those excluded such as toxic substances or highly potent greenhouse gases (e.g.,
SF6 ) must be included in the system boundary.
Table 22.2 is an example of a product (toaster) composition. Here, cumulative
weight and percent (%) cumulative weight are calculated in order to apply the cut
off rule. Typically 95% or 99% cut off rule applies where remaining 5% or 1%
of parts and components are excluded from the system boundary, respectively. The
99% cut off rule was applied in this example as such epoxy resin was included but
control knob made of ABS excluded. In this case, product weight does not change
to 1,290 g but remains unchanged as 1,302 g. This simply means that data collection
is up to epoxy resin.
Manufacture stage: All processes and activities involved during manufacture of a
product from the entrance gate to the exit gate of the manufacturing site are included
in this stage.
Distribution stage: All activities from the release of products by the manufacturer
to the point of sale belong to this stage. Activities such as transport and storage in a
warehouse are examples of the distribution activities. A distribution scenario based
on the product weight and/or volume, mode of transport, transport distance, number
of products transported in one transport is normally made.
Use stage: A scenario for the product use by a product user should be made by
making reasonable assumption on the time of operation and the amount of material
and energy consumption per use. In addition, lifetime of the product is not the
technically feasible lifetime but useful lifetime where a product is actually used
by the user till its disposal.
376 K.-M. Lee
Table 22.2 An example of a product (toaster) composition

Part/component Material Weight (g) Cumulative weight (g) % cumulative weight
Shell PP 300 300 23:0
Supporting side Steel 290 590 45:3
Main package Cardboard 215 805 61:8
Manual Recycled paper 124 929 71:4
Chassis PP 112 1; 041 80:0
Steel 57 1; 098 84:3
Power cable PVC 95 1; 193 91:6
Copper 35 1; 228 94:3
PCB Epoxy resin 62 1; 290 99:1
Control knob ABS 12 1; 302 100:0
Sum (product weight) 1; 302 1; 302 100:0
End-of-life stage: The type and weight of materials in each part of a product
dictates the collection, recycling, reuse, and disposal methods of the wasted product.
Thus, the end of life scenario based on the type of materials and weight of each
part should be made. Typical mode of operation in the end of life stage includes
incineration, landfill, recycling, and reuse.
Lastly set up a process tree consisting of the upstream processes up to the parts
manufacturing processes, product manufacture, distribution and use of the product,
and end of life of the wasted product (e.g., recycling, incineration, and ultimate
disposal). All the upstream processes and the processes and activities from other
life cycle stages are interconnected by following the hierarchy of the product in its
entire life cycle spanning from the use of raw materials to the end-of-life stages.
This is termed “process tree.” Figure 22.2 shows the process tree of a toaster.
3 Data Collection and Processing
All input data including raw and ancillary materials and energy, and all output
data including main, co- and by-products and emissions from all the processes and
activities in the system boundary should be collected. Data means data of actual
input and output such as the amount of galvanized steel, slag, electricity, steam,
and SF6 . The actual input and output are termed input and output parameters. Often
allocation is required during the data collection as such application of the transparent
and consistent allocation criteria is necessary. Collected data should be processed or
normalized to express in terms of functional unit or reference flow. Typical data
collection points considered in the five life cycle stages include:
Use of raw materials stage: Major outcomes from this stage are the materi-
als and energy parameters with their values. Thus, input and output data from
this stage should be quantified by gathering input/output data from individual
parts/components and their manufacturing processes.
Cable Supporting Control Main

Shell PCB Chassis Manual
(Power) side knop package
Toaster
Package
Body
Toaster
assembly
(manufacture)
Distribution
Use
End of life
Fig. 22.2 Process tree of a toaster
Table 22.3 Fictitious data Manufacturing process Electricity (kWh)

of the manufacture stage
Housing (injection molding, extrusion 0:8
molding)
Packaging assembly 0:2
Heating part assembly 2:0
Manufacture stage: Input and output data from the unit processes in the
manufacturing processes are quantified. Since the manufacturing process is well
known to the product manufacturer, here the producer who conducts the PLCA and
PCF study, unit manufacturing processes envisaged significant environmentally can
be chosen by the manufacturer. For each unit process chosen, identify relevant input
and output parameters and their values. Table 22.3 is a fictitious example of the
input and output data of the manufacture stage.
Distribution stage: Input and output mainly occur from the fuel combustion of
the mobile sources. For each mode of transport, identify the total product weight in
one load and distance traveled. Fuel consumption can be obtained by multiplying
transport distance by the fuel consumption coefficient and product weight or
volume. Table 22.4 is a fictitious example of the data of the distribution stage.
Use stage: Average material and energy consumption should be estimated by
taking into account the useful lifetime and consumed material and energy during
378
Table 22.4 Fictitious data of the distribution stage (Total load: x ton/transport)
Fuel consumption factor
Fuel Fuel
Transport Total consumption consumption
mode Distance load/transport (empty load) (per load) Fuel type Total fuel consumption

0:0066 kg kg
9 ton C 0:136 .500 km/
11.5 ton 500 km 9 ton 0.136 kg/km 0.0066 kg/ton-km Diesel ton km km
Truck at 80 D 97:7 kg
km/h
160:9 kg
8,000 TEU 12,000 km 65% of the full 160.9 (kg/km) Bunker C oil .12; 000 km/ D 1; 930; 500 kg
Container load capacity D km
ship at 5200 TEU
21 knots
Fuel consumption: 150
tons/day at 21 knots
21 knots D 38:85 km=hr D 932:4 km=day
150 tons
Fuel consumption D
day
day
D 160:9 kg=km
932:4 km

1TEU (twenty feet equivalent unit) =33m3

In the case of ocean transport there is no need to consider the fuel consumption for empty load and per load, for no ships operate with empty load.
K.-M. Lee
Table 22.5 Fictitious data of the use stage

Operational Number of usage Energy input
mode Power (W) Operational hour (for 3 years) (KWh)
On 660 0.042 h/usage 750 usage 20.6
Off 0 – 0
Total (for 3 years) – 20.6
Table 22.6 Fictitious data of the end-of-life stage

Mode of operation Material Weight (g)
Incineration (22%) Epoxy resin 62
Recycled paper 124
PVC 95
Recycle (78%) Steel 347
Copper 35
Cardboard 215
PP 412
the operation and maintenance of the product (e.g., on, off, and standby mode). For
each mode of operation, identify the time of operation, material and energy input.
The total operating time is multiplied by the unit material and energy consumption
in order to quantify the total material and energy consumption of the product during
its use stage (EC 2005). Table 22.5 is a fictitious example of the data of the use stage.
End-of-life stage: Arrange the type and weight of materials in each part of a
product in accordance with the treatment method including reuse, recycle, and
disposal and apply corresponding database to each of the materials and treatment
method. Table 22.6 is a fictitious example of the data of the end-of-life stage.
Data collected from each process and activity should be normalized by the main
output of the process. In other words, all input and output data from each process
and activity are divided by the total weight or energy content of the main output.
Normalized results are expressed as input or output data per kilogram or megajoule
of main output. In addition, multiplying the normalized data by the fractional
contribution of each process and activity to the final product yields input and output
data in terms of reference flow. Summing up all these data yields input/output data
in the use of raw materials stage.
Normalization of input/output data in each process in the distribution, use, and
end-of-life stages is not necessary. However, conversion of input/output data in
terms of reference flow is necessary.
4 Compiling Data
Once all input and output data in each of the five life cycle stages are gleaned and
processed, next step is to arrange them with respect to each parameter and then
compile them in each life cycle stage in matrix form as shown in Tables 22.7–
22.11. In the matrix, input and output parameters are listed in the row, while
380
Table 22.7 Fictitious example of the compiled input/output data in the use of raw materials stage (Per reference flow: one toaster)
Levela 2 Toaster body Package
Cable Supporting Main
Parameters Level 3 Shell PCB (Power) Chassis side Sum package Manual Sum Total
Unit
PP g 300 112 412 412
Steel g 57 290 347 347
Copper g 35 35 35
Epoxy resin g 62 62 62
PVC g 95 95 95
Cardboard g 215 215 215
Recycled paper g 124 124 124
a
Note: level 1 is the product, level 2 is the major parts/components, and level 3 is the sub-parts of the major part.
K.-M. Lee
Table 22.8 Fictitious example of the compiled input/output data in the manufacture stage (Per
reference flow: one toaster)
Housing (injection
moulding, extrusion Packaging Heating part
Parameters Unit moulding) assembly assembly Sum
Electricity kWh 0.8 0.2 2 3
Table 22.9 Fictitious example of the compiled input/output data in the distribution stage (Per
Parameters Unit Trucking Shipping Sum
Diesel g 14.1 14.1
Bunker C g 112.5 112.5
1:3 kg product
DieselW 97:7 kg diesel 9;000 kg load
D 14:1 g/product
3
0:01 m product
Bunker CW 1; 930; 500 kg bunker C oil
m3
D 112:5 g/product
.5;200 TEU/ 33 TEU
Table 22.10 Fictitious example of the compiled input/output data in the use stage (Per reference
flow: one toaster)
Parameters Unit On-mode Off-mode Sum
Electricity kWh 20.6 0 20.6
Table 22.11 Fictitious example of the compiled input/output data in the end of life stage (Per
Parameters Unit Incineration Recycling Sum
Wasted PP g 412 412
Wasted steel g 347 347
Wasted copper g 35 35
Wasted epoxy resin g 62 62
Wasted PVC g 95 95
Wasted cardboard g 215 215
Wasted recycled paper g 124 124
processes and activities are in the column. In the case of a simplified matrix, all
five life cycle stages are listed in the column instead of all processes and activities,
while input/output parameters where each parameter value is the sum of the same
parameter data in a given five life cycle stage are listed in the column as shown in
Table 22.12.
5 Calculating Life Cycle Impact: PLCA Track
One can assess the impact of the compiled data in Table 22.12 on the environment.
To be specific, impact on the environment means impact on the chosen impact cate-
gories such as global warming, acidification, and photochemical oxidants creation,
among others. The impact can be quantified through quantification process such
382 K.-M. Lee
Table 22.12 Sum of the input/output parameters and their values of the five life cycle stages (Per
Use of raw
Parameter Unit materials Manufacture Distribution Use End of life Sum
Material
PP g 412 412
Steel g 347 347
Copper g 35 35
Epoxy resin g 62 62
PVC g 95 95
Cardboard g 215 215
Recycled paper g 124 124
Wasted PP g 412 412
Wasted steel g 347 347
Wasted copper g 35 35
Wasted epoxy g 62 62
resin
Wasted PVC g 95 95
Wasted g 215 215
cardboard
Wasted recycled g 124 124
paper
Energy
Electricity kWh 3 20.6 23:6
Diesel g 14.1 14:1
Bunker C g 112.5 112:5
as characterization, normalization, and weighting. They are termed characterized

impact (CI), normalized impact (NI), and weighted impact (WI) of a product system,
respectively (Lee and Inaba 2004).
The PLCA track links the LCI database to the compiled data in Table 22.12.
Once linked, all the input data, also called non-elementary flow, are converted
into elementary flow which are rooted in natural resources. For instance, input
parameters such as galvanized steel and natural gas are now converted into iron
ore and crude oil after linking to the LCI DB. Through conversion, the input data
incorporates the entire environmental load from cradle to the point of production of
the input parameter. In conventional LCA, the LCI linked data are termed life cycle
inventory data.
The inventory data are then classified into corresponding impact categories,
often termed classification. In each impact category, impact of the inventory
parameters is quantified. The quantification is termed characterization. The in-
ventory parameter values or environmental load of the parameter (Loadj) is
multiplied by an equivalency factor, or characterization factor, of the jth parameter
in the ith impact category (eqvi,j) to give the characterized impact in the ith
impact category(CIi;j / of the jth parameter. The calculation of the CIi;j is shown
in (22.1).
X
CIi;j D Loadj eqvi;j and CIi D CIi;j (22.1)
j
Normalization is a step to obtain normalized impact in the ith impact category

(NIi /. Normalization reference (NRi / is the total impact in the ith impact category
caused by all parameters belonging to the ith impact category (k) which were
released in a given area and time (typically 1 year). Load of k (Loadk / is multiplied
by its equivalency factor (eqvi;k / to give normalization reference. The calculation of
the NRi and NIi is shown in (22.2).
X
NRi D Load eqvi;k and NIi D CIi =NRi (22.2)
k
Weighting factor (wi / that gives relative significance or weight to the impact
category under consideration is multiplied by the normalized impact in a given
impact category. Through weighting, differing units of each impact category are
harmonized into the same unit. This enables one to add weighted impact of the ith
impact category (WIi / across all the impact categories. The calculation of the WIi
and WI is shown in (22.3).
X
WIi D wi NIi and WI D WIi (22.3)
i
There are a variety of approaches to obtain weighted impact. Typical ones

include monetary method such as the Environmental Priority Strategy (EPS) (Steen
2000) and LIME (Itsubo and Inaba 2003) methods where load j is given a specific
WIj value, the distance to target method such as Eco-indicator 99 (Geodkoop
and Spriensma 2001), and the Korean Eco-indicator method (Lee 1999), among
others. Here, conventional LCIA method in ISO 14040 followed (ISO 14040 2006).
Procedures and detailed methods for the calculation of the CI, NI, and WI should be
referred to the description in the LCA chapter of this handbook and ISO 14040 (ISO
2006).
6 Identifying Significant Parameters: PLCA Track
Based on the CI and WI results, one can determine significant parameters which can
be the starting points for the improvement of the product’s environmental perfor-
mance. Identifying significant parameters means identifying significant processes,
materials, parts, activities, and life cycle stages. Contribution analysis is a method
of choice for the identification.
In the case of using CI for the identification, every entry in each cell of the CI
matrix is divided by the total sum of the CI value and expressed as the percent. The
percent value in each entry represents the relative contribution of the entry to the
total CI value of the product. Any contribution from an entry greater than x%, say
1%, can be envisaged as significant parameters requiring improvement. Significant
384 K.-M. Lee
parameters identified from the CI matrix in Table 22.13 include the use stage,
manufacture stage, and steel used during the use of raw material stage of the product.
Outcomes from the PLCA track are an environmental profile of the product
and significant parameters for the environmental improvement of the product’s
environmental performance. The environmental profile can be communicated to
the market in the form of the Type III environmental declaration. The identified
significant parameters can be linked to the environmental improvement strategies
in order to formulate ecodesign tasks (e.g., things to consider in the design or
environmental needs) of the product (Wimmer et al. 2004).
7 Calculating GHG Emissions Impact: PCF Track
PCF is an environmental profile of a product only focused on the GHG emissions

impact. PCF aims primarily at generating environmental profile of a product.
Another aim is to identify significant parameters of a product in its entire life cycle
or value chain.
The compiled input/output data arranged in each parameter in a matrix form
(such as shown in Table 22.12) are multiplied by the GWP value if the parameters
are six regulated greenhouse gases. If not, they are multiplied by the GHG emission
factor and GWP value of the corresponding parameter. The results are the global
warming impact or GHG emissions impact, expressed as g CO2 -eqv/ reference flow.
This should not be confused with the individual greenhouse gases emitted such as
kg CO2 , CH4 , and SF6 , for instance.
Deriving PCF, however, requires a bit of modification of the product modeling
and data collection method described above. One minor difference is the cut off rule
applied to setting up the product system boundary. When applying the mass cut off
criteria, specific parts, processes, materials and/or activities of which the impact of
GHG emissions are known to be significant (e.g., SF6 / should be included in the
product system boundary, although they are to be excluded based on the mass cut
off rule (Ministry of Knowledge and Economy 2011).
In addition, direct emission sources in the PCF track can be more detailed
compared with those of the PLCA track. This was because of a need for a thorough
inventory of GHG emissions at the organizational level in compliance with the legal
requirements stemming from the Kyoto Protocol. GHG from the direct emission
sources can further refine, not substitute, the inventory of GHG emissions from the
product. The direct emission sources can be classified into stationary combustion,
mobile combustion, process emissions, and fugitive emissions (WRI and WBSCD
2004).
Selection of the calculation method involves choosing between a direct mea-
surement or an indirect calculation of GHG emission from the identified facilities
and activities (IPCC 2006; Ministry of Knowledge and Economy 2011; WRI and
WBSCD 2004).
When a direct measurement was made, the measured data is converted into the
GHG emissions impact by multiplying the GWP value of that particular GHG. For
Table 22.13 Fictitious CI matrix for the contribution analysis (Here, the ith impact category is global warming) (unit: %)
Use of raw materials Manufacture Distribution Use End of life Sum
Parameter
Housing
(injection
molding, Heating
Supporting Main Power extrusion part
Shell side package Manual Chassis cable PCB molding) Packaging assembly Incineration Recycle
PP 4.37 1.63 6.00
Steel 9.55 1.87 11.42
Card board 1.80 1.80
Recycled paper 1.54 1.54
Copper 0.49 0.49
PVC 1.40 1.40
Epoxy resin 3.07 3.07
Electricity 2.54 0.63 6.36 65.51 75.04
Diesel 0.01 0.01
Bunker C oil 0.20 0.20
Wasted epoxy 1.38 1.38
resin
Wasted 1.03 1.03
recycled paper
Wasted PVC 1.58 1.58
Wasted steel 4:31 4:31
Wasted copper 0.03 0.03
22 Product Life Cycle Assessment (PLCA) and Product Carbon Footprint (PCF)
Wasted card 1.56 1.56

board
Wasted PP 2:22 2:22
Total 4.37 9.55 1.8 1.54 3.5 1.89 3.07 2.54 0.63 6.36 0.21 65.51 3.99 -4.94 100
Note: Negative sign in the end-of-life cycle stage means reduction in the global warming impact because of the savings of materials resulting from recycle
385
386 K.-M. Lee
instance, if 2 kg of CH4 was directly measured, then the GWP value of CH4; 25 kg
CO2 -eqv/kg CH4 is applied to calculate the GHG emission impact of CH4 , here
50 kg CO2 -eqv.
For an indirect calculation the compiled input/output parameter data in
Table 22.12 are linked to the GHG emission factors and GWP value of the
parameter. There are several tiers of the GHG emission factors available, depending
on the need of accuracy of the data. They are Tier 1, 2, 3, and 4 GHG emission
factors. For instance, the Korean Act regulating the control of GHG emissions
stipulate what levels of tier shall be used for specific sources of emissions (Ministry
of Environment 2011). When GHG emission factors are not available, then one can
convert the LCI database of a material in question into the GHG emission factor.
The GHG emissions impact can be calculated as in (22.4).
GHG emissions impact (kg CO2 -eqv) = input or output parameter data (unit)
emission factor (kg GHG/unit) GWP (kg CO2 -eqv/kg GHG) (22.4)
where,
Unit=kg or MJ of input or output.
If emission factor is expressed as kg CO2 -eqv/unit, then GWP value shall not be
multiplied. This is because the emission factor in this case already incorporated the
GWP value.
Both the directly measured and indirectly calculated GHG emissions impact are
combined to give total GHG emissions impact from each life cycle stage. The impact
of GHG emission of a product in its entire life cycle stages can be obtained by
summing up the GHG emissions impact from each of the five life cycle stages of a
product. Outcome of the calculation step is the product carbon profile or PCF and
possibly a single PCF value of the product.
8 Identifying Significant Parameters: PCF Track
Contribution analysis of a carbon profile can lead to identification of significant

parameters or weak points. The identified weak points can be the target for
improvement in the carbon management system of a product in its value chain.
The same contribution analysis method discussed under the PLCA track can be
used here. Details of the development of carbon management system are discussed
elsewhere (Ministry of Knowledge and Economy 2011; Wimmer et al. 2010).
9 Summary
PLCA aims at identifying significant parameters for use in ecodesign. It consists of

steps including the following: product modeling, input/output data (non-elementary
flow) collection and processing, compiling of the data, calculating impacts of the
compiled data for certain impact categories of interest after linking the compiled
data to the LCI (life cycle inventory) database to express them as elementary flows,
and identifying significant parameters of a product to be used in ecodesign and the
value chain management.
Conventional LCA has limited applications to the implementation of PLCA,
although its principles are embedded in the PLCA. In short, PLCA is a practical
and simple tool for the identification of significant parameters of a product, which
can be used for improving the performance of a product.
Outcomes of the PLCA implementation can also be used to generate an environ-
mental profile of a product (i.e., the list of input and output parameters in and out of
the product system). There is no linkage of these data to the LCI database, but only
the actual input and output parameters appear in the environmental profile. When
dealing only with the GHG emission impact of a product the environmental profile
can be converted into the PCF. PCF can be expressed in a single number. Because
of uncertainties embedded in the LCI database and in the assumed distribution, use,
and end-of-life stage scenarios, the PCF information needs independent third party
verification before releasing to the public for communication.
One aspect of the product embodiment design is to form BOM of a product by
choosing relevant parts and components and materials. Assigning GHG emission
impact values to each part, component, and material, one can create greenhouse gas
BOM or g-BOM (Song and Lee 2010). The use of g-BOM allows quick and easy
calculation of the impact of GHG emissions from a chosen design alternative during
the product’s embodiment design. Applying ecodesign to the embodiment design
stage is warranted for wider application of ecodesign. Thus, developing a design tool
such as g-BOM should be actively sought for acceptance of the ecodesign practice
by the product designers and developers.
References
European Commission (EC), Directive 2005/32/EC of the European parliament and of the council
of 6 July 2005 establishing a framework for the setting of ecodesign requirements for energy-
using products and amending Council Directive 92/42/EEC and Directives 96/57/EC and
2000/55/EC of the European parliament and of the council. OJEU L. 48(191), 29–58 (2005)
M. Geodkoop, R. Spriensma, The Eco-Indicator 99, A Damage Oriented Method for Life
Cycle Impact Assessment Methodology Report, 3rd edn. (Ministerie van Volkshiusvesting,
Ruimtelijke Ordening en Milieubeheer, Den Haag, 2001)
Intergovernmental Panel on Climate Change (IPCC), in 2006 IPCC Guidelines for National Green-
house Gas Inventories, NGGIP (the National Greenhouse Gas Inventories Programme), ed. by
H.S. Eggleston, L. Buendia, T. Ngara, K. Tannabe, Published IGES, Japan (Intergovernmental
Panel on Climate Change, Geneva, 2006)
International Organization for Standardization (ISO), ISO 14040; Environmental Management –
Life Cycle Assessment – Principles and Framework (International Organization for Standard-
ization, Geneve, 2006)
N. Itsubo, A. Inaba, A new LCIA method: LIME has been completed. Int. J. LCA 8(5), 305 (2003)
K.-M. Lee, A weighting method for the Korean eco-indicator. Int. J. LCA 4(3), 161–165 (1999)
K.-M. Lee, A. Inaba, Life Cycle Assessment: Best Practices of ISO 14040 Series APEC (Center for
Ecodesign and LCA (CEL), Ajou University, Suwon/Korea, 2004)
388 K.-M. Lee
Ministry of Environment, The Operational Guide for the Target Control of GHG and Energy
(Ministry of Environment, Korea, 2011)
Ministry of Knowledge and Economy, The Carbon Partnership Guide for Large, Small and
Medium Enterprises (Ministry of Knowledge and Economy, Korea, 2011)
J.S. Song, K.-M. Lee, Development of a low-carbon product design system based on embedded
GHG emissions. Resour. Conserv. Recy. 94, 547–556 (2010)
B. Steen, A Systematic Approach to Environmental Priority Strategies in Product Development
(EPS). Version 2000 – General System Characteristics (Centre for Environmental Assessment
of Products and Material System, Goteborg, 2000)
W. Wimmer, K.-M. Lee, F. Quella, J. Polak, Ecodesign – The Competitive Advantage (Springer,
Dordrecht/New York, 2010)
W. Wimmer, R. Züst, K.-M. Lee, Ecodesign Implementation – A Systematic Guidance on
Integrating Environmental Considerations into Product Development (Springer, Dordrecht,
2004)
World Resource Institute (WRI) and World Business Council for Sustainable Development
(WBCSD), The Greenhouse Gas Protocol, A Corporate Accounting and Reporting Standard,
revised edn. (World Business Council for Sustainable Development, Geneva; World Resources
Institute, Washington, DC, 2004)
Remanufacturing
23
Mitsutaka Matsumoto and Winifred Ijomah
Abstract
Remanufacturing, a process of bringing used products to “like-new” functional
state with matching warranty, is being regarded as a more sustainable mode of
manufacturing because it can be profitable and less harmful to the environment
than conventional manufacturing. The practice is particularly applicable to
complex electromechanical and mechanical products which have cores that,
when recovered, will have value added to them which is high relative to their
market value and to their original cost. Because remanufacturing recovers a
substantial fraction of the materials and value added to a product in its first
manufacture, and because it can do this at low additional cost, the resulting
products can be obtained at reduced price. Remanufacturing however is poorly
understood because of its relative novelty in research terms. This chapter will
clearly define the term “remanufacturing” by differentiating it from alternative
green production initiatives. It provides an overview of the remanufacturing
concept, significance, and practice.
1 Definition of Remanufacturing
The two general aspects to sustainability are living within the critical limits of
the ecosystem and balancing social, economic, and ecological goals (Yamamoto
1999). Because of the significant adverse impact of conventional manufacturing
M. Matsumoto ()
Center for Service Research, National Institute of Advanced Industrial Science and
Technology (AIST), Tsukuba, Ibaraki, Japan
e-mail: matsumoto-mi@aist.go.jp
W. Ijomah
Design Manufacturing and Engineering Management, Faculty of Engineering,
University of Strathclyde, Glasgow, UK
e-mail: w.l.ijomah@strath.ac.uk

DOI 10.1007/978-1-4020-8939-8 93,
390 M. Matsumoto and W. Ijomah
on the planet, for example, manufacturing generates more than 60% of annual
nonhazardous waste arising (Nasr and Varel 1996), sustainable development would
be impossible without sustainable manufacturing. Sustainable manufacturing is
being addressed by promoting secondary market processes. Such processes, also
known as component reuse or product/component recovery processes are defined
as the various production processes that use components from used products and
include repair and reconditioning as well as remanufacturing. The importance of
these processes is that they help limit landfill by prolonging the life of products and
components, so they take longer before needing disposal. Also, by integrating used
components into the production cycle they reduce the amount of virgin components
and therefore of virgin materials and energy used in production. Remanufacturing,
repair, and reconditioning are also known as disassembly processes because they all
involve disassembly. However, they are not equal but exist on a hierarchy based on
the quality of their output and the warranty given.
Remanufacturing is defined as “a process of returning a used product to at
least original equipment manufacturer (OEM) performance specification from the
customers’ perspective and giving the resultant product a warranty that is at least
equal to that of a newly manufactured equivalent” (Ijomah 2002).
There are various definitions of the term remanufacturing in circulation. The
importance of this version is twofold. Firstly, it for the first time clearly defines and
differentiates remanufacturing from repair and reconditioning, and secondly it pro-
vides a method for the purchaser to easily recognize that remanufactured products
have higher quality than repaired and reconditioned alternatives, and that remanu-
factured products have similar quality to new alternatives. Prior to the development
of this definition of remanufacturing (adopted by British Standards Institute (BSI)
in 2010) remanufacturing definition was ambiguous and insufficient thus creating
major problem for researchers and practitioners alike. It causes extreme difficulties
in undertaking effective research and in correctly disseminating knowledge about
the process (Melissen and Ron 1999). At the same time, many individuals are unable
to differentiate between remanufacturing, repair, and reconditioning and refuse to
purchase remanufactured products because they are unsure of their quality. The
following sections explain the ambiguity in remanufacturing definitions.
1.1 Ambiguity and Inconsistency in Remanufacturing

Definitions
Previously, remanufacturing definitions fell into two camps (Ijomah 2002; Ijomah
et al. 2004):
1. Those describing remanufacturing as involving reconditioning (e.g., component
reconditioning). An example of this is the definition by Amezquita et al. (1996).
2. Definitions recognizing that remanufacturing could not include reconditioning
because they are different processes with different quality requirements. Exam-
ples from this group include Lund (1984a) and Haynsworth and Lyons (1987).
23 Remanufacturing 391
The inconsistency in the definition of secondary market processes and the ambiguity
of remanufacturing definitions can be illustrated by examining two of the most
popular definitions of remanufacturing, one by Amezquita et al. (1996) (group 1)
and the other by Haynsworth and Lyons (1987), (group 2).
Amezquita et al. (1996) describe remanufacturing as “The process of bringing
a product to like-new condition through reusing, reconditioning, and replacing
component parts.”
In the same paper they describe reconditioning as a process that is different from
remanufacturing and that produces products that are inferior in quality to those
produced by remanufacturing. However, since remanufacturers state that the quality
of a product is governed by the quality of its individual components, a product that
has within it reconditioned components can be described as remanufactured only
if remanufacturing and reconditioning describe the same process. If, on the other
hand, as proposed by Amezquita et al. (1996), remanufacturing is indeed superior to
reconditioning, then a product that has reconditioned components (i.e., components
that are below the quality standards of remanufacturing), must itself be below the
standards of the remanufacturing process. Such a product can therefore not be
described as remanufactured. Because the definition above has not differentiated
remanufacturing from reconditioning the definition by Amezquita et al. (1996) is
ambiguous.
The definition of remanufacturing as “The process of bringing a product to like-
new condition through replacing and rebuilding component parts” was published
by Haynsworth and Lyons in 1987. They go on to explain that “Products that
have been remanufactured have quality that is equal to and sometimes superior
to that of the original product.” Case studies and the literature clearly show that
this bringing of remanufactured products to at least original specification is one
of the important factors that practitioners use to distinguish remanufacturing from
repair and reconditioning. Because of this, definitions such as that by Haynsworth
and Lyons (1987) are much better than the previous group. However, they too
are inadequate because they do not provide a method for the purchaser to easily
recognize that remanufactured products have higher quality than repaired and
reconditioned alternatives, or that remanufactured products have similar quality to
new alternatives. Thus both groups of definitions are insufficient.
According to UK trade organizations, such as the Department of Trade and Indus-
try (DTI) and Federation of Automotive Transmission Engineers (FATE), the legal
performance requirement for secondary market products, where such regulations
exist, stipulates guidance about minimum quality levels only and producers are held
to account on the warranty that they give their products. Case studies in the UK
remanufacturing industry and telephone interviews of remanufacturers in Europe
showed that practitioners believe that a warranty serves as a guide to a product’s
quality. In fact, they stated that they give their remanufactured products at least the
same warranty as the OEM equivalent as a method of indicating that the quality of
their product is similar to that of the OEM equivalent. The practitioners believed
that remanufacturing, repair and reconditioning involve dissimilar work content and
produce products of dissimilar quality. They also believed that remanufacturing
Table 23.1 Definitions of secondary market processes (Ijomah 2002; Ijomah et al. 2004)
Remanufacturing
The process of returning a used product to at least OEM original performance specification from
the customers’ perspective and giving the resultant product warranty that is at least equal to that
of a newly manufactured equivalent
Reconditioning
The process of returning a used product to a satisfactory working condition that may be inferior
to the original specification. Generally, the resultant product has a warranty that is less than that
of a newly manufactured equivalent. The warranty applies to all major wearing parts.
Repair
Repairing is simply the correction of specified faults in a product. Generally, the quality of a
repaired product is inferior to that of the remanufactured and reconditioned alternative. When
repaired products have warranties, they are less than those of newly manufactured equivalents.
Also, the warranty many not cover the whole product but only the component that has been
repaired.
obtains the highest quality of products followed by reconditioning, then repair. They
indicated that the operations could be differentiated using two factors:
1. The level of quality of the secondary market product when compared to that of
an equivalent new product.
2. The standard of the warranty of the secondary market product in comparison to
that given to the equivalent new product.
The rationale described above and the wide-ranging research within the remanu-
facturing industry including practitioners’ validation led to the development of the
definition above and its subsequent adoption by BSI (2010, BS 8887–220:2010 ).
Table 23.1 defines and differentiates repair, reconditioning, and remanufacturing.
The key advantage of remanufacturing over reconditioning and repair is that it
permits an organization to combine the key order winners of low price and product
quality, especially as remanufacturing also includes increasing the performance and
quality of the used product beyond that of its original standards when new.
Figure 23.1 shows the three processes on a hierarchy based on the work content
that they typically require, the performance that should be obtained from them and
the value of the warranty that they normally carry.
Remanufacturing is the highest of these processes because it is the only one
capable of bringing a used product to a standard equal to that of the new alternative
in terms of quality, performance, and warranty.
2 The Importance of Remanufacturing in Sustainable

Development
Remanufacturing can have positive impacts on all three pillars of sustainability-

economic, environmental, and societal, and thus is being regarded as a key strategy
for sustainable manufacturing and in turn for addressing the needs of sustainable
Work content Performance
Remanufacturing
Reconditioning
Repair
Warranty
Fig. 23.1 A hierarchy of product recovery processes (Ijomah 2002)
development. Research has shown that the major remanufacturing drivers are envi-
ronmental concerns, legislation – particularly landfill tax, and end-of-life directives
and economics. For example, Lund (1984a) illustrated that 85% of the weight of a
remanufactured product may come from used components, that such products have
comparable quality to equivalent new products, but require 50–80% less energy
to produce and that remanufacturing can provide 20–80% production cost savings
in comparison to conventional manufacturing. This accords with the findings of
other researchers, for example, Steinhilper and Haynesworth. Remanufacturing can
limit environmental impacts including greenhouse gases such as CO2 and methane
because for most goods, raw materials production and the subsequent shaping and
machining processes produce the highest CO2 emission. Remanufacturing, however,
bypasses these processes.
Remanufacturing’s societal benefits include reducing social exclusion caused by
poverty and lack of skills. The reason here are that remanufacturing
1. Creates employment across the board. However, its ratio of low to high skill
requirement is greater than for conventional manufacturing because many of
the tasks of remanufacturing such as sorting and cleaning are easy to learn.
Lund (1984a) indicates that in the automotive sector up to 60% of a typical
remanufacturing company may be skilled or unskilled.
2. Remanufacturing drives down production costs, thus, enabling producers to
reduce the selling price of their products. This facilitates the provision of high-
quality goods at prices that those on low income can afford.
Remanufacturing is also playing a critical role in the paradigm shift from product
sale to service industries that are occurring.
3 The Remanufacturing Industry
The remanufacturing industry can be discussed in terms of the characteristics that

make a product remanufacturable, the sectors of the remanufacturing industry and
the types of remanufacturer.
3.1 Characteristics of Remanufacturable Product
While conventional manufacturing is relevant to products of any material compo-

sition, remanufacturing is applicable only to a subset of durable products. Andreu
(1995) gives the following list of the essential characteristics of remanufacturable
products:
1. The product has a core that can be the basis of the restored product. A core is the
used equipment to be remanufactured.
2. The product is one that fails functionally rather than by dissolution or dissipation.
3. The core is capable of being disassembled and of being restored to the original
specification.
4. The recoverable value added in the core is high relative to both its market value
and its original cost.
5. The product is one that is factory built rather than field assembled.
6. A continuous supply of such cores is available.
7. The product technology is stable.
8. The process technology is stable.
The decision to use remanufacturing should be carefully considered as under
certain circumstances it can be counterproductive to sustainable development, for
example, by assisting inefficient products to stay in circulation longer than may
be desirable. This is the case for brown goods such as washing machines where
the newer generation products tend to be more environmentally friendly and cost
effective in operation, because they typically require less water, detergent, and
electricity. Ideally remanufacturing should be used when it would be both profitable
and environmentally beneficial to do so. Other issues to consider include the
establishment of new business models that include an effective reverse logistics
system to ensure adequate quantities of used products, (cores), to support the
remanufacturing processes. The reason here is that used products are the primary
“raw material” source in remanufacturing: firstly, they cannot begin without used
products to rebuild, and, secondly components to assist product rebuilding should
ideally be obtained from other failed similar products as using virgin components
would raise production costs and hence product price. This is particularly important
as consumers will purchase remanufactured products only if they are significantly
less expensive than new alternatives (Ijomah 2002; Ijomah and Childe 2007).
3.2 Sectors of the Remanufacturing Industry
The remanufacturing industry embraces a diverse range of products. According to

Petrakis (1993) these fall into four main sectors: industrial, commercial, automotive,
and domestic products.
The industrial sector is concerned with products that are frequently custom-made
such as hydraulic products, heavy-duty diesel engines, and process valves. Exam-
ples of products from the commercial sector include office machinery, refrigeration
Table 23.2 Auto parts remanufactured (Source: Steinhilper 1998)

Air brakes Differentials Power window motors
Air conditioners Electronic control modules Rack and pinion
Alternators and parts Engines and parts Smog pumps
Antilock brake systems Fan clutches Starters
Brake shoes Front wheel drive axles Steering units
Brake cylinders Fuel injectors Torque converters
Calipers Generators and parts Turbo chargers
Carburetors Master cylinders Transmissions and parts
Clutches Oil pumps Water pumps
Constant velocity drive shafts Power brake units Wiper motors
Cruise controls Power Steering gears
Cylinder heads Power steering pumps
compressors, vending machines, and communication equipment. The automotive

sector is by far the largest sector of the remanufacturing industry. The largest
numbers of automotive remanufacturers serve the replacement parts businesses for
vehicles. Table 23.2 shows the targets of remanufacturing of automotive parts. There
is a large variation in the complexity of remanufactured products in this sector
ranging from motor rewinding to remanufacturing of complete diesel engines. Lund
(1984a) has stated that the domestic sector is the smallest subgroup and that business
in this area is primarily confined to appliances such as power tools and lawn mowers.
He explains that consumer prejudice toward used goods has hampered the expansion
of this sector of the remanufacturing industry.
More recently, in UK, Resource Recovery Forum (RRF) has conducted surveys
on remanufacturing industries in UK (RRF 2004, 2010). According to the report, the
total value of remanufacturing activities in the UK is almost 2.4 billion pounds, with
the carbon savings estimated to be over 10 million tons CO2 equivalent per year. A
sectoral analysis shows that the remanufacture of ink and toner cartridges provides
the largest contribution to value. Other high-value areas include the automotive
sector, pumps and compressors, and the off-road sector.
3.3 Types of Remanufacturing Practitioners
There are three types of remanufacturing practitioners: the original equipment man-
ufacturer (OEM), the independent (noncontract) remanufacturer, and the contract
remanufacturer.
The OEM remanufacturer makes and sells both new and remanufactured versions
of its own products. Noncontract remanufacturers are independent of the OEM
manufacturer. Such remanufacturers acquire used products that they did not design,
build, or develop and remanufacture these for resale. These independent remanu-
facturers often experience great difficulty in obtaining the design information that
they require to undertake remanufacturing because OEMs regard them as potential
competitors and therefore withhold information from them. When OEMs refuse to
release product information, independent remanufacturers often attempt to obtain
required technical information by reverse engineering or by resorting to industrial
espionage. In this instance reverse engineering refers to the situation where a
remanufacturer analyses a correctly functioning product to obtain information with
which to rebuild it to the required specification on its failure. Both of these are poor
choices. The former is expensive, time consuming, and often ineffective while the
latter can result in substantial financial penalties. Contract remanufacturers bypass
intellectual property rights (IPR) restrictions by remanufacturing under licence to
OEMs. Contract remanufacturers operate very much as an extension of the OEM
company and can often substantially limit training costs by having the OEM train
their personnel in the more difficult aspects of remanufacturing. Additional benefits
that contract remanufactures enjoy include easier access to OEM cores and product
information. This increases their potential to remanufacture a greater quantity of
products and a range of component parts thus permitting them to take advantage
of economies of scale. Furthermore because a contract will stipulate the type
of products that will be received and often the quantity and time of arrival of
those products, contract remanufactures tend to experience less issues regarded
to uncertainty. Although the remanufacturing market is dominated by OEMs and
contract remanufacturers, the majority of remanufacturers are independent small-
scale operators.
4 Remanufacturing Process
Remanufacturing processes consist of the following seven steps: (1) collection and
inspection of used products, (2) disassembly of products, (3) cleansing and surface
processing of subparts, (4) inspection and sorting, (5) component remanufacture
and replenishment by new components, (6) product reassembly, (7) final testing
(Fig. 23.2).
Remanufactured products arrive at their customers with the same quality level,
performance, endurance, and warranty like a new product. Remanufacturing applies
many principles of manufacturing. This not only applies to quality assurance. Expe-
riences with production technologies and machine tools or with assembly sequences
and equipment known from manufacturing processes can also be transferred to
remanufacturing purposes. This is true mainly for the steps of component parts
remanufacturing and product reassembly in the seven steps.
Disassembly and cleaning are new technologies on an industrial level. Here
remanufacturing itself has set new standards and plays the pioneering role of
creating new solutions and adding technological know-how toward the closed loop
from an old to a like-new product.
The following shows the seven steps with an example of remanufacturing of al-
ternators – an auto parts. The pictures are taken at Shin-Etsu Denso Co. Ltd., which
is one of the largest remanufacturing companies of auto parts in Japan. Figure 23.3
shows an alternator before remanufacturing and one after remanufacturing.
1 Collection and inspection of used products
2 Disassembly of product
3 Cleaning and surface processing of subparts
4 Inspection and sorting
5 Component remanufacture
(and replenishment by new components)
6 Product reassembly
7 Final testing
Fig. 23.2 Key steps of remanufacturing
Fig. 23.3 Used alternator (left) and remanufactured alternator (right)
In the first step of remanufacturing, after collecting the used products (Fig. 23.4),
their remanufacturablity is inspected from their appearances. Used products that are
damaged beyond economic remanufacture are set aside. The ideal scenario is always
to avoid waste. Thus attempts will be made to put such products or components
toward other reuse options for example, reconditioning, repair, or recycle.
In the second step, a unit is completely disassembled to the single part level
(Fig. 23.5). Disassembly does not just mean reverse assembly, but means much
more because there is no easy reverse operation for assembly operations like gluing,
riveting, pressing, and welding.
Fig. 23.4 Collected used products
Fig. 23.5 Disassembly process
The third step in the remanufacturing process is the cleaning and surface
processing of all parts coming from the disassembly process to the remanufacturable
or reusable condition (Fig. 23.6). Cleaning includes de-greasing, de-oiling, de-
rusting, and freeing the parts from old paint. For this variety of purposes, many
cleaning methods are applied. These methods include washing in cleaning petrol,
hot water jet or steam cleaning, chemical detergent spraying or chemical purifying
baths, ultrasonic cleaning chambers, sand blasting, steel brushing, baking ovens,
and many more. Many cleaning processes have required the development of new
technological solutions by remanufacturers and their equipment suppliers. Shin-
Etsu Denso is doing cleaning and surface processing of subparts by washing in
Fig. 23.6 Cleaning and surface processing of parts
Fig. 23.7 Components remanufacture
cleaning petrol and hot water, and mechanical cleaning by glass bead or steel shot
blasting. Glass bead or steel shot blasting not only brings back a shiny surface of
the part again, but also hardens the surface. This results in a better resistance against
abrasion of parts.
The forth step in remanufacturing is to assess the condition of the disassembled
and cleaned parts as to their reusability or remanufacturability. Here reusability
is solely concerned with fitness for reuse. Remanufacturability on the other hand
will also consider the economic viability of undertaking the remanufacture of the
part. Depending on the various inspection results, parts are being sorted into the
Fig. 23.8 Reassembly
Fig. 23.9 Final inspection
classes such as: (1) reusable without reconditioning, (2) remanufacturable, and (3)
not reusable or remanufacturable.
The fifth step is the remanufacturing of parts. The step ensures a like-new
condition on the part level (Fig. 23.7). For the remanufacturing of parts in most cases
only slightly worn components, metal cutting processes such as turning, milling, and
grinding are preferably used. Parts that cannot be brought back to specification are
replaced by new spare parts.
In the sixth step, the parts are reassembled (Fig. 23.8).
The final step is a functional inspection or test run of each remanufactured
product (Fig. 23.9).
The products are shipped together with the result sheets of the functional
inspection.
5 Business Practices and Business Requirements for

Remanufacturing
Justifiably called a “Hidden Giant,” the remanufacturing industry has good market
potential. However, companies that undertake remanufacturing have to overcome
certain obstacles to achieve it. There are at least three requirements for remanu-
facturing (Geyer and Jackson 2004; Lundmark et al. 2009). The remanufacturing
system consists of three parts – collection, the remanufacturing process itself, and
redistribution – each having its distinct challenges. For a company to undertake
remanufacturing, it must
1. Collect used products
2. Develop efficient remanufacturing processes
3. Cultivate demand for remanufactured products
In the following, two cases of remanufacturing businesses in Japan are outlined –
photocopiers and auto parts. Photocopy machines are one of the most representative
cases of OEM remanufacturing. Auto parts are, as described above, the most preva-
lent target products of remanufacturing in the world. The main remanufacturers
of auto parts are independent remanufacturers (IRs) rather than OEMs. In the
following, the remanufacturing business practices are reviewed, and companies’
efforts to overcome the obstacles above are highlighted.
5.1 Case 1: Photocopy Machine Remanufacturing
The remanufacturing of photocopy machines is a well-known example of

remanufacturing. In Japan, three major OEMs of photocopy machines have been
undertaking remanufacturing activities. Until the 1970s, photocopiers were so
expensive that they generally were rented by their users; however, after prices fell,
sellouts and leasing became commonplace. Companies started remanufacturing in
1990s. The companies’ motives for remanufacturing came from concerns about the
environment and from corporate social responsibility. In addition, these companies
are convinced that component reuse brings economic benefits. However, the benefits
they expect are long term. A company, for example, made a large investment to
renovate and adapt to remanufacturing that it took more than 10 years to recoup.
Photocopiers need frequent maintenances, which makes it easier for OEMs to
manage product life cycles and thus to collect used products. Many products are
leased to customers. OEMs take return delivery of leased products from the leasing
companies in abundance. In case of sellout products, since in general, customers
buy a new product in replacement of the old one, OEMs can reclaim their discarded
product. The OEMs form partnerships to collect and return each other’s used
products.
The companies implement design for remanufacturing (DFRem) of products to
facilitate remanufacturing, which substantially enhances the efficiencies of their
remanufacturing processes. The companies have also been renovating remanufactur-
ing processes and accumulating know-how. For example, a company has developed
a subparts cleaning method using chilled carbon dioxide gas. It is used to clean the
frames of the photocopier machines and it substantially shortened cleaning time in
remanufacturing.
Photocopiers are business equipments, and customers’ aversion to remanu-
factured products in business equipment is generally lower than that in con-
sumer products. In addition, product leasing could lower customers’ aversion to
remanufactured products. There are two types of remanufacturing in photocopy
machine remanufacturing. In one type, remanufactured products are made of reused
components. Thus, remanufactured products are distinguished from new products,
which are made exclusively from new components. According to a company, 93%
by weight of a typical remanufactured photocopy machine is composed of reused
parts. Companies doing this type of remanufacturing offer remanufactured products
with prices lower than those of new products. The price is usually 50–70% less
than prices of new products and profits from remanufactured machines are larger
than those from newly produced machines. In the other type of remanufacturing,
reused components are incorporated in new products. Thus, all products may include
reused components and there is no distinction between new and remanufactured
products. The merit of this type of remanufacturing is that demand for reused
components is not restricted by customers’ product selection. On the contrary,
when reused components are used solely in remanufacturing, if many customers
prefer new products and avoid remanufactured products, components are not
reused.
The companies’ thorough quality controls have earned trust from customers, who
show little dissatisfaction regarding products with reused components.
Regarding the business obstacles mentioned above, the following points were
observed.
• Collection of used products: Companies accept returns from leasing companies
in abundance and companies collaborate in collecting returns.
• Efficiency of remanufacturing processes: Efficiency has been achieved through
DFRem, process renovation, and know-how accumulation.
• Cultivation of demand: Companies provide products to business and leasing
customers, and they more readily accept remanufactured products than in-
dividual and sellout customers. Companies provide remanufactured products
with lower prices. In the other type of remanufacturing, reused components
are installed in all products, and thus demand for used components is not
restricted by customers’ product selection. Thorough quality controls have been
carried out.
5.2 Case 2: Auto Parts Remanufacturing in Japan
Auto parts are the most prevalent target of remanufacturing in the world. In Japan,
however, remanufacturing of auto parts is less common than in other developed
countries. One reason is that the prevalence of automobiles in Japan is more
recent compared with the United States and many European countries and thus
auto parts remanufacturing has a briefer history. Auto parts remanufacturing saves
material and energy. Japan’s auto parts remanufacturers are primarily IRs. OEMs
are generally reluctant remanufacturers because remanufacturing conflicts with
sales of new parts. Profit margins on new auto parts are high whereas margins on
remanufactured parts are lower.
The case study of Shin-Etsu Denso, one of the largest auto parts remanufac-
turers in Japan, shows the importance of assuring collection of used products,
efficient remanufacturing processes, and demand for remanufactured products. This
company remanufactures alternators and starters and ships about 100,000 of each
annually.
To collect used products, the company supplies car maintenance shops with
remanufactured products in exchange with used products. In addition, the company
continually purchases and stocks used products from car dismantling compa-
nies. It stocks about 300,000 used products, which are essential for its business.
Figures 23.4–23.9 show the flow of the company’s remanufacturing processes.
Although the company has developed and accumulated know-how involving each
of its processes, its president indicated that know-how in cleaning and surface
treatment of subparts is primarily important. This estimate reinforces previous
studies showing that cleaning process is the most costly and knowledge-intensive
process in auto parts remanufacturing (Hammond et al. 1998). Products can be
remanufactured two to four times.
Until the early 1990s, there had been little demand for remanufactured auto parts
in Japan, and Shin-Etsu Denso shipped most of its remanufactured products to the
United States and Europe. However, since the late 1990s, the Japanese demand
has increased, and today about 45% of its shipments (measured in yen) are for the
domestic market. The company’s thorough quality control (Fig. 23.9) has enhanced
users’ confidence in remanufactured products and has helped to stimulate demand.
Auto parts remanufacturers are cooperating with suppliers of reused auto parts,
i.e., the car dismantling companies. The companies are forming networks to share
information about inventories (Matsumoto 2009). Car maintenance shops – the main
buyers of reused and remanufactured parts – pass orders to member companies in
the network. So partnerships with reused auto parts suppliers help remanufacturers
to stimulate demand. The Japanese end-users’ low recognition of remanufactured
products is problematic for increasing demand further; nearly 60% of Japanese
drivers know little about reused (including remanufactured) auto parts (Matsumoto
et al. 2010).
The auto parts case study presents the following observations:
• Collection of used products: Shin-Etsu Denso collects used products from car
maintenance shops (by shipping remanufactured products in exchange with used
products) and from car dismantling companies.
• Efficiency of remanufacturing processes: Companies have been developing and

accumulating know-how about processes, especially the cleaning and surface
treatment of subparts.
• Cultivation of demand: Companies have emphasized quality control in order to
build users’ trust in and demand for remanufactured products. Remanufacturers
cooperate with reused parts suppliers to fetch orders from car maintenance com-
panies. Publicizing remanufactured auto parts is significant to further increase
demand in Japan.
5.3 Case Study Summary
The companies that are doing remanufacturing businesses are making efforts to meet
the above described three requirements for successful remanufacturing: (1) collect
used products, (2) develop efficient remanufacturing processes, and (3) cultivate
demand for remanufactured products. Companies’ efforts to meet these require-
ments include: (1) establishing a new collection channel, (2) developing reverse
logistics to collect used products, (3) designing products for remanufacturing
(DfReman), (4) accumulating know-how to establish remanufacturing processes,
(5) controlling product quality to stimulate demand for remanufactured products,
and (6) incorporating used components into new products to increase the demand
for remanufactured products (Matsumoto and Umeda 2011).
Many previous studies on remanufacturing have emphasized OEMs, which have
numerous advantages over IRs and perhaps greater incentive to remanufacture.
Lund and Skeels (1983) and Lund (1984b) pointed out the advantages unique
to OEMs: feedback on product reliability and durability, competition in lower-
priced markets, a manufacturer’s reputation for quality, and gaining advantages
over IRs in data, tooling, and access to suppliers. Similarly, Haynsworth and
Lyons (1987) envisioned how OEMs could realize the potential for remanufacturing
through appropriate marketing and product design and by developing a product
distribution and return system. On the other hand, OEMs face unique obstacles.
Remanufacturing may reduce sales of new products, and profits on sales of new
products often exceed profits on those of remanufactured products (Ferguson
and Toktay 2006; Linton 2008; Matsumoto 2009). In such cases, OEMs have
little incentive or have a negative attitude toward remanufacturing. OEMs lack of
incentive to remanufacture is a large obstacle in promoting remanufacturing in
society.
OEMs lack of incentive presents IRs with an opportunity, and in that case,
IRs are expected to lead remanufacturing businesses. If IRs successfully create a
market for remanufactured goods and stimulate consumers’ demand, OEMs could
be forced to become remanufacturers despite their reservations. In some countries
in some products, OEMs are already active remanufacturers. The same could
occur if end users demand more remanufactured products, and demand could be
cultivated through IRs’ remanufacturing practices. This is expected to happen for
many products worldwide.
6 Product Design for Remanufacturing
The significance of design for remanufacturing (DFRem) is that design is the

stage that has the strongest influence on environmental impacts (Graedel and
Allenby 1995) and also sets the product’s capabilities. DFRem requires products
to be designed for ease of disassembly, with no damage to the product affecting
functional performance for parts hidden from the customer, and no damage affecting
performance (or provides good mechanisms to rectify damage). A key problem
here is designers’ lack of expertise in designing remanufacturable products (see
for example, Ijomah et al. 2007). As extensively discussed in Ijomah et al. (2007),
a key issue in designing products for reuse is avoiding features that prevent the
product or component from being brought back to at least like-new functionality.
These include:
• Nondurable material that may lead to breakage during refurbishment (manufac-
turing, repair, or reconditioning) or to deterioration during use to the extent that
product is beyond “refurbishment”
• Joining technologies that prevent separation of components or that are likely
to lead to damage of components during separation. For instance, epoxy resin
adhesive bonding may be used to facilitate rapid assembly, but this would hinder
disassembly without damage that is an even greater refurbishment and reuse
requirement.
• Features that require banned substances or processing methods or that may make
returning to functionality cost prohibitive.
Various DFRem guidelines have been proposed. The most useful of such work are
those that are not general guidelines and that also simultaneously consider product
features and remanufacturing process activities.
Table 23.3 shows part of a high-level remanufacturing design guide proposed in
Ijomah (2009).
7 Nontechnical Remanufacturing Hindrances
Many of the key determinants of potential for refurbishment and reuse fall outside
the designer’s control. The major ones of these include legislation, demand,
fashion and manufacturers’ prohibitive practices. Legislation can have a positive
impact because it requires organizations’ to undertake added value recovery of
their products and is making waste disposal increasingly expensive and thus may
encourage manufacturers to design remanufacturable products. However, when
legislation bans the use of a substance, products containing it cannot be reintroduced
into the market and hence would not be remanufactured. Remanufacturing is only
appropriate where there is a market for the reworked product. Thus fashion-affected
products are inappropriate because users may prefer the newer product no matter
the quality and cost of the remanufactured alternative. Some customers demand
newness as a lifestyle choice thus products especially those requiring relatively low
406
Table 23.3 High-level DFRem guidelines (Ijomah 2009)

Product/design characteristics
Process Environmental
activities Material Assembly technique Product structure considerations/safety
Disassemble For components destined for Use assembly methods that Arrange components for ease of Disassembly process should not
product reuse ensure that their materials would allow disassembly without disassembly (e.g., ensure separation require the use of hazardous
are sufficiently durable to survive damage to components joints are easily accessible and substances. Use an
disassembly. Ensure that easily identifiable) Reduce the total environmentally friendly
fasteners’ material are similar or number of parts e.g., by disassembly method and
compatible to that of base reducing/eliminating redundant substances. Consider design for
material thus limiting parts Reduce complexity of disassembly techniques that
opportunity of damage to parts disassembly (e.g., by standardizing would not prevent reassembly
during disassembly fasteners, minimizing number of
joints; using modular components)
Clean Use material that would survive Use assembly methods that allow Arrange components so that all can Do not use banned cleaning
components cleaning process. Use disassembly at least to the point be accessed for effective cleaning. chemicals. Use environmentally
components that all require or at that internal components can be Reduce/eliminate redundant parts. sound cleaning agents and
least can be divided into groups accessed for cleaning Ensure product surfaces are smooth procedures
that require similar cleaning and wear resistant
agents and procedures. For
example, limit the number of
material type per part
Test Identify component material Use joining methods that allow Ensure ease in determining Use environmentally test
components disassembly at least to the point component condition e.g., minimise procedures and methods. Limit
that internal components and disassembly level required to test resource used in test e.g.,
subsystems requiring it can be componens. structure to ensure energy, electricity, water
accessed for testing before and testing sequence mirrors order of
after refurbishment. Input fault product reassembly. Reduce test
tracking device complexity e.g., via Standardization
In the table, the guidelines for only three activities (disassemble products, clean components, and test components) are shown and only a part of instructions
are shown, due to the space constraint. For the original guideline table, refer to (Ijomah 2009).
M. Matsumoto and W. Ijomah
initial financial outlay or that are in prominent locations in homes are generally
less amenable to profitable remanufacturing. Manufacturers’ prohibitive practices
such as patents, intellectual property rights, and anticompetitive manufacturing also
hinder remanufacturing. For example, some printer manufacturers have designed
their inkjet cartridges so that they self-destruct when empty thus preventing their
remanufacturing. However, if there are no old products to cannibalize or good
parts cannot be obtained from existing used products and the technology for
producing new parts becomes obsolete then remanufacturing of the product would
be impossible.
8 Summary
Remanufacturing is a key element in realizing a sustainable society. This chapter

has defined and differentiated remanufacturing from related processes of repair
and reconditioning. It has described the remanufacturing industry and types of
remanufacturer. It explained the remanufacturing process and the necessary business
environment for it and gave country-specific examples of the practice from the
Japanese perspective. Finally it introduced the design for remanufacturing concept
outlining its key issues. The advancement of remanufacturing requires a complex
and far-reaching web of events including research and development of remanu-
facturing processes technologies, analyses of remanufacturing businesses, DFRem
development, and debate on enabling legislation and social systems.
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Reuse of Components and Products:
“Qualified as Good as New” 24
Ferdinand Quella and Fevzi Belli
Abstract
Apart from benefits for environmental protection, reuse of components and
products offers attractive economic advantages, provided that components are
“qualified as good as new,” which (in this chapter abbreviated as “quagan”)
entails a new concept first introduced in the international standard IEC 62 309.
This standard has been initiated by the authors of this chapter, who have worked
out the quagan concept to overcome prejudices against and to promote reuse of
components and products.
Nowadays electronic components in most products have a considerably longer
life expectancy than required. Thus, a quagan component, deployed in a second
life in a new product, can have a higher reliability degree than the new ones
because of a simple fact: Early failures have been already eliminated by its
“previous life.” Taking this into account, it is evident that quagan concept
supports the interest of manufacturers, customers, and society at the same time.
• Manufacturers can make a profit by taking back used products and making
them “quagan” (a process we call “quaganized”), using the same test proce-
dures as they have for the new ones and, at the same time, fulfill legislative
requirements concerning environmental protection.
• Consumers get updated products for a lower price with the warranty granted
for new products.
• Government achieves higher recycling rates.
F. Quella ()
Siemens, retired, DKE/ISO/ZVEI, formerly headed workgroups/projects, Ottobrunn, Germany
e-mail: Qusaeng@t-online.de
F. Belli
EIM/E-ADT, Department of Electrical Engineering and Information Technology,
University of Paderborn, Paderborn, Germany
e-mail: Fevzi.Belli@adt.upb.de

DOI 10.1007/978-1-4020-8939-8 42,
410 F. Quella and F. Belli
To convince quagan consumers of getting a technically up-to-date product, the

quality procedures, including the ones to fulfill the safety requirements, and
their documentation must be visible. The purpose of this chapter is to provide
guidelines in accomplishing this.
As a first step, quality requirements for “qualification as new” are discussed.
This is not trivial because of the necessity to extend the common perception
of “new products” to those products containing “as good as new” components.
It is likely that this will also lead to changes in the state of the art of legal
understanding of the notion “new” because it usually implies using only new
components in new products. However, the fact might help here that some
products, for example those in the electrical and electronic (E&E) industries,
have long contained not-new components that have been already artificially pre-
aged due to accelerated testing to avoid early failures.
As a next step, this contribution explains how a manufacturer has to plan for
several product generations in advance because, the products sold – if required
by law or voluntarily – will return to the plant at some point after the end of
their lifespan. Many processes have to be installed and planned in advance; for
example, a tight connection to customers, value analysis of attractive, high-value
components, their cleaning, restoration, and qualification. Last but not least, these
processes have to be documented to inform all parties involved.
This chapter explains also how “design for recycling” can work and what
should not be reused. Recommended for recycling are the simple and easily
testable, modular components. Up to 25% of a product can be reused, but often
only a single component makes up the core of recycling because of its monetary
value. However, the value chain should also include spare parts that can be
extracted, and materials to be selected for high-quality recycling.
Finally, the state of the software of more complex product systems and
their upgrading process is also important. Therefore, refurbishment rules that
necessitate hardware and software upgrading should best avoid environmentally
contra-productive instructions, for example, the unnecessary charging of batter-
ies or energy consuming load/store instructions in programs. A corresponding
standard to the IEC 62309 for software reuse is in the planning.
To sum up, the reader of this chapter will learn that a good concept such
as refurbishment is not enough to achieve sustainability. Sustainability includes
the trust of all participants in the process and assistance with potential legal
problems, thus bringing advantages to all participants.
1 Introduction
Reuse of electro and electronic (E&E) components and products is a very sustainable
process because of the following facts:
• Residual values within the components can be activated.
• Resources can be saved; the environment can be protected.
• Recycling ratios can be increased.
• Customers get high-grade products at a considerably lower price.
24 Reuse of Components and Products: “Qualified as Good as New” 411
• Producers can extend their production to different markets; negative impacts on

existing markets can be avoided.
• Plants can be utilized in a more effective way.
• Government can better reach targets for environmental protection.
The standard IEC 62309 (2004) was developed to promote the reuse of electronic
components. However, some further barriers still have to be overcome for a
broader application of reuse. After discussion with industrial organizations, NGOs,
applicants, legal and quality experts, the main problems have been identified in
• Lack of definition of the state of quality of used components
• Unsecure legal situation for customer and producer
• Anxiety about hidden failures
• Different legal situations in various markets and countries
To overcome the obstacles mentioned above, the development of the international
standard IEC 62309 had been initiated in 2001 and was released in 2004, which
established a framework for minimum requirements for customers and producers.
One of the merits of this standard is the definition of quality requirements for
qualification as good as new, which extends the perception of “new product” to
those containing qualified as good as new(quagan) components.
The standard particularly covers E&E products which preferably contain compo-
nents that are artificially pre-aged due to accelerated aging to avoid early failures.
2 A New Approach
The idea of reusing components also for the manufacturing of new products
arose many years ago in the copy machines industry. One of the most prominent
companies involved was Xerox. In spite of their good ideas, as compiled in their
internal company rules they did not initiate an international standard to promote
internationally comparable criteria for reuse.
The easiest way for a producer to practice reuse is to include all potential
“quaganable” components in the production line. In such a case the refurbished
components can be checked in the incoming inspection and be transferred directly
to the production line of the new product. To promote the idea of reuse of the quagan
components, the following processes were subject of standardization:
• Qualification of quagan components
• The definition of a new product with quagan components
• Documentation and information
• Guarantee
• Environmental aspects
3 State of the Art
Legal definitions for new products are different for various product groups. Espe-
cially for new cars a great deal of legal decisions has been published. The situation in
the E&E industry is entirely different. There, thermal pre-aging is usually applied to
new components and some products to avoid early failures. The new products built
using these components also intentionally contain “not-new” components. From
the viewpoint of quality and reliability science, it can be expected that products
containing reused components whose remaining operational lives are still within the
range of the application period behave similarly; that is, they are of higher quality
than the products that are produced using only new components, as was already
noted by Xerox in one of its Environmental Performance Reports (Xerox 1995).
3.1 Products Preferred for Quagan
Generally speaking, all kinds of products can contain components which are
potentially quagan. There might be a refurbishing step in between. Capital goods
are usually a better choice because they are often in a better state than cheap
consumer goods. The age of the product is often not decisive for a possible reuse.
Components of 30-year-old trains might be reusable. This might be true of computer
components after approximately 3 years of usage; whereas reusable components
of cellular phones are available after a single year. Further examples of capital
goods with reusable components or complete devices are optical machines, medical
devices, and telecommunication equipment. The list of consumer products with
potentially quaganable components is long and includes IT products; for example,
computers, printers, servers, cellular phones, and also household appliances. One
problem here is that those products might often not be in a good condition when
collected by municipal waste collectors and bulkily stored in their stations. Usually
some valuable plastic goods are also available that do not change their properties
much and can be quaganable. There is another quagan components market for
original spare parts. Forerunners in this field can be found in the automotive
industry.
The requirement for “quaganation” is that the remaining working life of the
component be at least the designed life of the new product. A manufacturer also
has to plan for several product generations ahead because the quagan components
will return after some years. Unfortunately, this represents a risk that a change of
technology excludes a reuse.
Figure 24.1 illustrates the fact that the state of “as-new” can be described in a
much easier way than the state of “used” because the only comparison for “new”
is the original specification. This also includes the estimation of the value of the
component. All of the other states of used can be specified in many ways which
might not necessarily be transparent to the customer.
The life of a quagan component ends if its remaining working life is shorter than
the new designed life for a new product. This situation is shown in Fig. 24.2.
Apart from the quality criteria for quagan IEC 62309 contains several examples
for reliability determination and test methods. The standard requires all processes
involved and available information on customers be documented. Documentation
also covers the quality information according to ISO 9001 (2008), including test
results (see Chaps. 4.2.4 and 8.3 of ISO 9001). Thus, the customer is informed
New
component Reuseable but not
for new products
Waste:
Quagan
Only
material
value
Nearly every component

No
is different
as guarantee
Difficult to test,
new Near to
Quality statement
Scrap
difficult
For serial Repair with a

production quality guarantee
Properties, characteristics
Normative range
Fig. 24.1 The range of definition for quagan
NDL for product ANDL for product ANDL for product
Remaining
Working life of Working life of working life of
the new the quagan component too
component component small for quagan
(<ANDL)
Fig. 24.2 Relation between the designed lives for several product generations and the designed
lives of components (cf. IEC 62309). Legend: NDL: new designed life; ANDL: as-new designed
life
about the fact that the new product he or she buys contains quagan components.
This information describes also what has been done to realize quagan in order to
avoid any quality risks and to assure that the guarantee is the same as for a product
consisting entirely of new components.
To avoid misunderstandings which might be caused by the artificial word quagan
the customer can also be explicitly informed by a statement that the product “is a
new product containing components qualified as good as new in accordance with
IEC 62309.”
3.2 Criteria for Components to be Qualified as Quagan
Quagan components can be parts such as housing, cables, or connections. Electronic

components can only be reused as quagan if their failure behavior over time and the
history of the component are known. The “bathtub” curve for the failure behavior
cannot be applied without knowledge of the exact behavior of the component and
some additional data.
If the customer agrees minor differences to a new component can be accepted
including some external, non-functional features such as a shift in the color of a rack.
Not acceptable for quagan components are environmental risks such as hazardous
substances or too high energy consumption.
The costs for the preparation of quagan components, for example, logistics,
testing, replacement of worn elements, and refurbishment should not be higher
than the value of the component. Otherwise, understandably, the component will
be recycled. See Fig. 24.3 which explains cost aspects.
In addition to the drop-off in prices, the costs of logistics, cleaning, and testing
also have to be considered; refurbishment is not always necessary. The final price
for the quagan component is not easy to calculate because a further price drop-off
can occur in storage, a risk for a technology change can arise and, last but not least,
potential savings of the reuse are to be shared with the customers who expect a fair
price reduction.
Quagan components can also be used as spare parts. If an overabundance of
components is available sales on the spot market is also possible. It also happens that
Price for new Potential costs Calculated

= 100 % for quagan + end-price
Potential value added for quagan,
Included
earnings
Annual drop-off in prices
20–30 %
Working costs
+ Overhead 30–40 % Potential
value added
Refurbishment
Material
costs
Cleaning,
Q-Testing
Costs for Logistics

Redemption Costs
Fig. 24.3 Example for costs of a new component compared to the potential costs of refurbishment
and the calculated final price of a quagan component
some components are running out, for example, in plants where longtime service
contracts are common. Then, years later the production of new components will
have to be re-initiated with a special manufacturer, which might cause extreme
high costs. In such cases, the required components suddenly become overvalued.
To avoid this, a trace-back system can be established with customers. This enables a
tighter connection to customers to motivate them to return old products and provides
the opportunity to offer them new ones.
3.3 Software Becomes Important
In IEC 62309 software dependability aspects are excluded; the standard describes
only the requalification of hardware. Nevertheless, nowadays almost any complex
product contains software. Together with the refurbishment the software needs
to be regularly upgraded. Moreover, compatibilities to interoperating components
have to be checked. Complex IT products including medical devices are to be
accompanied by a Device History Record (DHR) which identifies the present state of
their software and lists devices that are compatible with the new software upgrade.
After every upgrade a Device Master Record (DMR) is issued that documents the
new state of the software landscape to enable a continuous service.
A software application can consume a considerably high amount of energy in
the product it is embedded in. Thus, upgrades are to be checked for their energy
consumption. Annex A compiles recommendations for the reuse of software that are
not all necessarily environmentally protective. They are, however, useful to achieve
further improvements. Trends in legislation expect a manufacturer to integrate
means and measures for environmental protection, including energy saving aspects,
whenever a new release of the software is due during the lifetime of a technical
system. In cases in which the hardware of a product is kept largely unchanged
and the system is routinely checked for quality purposes, DHR and the DMR
become valuable documents. DHR lists updates, whereas DMR describes the total
documentation of the manufacturer. After comparison of the requirements and the
present state, the necessary installations and updates are managed to guarantee the
system to be resold is state of the art. The state to be achieved is the same as if
they were being put on the market for the first time. For details see the European
association of manufacturers of medical devices, COCIR (2009).
3.4 Environmental Targets Must Be Achieved
Legal regulations as to the RoHS (RoHS 2003), RoHS 2 (RoHS 2 2011) and the
WEEE Directives (WEEE 2003) in Europe require not only collection and recycling
targets, but also the reuse of components, even if not explicitly specified. At the
moment the targets present no problem in being reached without reuse but most
likely they are going to be set higher. However, not only legal demands but also
common sense should avoid the waste of valuable resources. Especially original
manufacturers can recreate these values which might also constitute a clear benefit
to the reduction of the weight of their waste deposition.
The diversity of materials must and can be reduced to simplify refurbishment and
reuse. The volume of valuable materials collected must be economically attractive
to make the recycling processes run. Many technically and economically practical
solutions have been developed; however, there is still a lack of collected material.
The cost of recycling depends on the number of different materials or compo-
nents to be reused or refurbished; the more there is of them, the more expensive
the process. Remaining materials and components that cannot be recycled will be
dumped or deposited if they cannot be thermally destroyed, that is, burned down to
disposable residue.
Note that a great amount of used thermoplastics can be quaganized at consid-
erably less cost than the cost of a new thermoplastic. The more expensive a new
thermoplastic is like PA, PBT, PC, PPS, or PPO, the less the costs for collection,
testing, and regranulation of a quaganized thermoplastic play a role for the resale. It
is still cheaper than the new material. But a limit is reached if the price for collection,
testing, and re-granulation becomes higher than that of the new plastics. This limit
is often at or a bit above the price of new ABS; new PE and PP are usually cheaper
than the whole process for refurbishment costs. Utilizing the energy in these plastics
is then the best way to recycle them.
4 The Legal Situation
Recycling targets for ten special E&E product categories are set in the WEEE
Directive. In the new WEEE Recast (2008), these targets are to be increased. Similar
legislation exists for other product groups, such as the automotive industry. Reuse
has been also set at the second highest place in political ranking, as expressed in the
new Waste Framework Directive (Waste Framework 2008).
Car manufacturers have to reach a recycling level that is theoretically achievable.
Similarly, manufacturers of E&E products are recommended to estimate the degree
of recyclability of their products although this is not yet legally required. So the
companies are expected to be able to answer questions from customers and the
public. The easiest way is a disassembly and recycling analysis offered by many
qualified recyclers often free of charge.
Limitations also have to be expected by the presence of hazardous substances like
those described by the RoHS Directive for E&E products. Such regulated substances
will no longer be allowed in new products or in new products with quagan
components. This can end a recycling circle over several product generations.
Reduction of energy consumption is one target of the Ecodesign Directive
(Ecodesign 2009) covering almost all products sold with volumes above 200,000
pieces in Europe. Restrictions are manifold and additional ones are continu-
ously being published with the progress of studies and implementing measures.
Environmental information about products is required if a product is affected by
the Ecodesign Directive. As a tool the Ecolabel standard according to ISO 14 021
(1999) can be used. The information about the content of quagan components and
their contribution to the product’s effects on the environment can also be placed in
this declaration. In cases involving quagan the impact by the product itself is the
same as that of a new product, but the resources saved can be subtracted.
5 Sustainability in the Processes
If the entire reuse process as explained in Fig. 24.4 is optimized the process be-
comes sustainable. Ideally, the new product is supplied when the old one is returned
to the manufacturer (1), where disassembly, and refurbishment is carried out.
Components can be integrated into the production or sent to suppliers (2a) or (2b).
In the ideal case the material could be completely reused by suppliers (3a) for the
same or other purposes or in their own production (3b).
As described in Sect. 7 these processes can be optimized using the Design
for Recycling (DfR) approach. Inefficient components/products or environmentally
incompatible components/products will be eliminated.
6 Qualification Criteria and Process
For reasons of quality assurance, the entire process of qualification from take-back
and evaluation of the component, disassembly and testing until reuse in a new
product or as spare parts must be described and include a quality management sys-
tem according to ISO 9001. Also an environmental management system according
to ISO 14 001 (2004) should be available. Part of the management system must
be a DfR process and a planning system for several product generations. COCIR
has listed in its guide Good refurbishment practice (COCIR 2009) many more
management processes to be installed to avoid risks with reuse that include an early
Supplier Production Supply to customer
Reuse of
Reuse of Forward
material
components Backward
(3a)
(2a) Logistics (1) Customer
(3b)
(2b)
Disassembly/
Take back/
Recycling/Recovery Refurbishment
Supply from customer
(Original manufacturer)
Fig. 24.4 A sustainable, logistic path of a component and a product to a customer and back to the
manufacturer and supplier
warning system if unforeseen failures suddenly occur. Included in the qualification

processes are
• The history of the component
• Test procedures
• A description of the state of the component
• Environmental evaluation and exclusion criteria
• Software evaluation, state of software and compatibility
• Documentation (internal and external for customers and information of the public
information, for example, about environmental aspects)
As depicted in Fig. 24.2 the state of “as-new” is very close to completely new
but is often achieved after pre-aging. Some deviations as to color change or a
second coating are allowed. Also components showing wear could be reused if their
remaining working life is longer than that of the product (see Fig. 24.3).
Environmental criteria not only cover the evaluation of substances included in the
product, but its energy consumption and an evaluation of its software as well. Also
an environmental management system for all processes is required for a systematic
procedure. A plan optimizing take-back and recycling until deposition will reduce
additional costs. Such a plan also has to include the selection of the recyclers, the
reporting of recycled quantities, and improvement targets for avoiding too wide a
deposition.
Documentation of the component’s state, test procedures, test results, applied
tools, potential repair, etc. are important to establish a trusting partnership with
the customer. A customer might also be interested to know the complete quality
planning process for a component. Some results might be more internal but
some necessary information should be included in general customer information
at any rate. This might be the component’s designed working life, guarantee,
environmental aspects, and of course, price.
7 Design for Recycling (DfR)
One part within the Ecodesign process is the DfR. DfR enables an easier disassembly
which also largely means easy assembly. It is often achieved by a modular
construction of the product. As easier assembly means lower production costs.
DfR can also be seen not only as a tool for the reduction of the environmental
impact but as a synonym for cost reduction as well. Besides the required reusable
components DfR should also enable the easy collection of the valuable materials
without impurities for an efficient material recycling. Rules for DfR are described in
the standard of the Association of the German Engineers VDI 2243 (2002). Some
important rules are summarized in Annex B. They are usually integrated into similar
lists of companies’ design rules as assistance for the development engineers.
The disassembling and refurbishment of the product structure has to be carefully
planned in detail. This is important for an expeditious replacement of the desired
components not only for remanufacturing but also for shorter service periods. The
planning must consider not only one but several product generations. This means
Table 24.1 Relation between building a structure of a product, connections selected materials,
and functional units for a three-level hierarchy (extended table version of IEC 62 309) in a DfR
concept
Building Functional
Level of detail structure Connections Materials units
General Recycling Non-destructive Ability to recycle Ability to reuse
concept disassembly
Product Modularity Connection cate- Utilization, Division into
specific gory, diversity compatibility functional units
Component Accessibility Dismantling Material diversity Ability to reuse,
specific depth, exchange or repair
dismantling
time
Material Separability Dismantling time Material Material diversity
specific selection within function
the type of component must be kept the same even if the product family or the state-
of-the-art of technology changes. An efficient take-back system has to be installed
to get the products back in good condition. Different models are applicable for a
take-back according to the quantities desired. Leasing is not the only method that
enables a return of the product after a certain time. Contracts could also be made to
continually offer customers an upgraded version of the product. In addition a close
connection to the customer is required and the sales department has to know where
the sold products are located. In the case of medical devices an exchange of used
products is also agreed upon between major companies to offer a competitor their
product if the product is substituted by another one. Depending on the life cycle the
take-back system and the changes expected in technology have to be considered as
well. Some parts of a train coming back after 30–50 years might have only one more
life; other parts might have three or more lives.
For the DfR the product structure can be split into its functional units, such as
engine, chassis, tubes, cables, etc. This procedure is now often standard within
the development engineers’ community. An extended procedure might now be to
construct these units so that the worn-out element can easily be replaced. Also the
functional unit can be designed to be so slim that most of the elements not required
in the unit are added to another unit that is not interesting for reuse. This can save
volume, time, costs of transportation and storage.
Level-specific points of view require corresponding rules. In Table 24.1 it is
explained what should be done to improve a product for better reuse. Three levels
are identified: the product, component, and material level. Modularity, for example,
on the product-specific level has influence on the connections and the utilization if
it is changed. Components should easily be accessible and dismantled. Too much
diversity of the materials is not acceptable. Materials should be easily separated.
It can be seen from this table that the more detailed a reuse is planned, the more
influence it has on product structure, materials, connections, and other things. For
every level of detail different characteristics are important.
Recyclers can not only disassemble components, but also store components as
spare parts if they employ experienced staff. Thus, they can expand into new
business fields and offer more interesting jobs.
As mentioned, DfR is only one part of Ecodesign (cf. Quella, this book,
chapter Ecodesign Strategies: A Missing Link in Ecodesign). Through Ecodesign
an overall reduction of the environmental impact should be achieved and experi-
enced over the entire life cycle. Such procedures are described in IEC 62430 (2009).
The Ecodesign directive will affect also the design because of its legal requirements
for energy-related products. The designers taking DfR into account should at any
rate try to minimize the environmental impact by their product through a complete
Ecodesign concept. For more general concepts see Wimmer et al. (2010) and
Quella (1998).
7.1 An Example of DfR
In the following an X-ray tube for computed tomography is used as an example of

DfR. In Fig. 24.5 a schematic drawing of the old version of the X-ray tube with
the bearings integrated in the vacuum system is shown. A very high rotation speed
causing high temperatures requires strong cooling.
Only by completely redesigning the product can the problems of an existing
construction be solved. In the case of the X-ray tube in Fig. 24.5 many functions
were integrated in one housing which makes repair and reuse difficult. Especially
the bearings suffered from the vacuum and high-temperature conditions. Whenever
the bearings were worn the complete very expensive tube had to be exchanged.
So the solution consists in more modules instead of one. For a new tube system,
especially the electronics, the cooling system and the radiator were redesigned as
separate components, replacing integrated non-modular equipment. The bearings
Rotating anode
Radiator housing
Vacuum with cooling oil
Thermal
problem &
Mechanical
problem
Cathode/Heating coil Ball bearing in vacuum
Fig. 24.5 An older model of an X-ray tube. Radiation cooling time is too long. High centrifugal
forces lead to an overload of the bearings in the rotating anode (Source: Siemens Healthcare)
Fig. 24.6 Straton X-ray tube. Comparison of new and former product. Result of the new
development: 66% material saving, 33% higher scan performance, up to 40% recyclable parts
in new tubes (Source: Siemens Healthcare)
in Fig. 24.5 seen in the vacuum chamber were placed outside the vacuum chamber
in the new version. Now the worn bearings can be easily replaced. All these
components now can be more easily separated, disassembled, and refurbished with
strong cost reduction also for the customer.
In Fig. 24.6 some successful changes in the redesigning of an X-ray tube can be
seen at first glance in comparison with the old version. The target of several reuses
for the radiator and cooling was already anticipated during the development of the
new system. Reusing material saves costs. In addition body material consumption
was reduced by 50% and costs by 40% by switching to an injection molding guide.
8 Conclusions, Future Developments Expected
Many companies have decided to refurbish their valuable products that they take
back. A large group of manufacturers belong to the medical sector. They offer many
advantages by providing refurbished systems to their customers. More refurbished
industry products can be found by an Internet search; not all follow the quagan
concept. Some should be considered with caution.
As special products require special conditions it was necessary to develop
special recommendations to convince people in the healthcare sector. COCIR has
therefore published rules for Good refurbishment practice which in part exceed the
requirements of quagan in the IEC 62309.
With the New Work Item Proposal for the reuse of software (IEC TC 56 (2009))
the gap between refurbished hardware alone and hardware plus software has been
closed.
The discussion about the failure curves over time (“bathtub” curve) is still going
on, but an updated theory would help to overcome many problems with the reuse of
electronic components. Before this is achieved it can only be recommended to apply
the results of one’s own reliability research. If such results are not available a reuse
of the components in question can hardly be planned.
In addition, the political situation has strengthened the role of reuse and set
it at the second highest level in the new Waste framework Directive. A stronger
promotion of the reuse of industrial goods has been announced as a first step.
We are convinced that the potential of reuse in the sense of quagan is much
higher as briefly described in this chapter. In order to extend this concept an overall
investigation of exchangeable components in the market is necessary. In addition
standard components from different products could be exchanged.
Annex
Annex A: Checklists for the Software Upgrade During the

Refurbishment Process
A1: State of the Software in the Used Equipment

1. Which software upgrades are available and which are compatible with the old
and with the upgraded equipment?
2. Which updates have been installed in the old software?
3. Has the compatibility of upgrades or reused software with the remanufactured
product already been tested?
4. Which hardware components (new/reused) should be integrated and which new
functions should be available in the new product?
5. Is there a need to develop new software program steps for some hardware
components that are new in the upgraded/remanufactured hardware product?
6. Is the number of new hardware components to be used with the remanufactured
product limited, or must it be limited because problems could occur?
7. Which hardware components cannot be controlled by the old, upgraded or
reused software in the new hardware product?
8. Are there different standards used in the components such as transfer rates for
data?
9. If a network was used in a production line, for example, is the reused/upgraded
product and its software compatible to the network of that specific production
line?
10. Can the whole product/system be tested? If, for example, the hardware prod-
uct/component will be used in a network in a plant or with the Internet what are
the framework conditions for the reuse of the software?
11. Can installation media for old data also be used with the updated hardware
product (CD, etc.)?
A2: Environmental Aspects of Reused Software in New and Quagan

Hardware Components/Products
1. Is it necessary or possible to integrate energy-saving elements in the software,
for example, automatic pull-down to standby?
2. Are loading orders to batteries, capacitors, etc. checked for energy consump-
tion?
3. Which standards are available to estimate comparable modern energy consump-
tion for the equipment according to “Energy Star?”
4. Does the upgraded software cause far greater energy consumption by the
upgraded equipment and how can it be reduced?
5. Is the run-time for some tasks too long?
6. Energy consumption in comparison with new hardware equipment; can a too
high consumption be reduced by a new software approach?
7. Is a combination of new hardware and software necessary to reduce energy
consumption for example, in conjunction with switchable power supplies?
8. Is energy consumption checked for possible impact by components like
printers?
9. Can hardware in the upgraded product be substituted by software, such as fax
capabilities?
10. Can hardware be simplified, for example, substituting batteries with capacitors?
11. Is it a simple process to test the system (product and software)?
12. Is it easy to use the product and its software?
13. Are there recommendations available for an energy-saving mode in the
product?
A3: Aspects of the Harmonization of Hardware State and Possible

Software States During a Refurbishment Process of Product or System
(COCIR 2009)
1. Is the state of the hardware checked that is in place with the reusable system?
2. Usually the DMR of the producer defines the requirements. Which software
versions are compatible with the existing state of hardware?
3. Usually the producer’s DHR explains which software states are compatible to
which hardware states. Is the software update process defined?
4. Usually a recommendation of the producer is available. Is the completed system
tested? Hint: sometimes software updates have to be arranged in a certain order
of steps.
5. Are all actions in connection with the software update documented?
Annex B: Important General Rules for DfR (Partly Taken from

VDI 2243)
(In detail there might be limitations for the applicability of some rules.)
B1: Product Structure

1. Are separable modules according to functional units used?
2. Is there a plan for functional modular structures?
3. Are horizontal structures preferred?
4. Are all potentially reusable components and materials easily accessible, easy to
disassemble?
5. Is simple separation of auxiliaries, liquids, cable trees, and electric nets for ease
of disassembly allowed?
6. Are E&E components easily accessible and placed on the highest possible
disassembly level?
7. Are batteries avoided?
8. Are worn parts readily changeable?
9. Are reusable parts marked?
B2: Materials and Surfaces

1. Are materials marked according to international standards?
2. Are substances avoided detrimental to recycling?
3. Are materials used economically attractive for recycling?
4. Are materials used compatible to the recycling procedures applied?
5. Is the diversity of materials reduced?
6. Is the surface coating compatible with base material for recycling?
7. Are recycled plastics used; are metal inserts avoided?
8. Are halogen-free printed circuit boards used?
9. Is a laser used for inscription if possible?
10. Are easy to clean surfaces used, which do not change color during aging?
11. Is materials’ weight reduced by optimizing thickness, by combining, by
substituting mechanics with electronics or software?
12. Is unnecessary packaging avoided?
13. Are standardized components used?
14. Are labels avoided or those used compatible with the base material for
recycling?
B3: Disassembly and Joint Technologies

1. Are number and variety of joints minimized?
2. Are same joints used everywhere?
3. Is the same disassembly direction applied everywhere, preferable axial in
direction of disassembly?
4. Are joints easily soluble and accessible without destroying?
5. Are snap connections used instead of screws?
6. Are connections avoided that cannot be dissolved such as bonding, welding,
riveting?
7. Is the application of standard disassembly tools enabled?
8. Are peripheral snap connections applied for printed circuit boards?

9. Are fixing elements for electromechanical components accessible without using
electric power?
B4: Removal of Auxiliaries

1. Are liquids able to be removed quickly and completely?
2. Is the possibility of an accessible outlet foreseen?
9 Summary
The applicability of the concept “qualification-as-good-as-new” (quagan) covers

components used from short time to long time up to 20–30 years. Real limitations
for reuse are only given in a completely new design, in a technology change or in
the non-compatibility of software.
The improvement potential in the average is estimated in the range of 25% both
in quantity of components and in cost savings. It can be more but depending on
product and market also only one component might be of interest for reuse.
Preconditions for reuse as “quagan” are the installation of a take-back system,
a skilled recycler, interested and informed customers, and an existing quality
management system. A worldwide valid standard such as IEC 62 309 helps to
overcome prejudice in the application of the concept by clear and legally acceptable
definitions like the integration of “quagan” components in a new product and a
trustable framework for the acceptance by the customer.
Reuse meets a growing market as can be seen by more and more offers for
refurbished systems in the Internet.
The last missing link in the concept might be an international standard for the
integration and/or the reuse of the corresponding software of complex components
within the software of a new product. An international standardization proposal has
been made (IEC TC 56 2009).
10 Cross-References
Ecodesign Strategies: A Missing Link in Ecodesign

Eco-business Planning: Idea Generation Method
New Business Models for Sustainable Development
Remanufacturing
Services
Sustainable Consumption
Sustainable Production: Eco-efficiency of Manufacturing Process
References
COCIR: Good refurbishment practice Version II (2009), http://www.cocir.org
Ecodesign, Directive 2009/125/EC of the European Parliament and of the Council of 21 Oct 2009
establishing a framework for the setting of ecodesign requirements for energy-related products
(recast), OJ of the EU of 31 Oct 2009, L285/10–35
IEC 62 309, Dependability of reused parts – requirements for functionality and tests (International
Electrotechnical Commission, Geneva, 2004)
IEC 62 430, Environmentally conscious design for electrical and electronic products and systems
(International Electrotechnical Commission, Geneva, 2009)
IEC TC 56, IEC 56/1332/NP (2009) Reliability of software products containing reused components
– requirements for functionality and tests (International Electrotechnical Commission, Geneva,
2009)
ISO 9001, Quality Management Systems – Requirements (International Organization for Standard-
ization, Geneva, 2008)
ISO 14 001, Environmental Management Systems – Requirements with Guidance for Use
(International Organization for Standardization, Geneva, 2004)
ISO 14 021, Environmental Labels and Declarations – Self-declared Environmental Claims
(International Organization for Standardization, Geneva, 1999)
F. Quella (ed.), Umweltverträgliche Produktgestaltung (Publicis MCD, Erlangen/Munich, 1998)
RoHS, Directive 2002/95/EC of the European parliament and of the Council of 27 Jan 2003 on the
restriction of the use of certain hazardous substances in electrical and electronic equipment; OJ
of the EU 13.2.2003; L37/19–23
RoHS 2, Directive 2011/65/EU of the European Parliament and of the Council of 8 June 2011 on
the restriction of the use of certain hazardous substances in electrical and electronic equipment,
OJ of the EU 2011; L174/88–110
VDI 2243, Recycling Oriented Product Development Beuth (Beuth, Berlin, 2002)
Waste Framework, Directive 2008/98/EC of the European Parliament and of the Council of
19 Nov 2008 on waste and repealing certain directives; OJ of the EU of 12 Dec 2008; L312/3
WEEE, Directive 2002/96/EC of the European Parliament and of the council of 27 Jan 2003 on
waste electrical and electronic equipment; OJ of the EU of 13 Feb 2003; L37/24–38
WEEE Recast, Proposal for a directive of the European Parliament and of the council on waste of
electro and electronic equipment from 3 Dec 2008
W. Wimmer, K.M. Lee, J. Polak, F. Quella, Ecodesign – The Competitive Advantage (Springer,
Amsterdam, 2010)
U.K. Xerox, Environmental Performance Report 1995, Rank Xerox, UK, p. 16, 1995
Supply Chain Management for
Sustainability 25
Masaru Nakano
Abstract
Supply chain management for sustainability, or providing a sustainable sup-
ply chain, has become increasingly important with the growing awareness
on global warming and energy security. This chapter discusses management
issues such as sustainable supply chains, sustainable enterprises, and sustainable
manufacturing.
Viewing the subject from the perspective of manufacturing enterprises, the
conventional studies related to this area can be classified into two categories:
environmental issues and risk management. A supply chain that addresses
environmental issues is often called a green supply chain, and it incorporates
energy efficiency and reverse supply chain reducing waste and health problem
caused by hazardous substances. These issues are widespread and important
for a sustainable society in terms of global warming, energy security, and
pollution. A key approach is systems thinking – visualizing problems, defining
boundaries, setting goals, and simulating policies to predict their effects. A
methodology to tackle these issues should involve all stakeholders in the supply
chain, i.e., consumers and governments, as well as the product lifecycle, which
includes mining, refining, power generation, processing, assembly, logistics,
sales, maintenance, and recycling. Even if one sector reduces the environmental
load, the activities might significantly increase the environmental load in other
sectors. Other management aspects are the time, where policy and technological
developments work in the reverse direction from specific goals within a time
frame, and space, which is increasingly global.
Risk management for disruptive events in supply chains requires a methodol-
ogy of monitoring and resilience to mitigate disruptions such as natural disasters
M. Nakano
The Graduate School of System Design and Management, Keio University, Yokohama,
Kanagawa, Japan
e-mail: m.nakano@sdm.keio.ac.jp

DOI 10.1007/978-1-4020-8939-8 44,
428 M. Nakano
and financial crises. Globalization forces globally distributed enterprises to act

more quickly when a disruptive event occurs. A systematic approach, such
as visualizing risks and defining metrics, is still important for preventing and
mitigating risks. Management must understand that disruptive events create not
only hindrances, but also opportunities to win business from competitors.
Japan is well known for its energy-efficient and environmentally sound
technology. This chapter also presents the history of Japan, which witnessed
events from people suffering from health problems due to pollution of water, soil,
and air, to the development of energy-efficient technology to deal with oil crises
twice in the 1970s. The introduction explains why the enterprises and people of
Japan are well aware of environmental issues.
A few examples from the automotive industry illustrate the specific challenges
of managing supply chains. The examples include the substitution of materials
in cars in terms of lifecycle assessment and a predicted shortage of copper for
clean energy vehicles. The smart grid system is an example of a large system that
requires system and lifecycle approaches.
Finally, other challenges are discussed for future research. There are three
levels for analyzing environmental issues: macro, mezzo, and micro approaches.
The mezzo level approach is the most appropriate for supply chains and is
expected to be studied by more researchers. A socio-technical approach that
includes both policy and technology roadmaps appears to be a promising
approach.
1 Introduction
Supply chain management is becoming increasingly important in globalized busi-

nesses due to the rapid development of business. It is important to understand the
scope of supply chain management in the context of sustainability.
Supply chains include a broad range of products, from fresh food in the
agriculture industry, which must be consumed within a specific period, to industrial
products having many layers of business-to-business (B to B) suppliers in global
manufacturing networks. This chapter focuses on consumer goods manufacturing
industries such as automotive and electric appliances, and the related supply
chains (Kubota et al. 1999); these industrial sectors include many typical business
processes, such as market research, business planning, product design, production
system design, factory operation, logistics and distribution, sales and branding,
maintenance and service, end-of-life, and recycling, as shown in Fig. 25.1. Although
automotive manufacturers often manage the entire supply chain by themselves,
enterprises in other industries often cooperate in managing the supply chain. An
architecture where multiple enterprises collaborate in a single supply chain, or a
virtual enterprise shares a supply chain and behaves as a single large enterprise, is
often called enterprise integration. Multiple and complicated supply chains are often
referred to as a network of supply chains, or a supply network. Section 2 provides a
more detailed definition of supply chains.
25 Supply Chain Management for Sustainability 429
Constraints
Labor Earth Global

Technology
Market
Manufacturing Enterprise
Maintenance/ Marketing
Service/ research/
Recycle Business
planning
Product
design
Sales
Production system
design
Manufacturing
Distribution Operation
Suppliers
Fig. 25.1 Supply chain for manufacturing enterprise
Figure 25.1 also illustrates the constraints in the circumstances of an enter-

prise. In the field of supply chain management, some researchers focus on only
logistics; however, this chapter deals with a broader area, including strategic
topics such as marketing strategies and risk management to survive under the
constraints.
The term sustainability is popular, and often seen in academic journals, confer-
ences, and books, even in supply chain management; however, the concept of supply
chain management (SCM) as applied to sustainability is not clearly defined. Some
consider that the term sustainable refers only to environmental or energy (green)
issues, while others emphasize the sustainability of the business. In this chapter, the
phrase “supply chain management for the sustainability of X” is used instead of the
vague phrase “supply chain management for sustainability.” Here, X can represent
society, the environment, a product, or enterprise. One other possible translation of
430 M. Nakano
the idea is simply the sustainability of the supply chain itself. This is relevant to
business competition and concerns about supply chain disruptions. The sustainable
supply chain should be used to describe the sustainability of the supply chains;
therefore, this chapter avoids the term “sustainable supply chain” except in reference
to conventional studies. Another terminology issue is in the phrase “green supply
chain management (GrSCM).” Some researchers use the abbreviation “GSCM” to
mean SCM focused on green issues, but this chapter uses GrSCM to differentiate
it from global supply chain management (GSCM). Green leaves absorb CO2 and
emit O2 ; thus, the term green is largely related to global warming. However, a
convenient term is still required to explain the supply chain in terms of other energy
and pollution issues as well. Therefore, in this chapter, green refers to all environ-
mental issues. Section 3, the main text, describes current trends in green supply
chains.
A sustainable supply chain is referred to as a competitive supply chain in this
chapter, and is introduced in detail in Sect. 4. The section introduces conventional
studies on resilient supply chains or enterprises that mitigate the effects of disruptive
events, such as natural disasters and financial crises. The roles of collaboration and
competition are discussed in the section.
Metal resources are important issues to be considered in terms of their role
in supply chain management. Valuable metals such as rare metals cause business
problems in competitive supply chains through shortages and high prices, while
some metals such as cadmium produce pollution that is hazardous to human
health. A recycling-based society is the key to tackling both problems. The issues
related to metal resources and recycling are discussed in detail in Sect. 5; they are
social problems and the solutions require both competition and collaboration by
many stakeholders. Japan is well known for its advanced technology in pollution
control and energy efficiency. Section 5 describes Japan’s struggles with pollution
and energy costs in the 1960s, and how the experience brought about advanced
technology in Japan.
The entire supply chain should be managed to deal with green issues. Even
if energy consumption, CO2 emission, and material consumption are reduced
in factories, this effort might increase them in other parts of the supply chain.
Section 6 introduces examples to support this concept and proposes a systems
approach to obtain solutions. The author emphasizes that green supply chain
management requires a lifecycle approach, which includes both lifecycle assess-
ment and the 5Rs: reduce (material reduction in product design and manufac-
turing), reuse (product reuse with repair), recycle (recycle materials after end
of life), recovery (energy recovery), and remanufacturing (reproduction of parts
and products, which includes reassembly and reprocessing). The essence of the
systems approach is to prevent a disruption or hard landing, targeting a goal,
and designing the future backward. Moreover, not only forecasting the future,
but also designing systems for it, is essential. These strategies are summarized
in Sect. 7.
2 Supply Chain
2.1 Scope of Supply Chain
As shown in Fig. 25.2, the author proposes three supply chain axes: time, space,
and standardization. The time axis represents delivery; materials and products are
distributed to customers. The space axis represents the expansion of supply chains
due to globalization. The standardization axis represents the cooperation of multiple
enterprises. The scope of supply chain management is shown as follows:
• Design/production/distribution/sales/after-sale service
• Tie-ups with multiple corporations
• Value chain
• Business model
• Corporate information model
• Corporate strategies
• Corporate risk
• International standards
• Supply network infrastructure
Although the supply chain is often seen from the viewpoint of the original
equipment manufacturer (OEM), suppliers have relationship with multiple OEMs
and suppliers as shown in Fig. 25.3. Therefore researchers often prefer to use the
term supply network management instead of supply chain. This concept leads to
interesting topics integrating many enterprises and fostering of new business fields
by public sectors using standardization and subsidies.
Space expansion
Global optimization
Enterprise integration
Time reduction
Business speed up
Reuse of knowledge
Standardization
Infrastructure
Cooperation of tools
Fig. 25.2 Three axes of supply chain management

432 M. Nakano
a Tier 3 Tier 2 Tier 1 OEM
Supply chain
Supply network
Fig. 25.3 Supply chain and supply network
2.2 Value Chain
A value chain is a supply chain that creates value throughout the entire process of
product development, manufacture, and customer service. The value of components
in the supply chain can be determined as follows:
– Check whether a process is effective and non-wasteful
– Concentrate resources on important tasks
– Check the value of the task
– Clarify business targets and their relationship to the process.
The following two criteria should be employed to evaluate the elements in a supply
chain:
Which elements make a valuable contribution to the results? (Value evaluation)
Which elements play an important role in overall efficiency? (Efficiency
evaluation)
Consider a supply chain that consists of the three suppliers as shown in Fig. 25.4.
Product X requires two suppliers A and C. The product price is $100 and the cost
is $80. Product Y requires three suppliers A, B, and C. The product price is $120
and the cost is $90. What is the value of supplier B? There can be various answers,
depending on the specific circumstances.
A B C
Fig. 25.4 Evaluation of value chain
• B might be important because product Y may be more profitable than product X.

• If product X sells ten times more than product Y, what is the value of B?
• Product Y may contribute to the sales of product X as it might have a higher
corporate brand.
Value can be diversified in areas such as profits, quality, speed, flexibility, and
brand. Key issues that create value are also diversified into areas such as system
architecture, process, component quality, and management. An essential point of
the value chain for sustainability is that it is long term. The green supply chain
may not be suitable to produce short-term profits, but is very promising in the
long term because of the brand, corporate culture, and personnel satisfaction of all
stakeholders.
3 Sustainability and Supply Chain
This section defines several important keywords in the context of supply chain
management for sustainability.
3.1 Sustainability, Risk, and Green
There are some well known definitions of sustainability (Sutherland et al. 2008):
– “Sustainable development is development that meets the needs of the present
without compromising the ability of future generations to meet their own
needs.” (Brundtland 2005)
– “Sustainability is the concept of robust future development in the ecological,
economic and social dimension of human existence” (German Parliament 1998)
– “The world has enough for everyone’s needs, but not enough for everyone’s
greed.” Mahatma Gandhi
It is believed that a corporation should contribute to social sustainability. Nike
CEO Mark Parker said: “Corporate Social Responsibility is for us a catalyst for
growth and innovation.” Currently, you see environmental reports and corporate
social responsibility reports (CSR) on many company websites. CSRs often describe
environmental issues but they also address worker education, support for the
disabled, gender equality, and sometimes raise funds for devastated areas.
This chapter differentiates environmental issues as “green” from sustainability
although green is one way of achieving sustainability.
434 M. Nakano
Sustainable
Green
Risky
Fig. 25.5 Sustainable, risky, and green have similar meaning and overlapping parts
Risk is defined as the uncertainty for which a probability can be calculated

or at least estimated mathematically. Which was better, cockroach and dinosaur
in terms of sustainability? Of course, cockroach survived. It is essential to avoid
sudden death from fluctuating circumstances over long term. Figure 25.5 shows an
illustration of the three main qualities of supply chains, i.e., sustainable, risky, and
green overlapping.
3.2 Sustainable Supply Chain Management
Conventional literatures such as Seuring and Muller (2008) often use the term
sustainable supply chain, as the concept of a green sustainable supply chain;
however, the term is used in this chapter has the same meaning of supply chain
management for sustainability.
3.3 Green Supply Chain Management (GrSCM)
Green supply chain management is often abbreviated GrSCM to differentiate it

from global supply chain management (GSCM). According to Srivastava’s review
(2007) of 227 papers, conventional studies are classified into three categories: the
importance of GrSCM, green design, and green operations. His definition considers
broad areas but focuses on green operation by noting that green operation is pivotal
to GrSCM. The studies are classified into three categories: green manufacturing
and remanufacturing, reverse logistics and network design, and waste management.
Green manufacturing identifies key technologies of the 5Rs; reverse logistics and
supply network design consider the entire system on the basis of 5Rs.
3.4 Sustainable Manufacturing
The concept of sustainable manufacturing is becoming popular in academic fields

as well (Westkämper et al. 2001; Rusinko 2007; Jovane et al. 2008; Ijomah et al.
2007); however, the definition is still not clear. Umeda (2009) refers to sustainable
manufacturing as an extension of current advances in manufacturing technologies,
but with an emphasis on wider, holistic applications. He selected two major
approaches for sustainable manufacturing:
– Lifecycle approach that requires manufacturers to design, evaluate, and manage
the complete product lifecycle, including its use and end-of-life stages.
– Minimizing material and energy use in the product lifecycle, including products,
manufacturing and inverse manufacturing systems, and logistics, to create the
consummated lean lifecycle.
The lifecycle concept, the minimization concept, and inverse manufacturing
system are basically the same concept as that of a green supply chain. His
approach comes after the initiative of strategic technology roadmaps for sustainable
manufacturing initiated by the Japanese government which began in 2005, mainly
through the Ministry of Economy Trade and Industry (METI 2005–2009), Japan
(MSTC 2008). A characteristic of these roadmaps is that they discuss sustainable
manufacturing from broader social perspectives such as declining birth rates and an
aging Japanese population. The declining birthrate and aging population constitute
the greatest challenges Japan faces in its economic and social structures; they create
restrictions on domestic management resources, such as labor and capital. This
is a new approach and includes study of simulations for social sustainability. The
development of technology roadmaps was followed by Europe in 2009 (IMS2020
2009)
Moreover, Nakano (2009a) proposed that sustainable manufacturing has two
meanings: manufacturing for social sustainability and the sustainability of the
manufacturing sector, which is compatible with the focus of this chapter.
3.5 Supply Chain for Sustainable Society
The requirements for a sustainable society have the same scope as that of GrSCM
in the conventional studies. Here the author’s perspective, which is based on
a systems approach, is discussed, within the context of a sustainable supply
chain.
The following topics are considered for the sustainability of society.
• Environmental issues such as biodiversity, pollution, global warming, famine,
and natural disasters
• Aging and healthcare
• Financial disruption
• Terror, civil war, and safety issues
• Digital divide
436 M. Nakano
The following technological measures are expected to mitigate the associated

constraints in creating a sustainable society in the Japanese strategic technology
roadmap (MITI 2009):
• Constraints in energy
– Energy efficiency
– New energy sources (substitution, renewable)
• Constraints in materials
– Material efficiency
– New materials (substitution, recycling)
• Constraints in environment
– Reduce environmental burden
– Recovery
• Constraints in aging
– Value-added products
– Economic growth
The technological approaches are listed as follows:
– Lifecycle-oriented thinking
– Minimization of energy and material use
– High added value. Preferring value creation to resource consumption
– Worldwide technology transfers; this requires global standardization and inter-
national cooperation.
– Policy and regulations. Technology alone is not enough; a socio-technical
approach is essential.
3.6 Sustainable Enterprises
If you think about virtual enterprises, the terms sustainable enterprise and sustain-
able supply chain have similar meanings. This is discussed in detail in Sect. 5.
Enterprises focused on a local optimum must change their attitudes toward global
optimization and risk management for the future to satisfy all stakeholders and
contribute to society.
3.7 Sustainable Product Design
Designing products that have less impact on the environment requires that product
engineers use appropriate materials and product architectures; they must consider
subsequent stages of production, use, disassembly for remanufacturing and end of
life as well as quality, cost, function, and delivery.
The specific design activities are as follows:
• Design for the Environment (DfE)
• Design for Disassembly (DfD)
• Environmentally Conscious Design (ECD)
• Ecodesign
3.8 Extended Producer Responsibility (EPR)
The producer responsibility is a corporate responsibility in the case of accidents

caused by the manufactured products. For example, if a person is killed in a car
accident caused by a brake failure the car manufacturer may be held responsible
for producing and selling the car. This responsibility is mainly related to safety
issues and concerns only manufacturers, and the stakeholders are consumers and
manufacturers. A concept of EPR extends this responsibility from safety issues to
social issues in particular environmental issues such as pollution, global warming,
and resource management. Another concept of extension is that the stakeholder
responsibility is extended by including government, consumers and enterprises in
the supply chain as well as OEMs. Consider the example of a recycling-based
society, designed to prevent health problems due to pollution, and shortage of land
to dispose waste. Manufacturers should design and produce products with less
waste material and that are easy to reuse, remanufacture, and recycle; consumers
should buy environmentally friendly products and not discard them and thus avoid
increasing the environmental burden; public services should guarantee collection of
the used products to reuse or recycle; government should promote these activities
through taxation or subsidies; companies in logistics and recycling should be in
compliance.
3.9 Lifecycle Assessment (LCA)
The carbon footprint or lifecycle assessment (LCA) is critical in the context of the
supply chain. Figure 25.6 illustrates the basic concept of performing the LCA of
a product. For each process from material production to end of life, material and
energy as inputs and emissions and waste as outputs are collected.
The major challenge is in standardizing the environmental impact calculation.
Today many companies provide information on the environmental impact in CSRs
or environmental reports However, companies seldom clearly explain how these
are calculated. Not only does this make it difficult to find environmentally friendly
companies but also it allows the companies to deceive consumers. Consider that
environmental taxes or tax reduction law for environmentally friendly products are
introduced under many false premises. In 2010, Japanese government implemented
the following measures to reduce greenhouse gases:
– Top runner mechanism
– Trial for carbon footprint
– Tax reduction law for automobiles
– Ecopoint for electric appliances
The top runner mechanism is a special regulation in Japan (Japan Energy
Conservation Center 2006). The Japanese government launched the Top runner
program according to the amended Law in 1999, under which the standards are set
based on the efficiency level of the most efficient product commercially available
438 M. Nakano
End of life
Material Remanufacturing
Manufacture Distribution Use
production Recovery
Energy
Material Process Product
Emission Waste
(CO2)
Fig. 25.6 Lifecycle assessment
in a given category. For each manufacturer and importer, the weighted average
efficiency of all units shipped within the same category must meet the standards
for that category by the target year decided for each category.
Because of globalization, it is clear that a global standard for calculating the LCA
is required.
3.10 Energy-Efficient Manufacturing
Energy-efficient manufacturing is the idea of manufacturing with improvements that

reduce the environmental impact in terms of the use of raw materials, processing
machines, and production control by decreasing the consumption of energy and
materials as well as reducing the output of waste and emissions.
Energy-efficient technology developed during the two oil crises in the 1970s.
The first crisis occurred in 1973 because of the fourth Middle East war, while the
second crisis in 1978 resulted from the Iranian revolution. Figure 25.7 illustrates the
categories of energy-efficient technology in manufacturing.
In a facility-based approach, it is possible to change the facilities or equipment.
Air conditioners, boilers, and lighting which consume large amounts of energy can
be replaced with energy-efficient equipment. In other cases, factory managers can
employ energy generation facilities that use wind, heat, waste, and solar power. The
introduction of these systems is often constrained by the initial and lifecycle costs of
the equipment. Such systems are often introduced in the context of corporate social
responsibility in developed countries, whereas the initial costs for such systems are
more of concern in developing countries.
In a manufacturing process-based approach, energy-efficient machines, new
process control and new materials can be employed to improve energy efficiency.
Material Use
Production
(Recycle) Maintenance
Facility (Cost oriented)

-Energy efficient air conditioning
-Energy efficient lighting
-Energy efficient heating and cooling
-Energy recovery by heat, waste and emission
-New energy generation
Process (Production efficiency oriented)

-Energy efficient machine
-Energy efficient processing
-New process for alternative material
-High quality process
-Less waste process
-Energy efficient factory control
-Energy efficient logistics
Fig. 25.7 Energy efficiency in production
The motivation is more often productivity than energy efficiency because, in most
cases, manufacturing with less energy results in higher productivity. Yet, this is
not always true. For example, the just in time (JIT) production system requires
more transportation of parts between OEMs and suppliers which can consume more
energy and thus can increase CO2 emissions more than in conventional production
systems.
Another example of contradictions between lean and energy-efficient systems
is in logistics. The Toyota production system encourages the use of small lots,
which leads to frequent transportation. In general, with increasing frequency of
transportation both energy consumption and CO2 emission increase. However lean
systems have low environmental impact in most cases.
It is important to emphasize that lean and energy-efficient manufacturing is
usually an effective approach. A good example is the concept of the microfactory
with low size of manufacturing machinery and systems to produce small and
precise products (Yuichi Okazaki 2010). Although big machines provide high-
speed processing for cutting, grinding, pressing, punching, or forging, they consume
more energy and space; for example, semiconductor line must have clean rooms
to avoid dust during the process. Such machines are good for productivity but
not energy efficient. These can be replaced by micro-manufacturing machines
that can work on desks; they are often referred to as a desktop factory. Such
machines are suitable for small-lot production and are reconfigurable because the
system is modular and can be quickly modified. These are lean and energy-efficient
systems.
440 M. Nakano
4 Competitive Supply Chain
This section deviates from the environmental issues and considers the sustainability
of supply chains in global competition. A key word here is risk. As in risk
management, a risk in the supply chain is a risk for the enterprises involved in the
supply chain. Let us consider general business risks before discussing enterprise
risks in supply chains.
4.1 Global Risks
World Economic Forum (2008–2010) has announced key risks and themes for
people by summarizing human loss and economic damage in global risk reports over
the past 3 years. In those reports, the following are listed as economic damage:
1. 2008
• Asset price collapse
• Chinese growth slowing to <6%
• Fiscal crises
• Oil price spikes/supply shocks
• Rising and volatile food prices
• An abrupt, major fall in the value of the US dollar
2. 2009
• Asset price collapse
• Fiscal crises
• Global governance gaps
• Chronic diseases
• Increase resource related risk (water, land and energy)
3. 2010
• Further falls in asset prices
• Fiscal crises
• Global governance gaps
• Chronic diseases
• Underinvestment in infrastructure
The risks specific to supply chains are presented in the next section.
4.2 Risk Management for Sustainable Enterprises
Nakano (2009a) surveyed enterprise risks and classified them into three categories:
– Inside the enterprise: Employee dishonesty; continuous risk management is
required to prevent and mitigate.
Public sector and consumer

Regulations
Market preference
Sustainable Society
Sustainable Supply Sustainable Globally

Suppliers through Network Distributed Enterprise
lifecycle in the world
Competitors
Mining & refining
Transportation Business Model Innovation
Technology Innovation
Construction Material making
Electrical appliance Power/water supply
Electronics
Chemical
Machinery
Manufacturing
Fig. 25.8 Competition and collaboration within supply chains
– Supply chain: Challenges regarding innovative business model and technology

from competitors, catching up with the standards set by competitors, ignorance of
market change, financial crisis, dishonesty regarding intellectual property rights
in emerging countries, damage due to computer viruses, and disconnection of
suppliers by M&A. Such risks are increasing due to globalization.
– Society: Global warming, national bankruptcies, long-term economic slowdown
due to aging, famine, natural disasters such as earthquakes, volcanic eruptions,
floods, and tsunamis, exhaustion of fossil fuels and metal resources, terrorism,
geographic migration of population, air, water, soil pollution, and civil war. The
cooperation of all entities in the supply chains becomes essential.
A key approach is the combination of competition and collaboration of all
stakeholders as shown in Fig. 25.8.
The public sector can issue regulations to create a sustainable society using
taxation and promote new technology and new business sectors through subsidies.
Consumers can contribute to a sustainable society by selecting environmentally
friendly products. These activities cause risks to enterprises. Competitors can also
threaten enterprises by creating innovative business models and through techno-
logical innovation; globally distributed enterprises must be more aware of these
challenges. Enterprises can collaborate with suppliers to prevent and mitigate risks,
or attack competitors in terms of product lifecycles, through production as well
as through the use, maintenance, and recycle product stages. The three elements,
442 M. Nakano
(public, supply chain, and enterprise) may sometimes collaborate and conflict in
other cases.
The challenges are listed as follows:
For society
• Compatible technology for the entire world
• Compatible regulations for the entire world
• Estimation of R&D speed needed to match environmental fears
For supply chains
• Rapid response to prevailing risks across the world
• Find hidden risks and prepare for them
The following section describes the resilience to prevailing risks in supply chains.
4.3 Resilient Supply Chain
The issue of managing disruptive events in supply chains has been studied from the
viewpoint of competitive advantage by overcoming damage from disruptive events.
Sheffi (2005) investigated the situations that suffered from natural disasters and the
following are some examples from this work and from recent information.
– Earthquakes: The Hanshin-Awaji earthquake hit the Kobe area close to Osaka
Japan in 1995. Japanese auto manufacturers stopped their production lines due
to parts shortage. In addition to Japanese manufacturers, the quake directly
affected companies such as Caterpillar, Texas Instruments, and IBM. Apple had
to slow down production of PowerBook personal computers due to interrupted
production of display monitors in Kobe. The Niigata-Chyuetu earthquake hit
Japan on July 16, 2007. Riken halted the production of engine piston rings
until July 22. All auto manufacturers halted their production lines. The Japan
Earthquake in May 11, 2011, which brought tsunami and nuclear crisis, resulted
in disruption of auto parts manufacturing, etc. It is said that the industry needs
more than a half year to recover the supply chains.
– Terrorism: Ford halted five factories following the events of September 11,
2001. Terrorism has also occurred frequently in Bali, London, Madrid, Istanbul,
Moscow and Mumbai.
– Fires: A Philips factory suffered an outbreak fire due to thunderstorm. Nokia
swiftly moved to get parts from Phillips but Sony Ericsson waited for Philips
to deliver parts. As a result, Sony Ericsson lost 15.5 billion dollars. In 1997, the
Kariya factory of Aisin Seiki Co. suffered a major outbreak of fire and completely
lost the production lines for bulbs for rear brakes. Toyota depends on the reliable
tierone supplier for essential parts. The drawings of the parts and production lines
were lost in the fire and took 2 weeks to recover.
The following are some cases related to metals and M&A.
– Metal prices: Metals are becoming more important for environmentally friendly
products. For example, electric cars consume three times more copper than
the conventional gasoline cars do and they also consume rare metals such as
neodymium, dysprosium and lithium. The metal price is very vulnerable due to
strikes, demand change, and civil wars For example, the copper price increased
ten times in the 10 years from 1998 to 2007. Nickel price increased five times in
only 1 year, 1996.
– M&A: Key suppliers may be acquired by competitors. Mining companies may
merge, thus becoming a monopoly to control resource prices, for example, the
OPEC countries that control the oil trade.
To resist disruptive events, understanding the vulnerabilities and building flexi-
bility or redundancy, monitoring of disruptions, and quick response strategy should
be prepared a priori.
5 Metal Materials and Recycling
5.1 History of Preventing Pollution
In the 1960s, people in Japan suffered from diseases due to pollution such as
mercury from a fertilizer plant that accumulated in fish, cadmium in drainage from a
mine, and sulfurous acid gas in the air from a chemical plant. During 1967–1973, the
Japanese government passed laws regarding air, water, waste and chemical disposal
(Nakano 2009b). The United Nations Conference on the Human Environment in
Stockholm in 1972 and the WHO International Program on Chemical Safety in
1978 discussed the topics worldwide. The EU issued directives of WEEE (Waste
Electrical and Electronic Equipment) in 2003, ROHS (Restriction of Hazardous
Substances), REACH (Registration, Evaluation and Authorization of Chemicals)
in 2007, and ELV (End of Life Vehicles) regarding hazardous and toxic materials in
2000.
5.2 Recycling-Based Supply Chain
The 5Rs are considered important for preventing pollution and solving the problem
of limited space for landfills. The lifecycle of the product is illustrated in Fig. 25.9.
Material recycling is often expensive, and disassembly or refinement can produce
large amounts of greenhouse gases. Therefore careful consideration should be made
as to whether it is better to recycle materials or to recover the energy by burning the
material.
5.3 A Case of the Automotive Industry
Consider a case in the automotive industry. Clean energy vehicles such as electric
vehicles (EV), fuel cell vehicles (FCV), and hybrid engine vehicles (HEV) are
becoming popular. Electric bicycles are popular in China and many Chinese
companies want to compete with automobile global giants in electric vehicles.
However, in China, electricity is mainly produced using coal. Although EVs have
444 M. Nakano
Design Manufacturing Use End of Life

Reduce
Reduce
Reduce Material Product Disassembly
Processing Assembly
Reuse Recover
Remanufacturing
Recycling
Fig. 25.9 Product lifecycle
good advantages in the use stage they have drawbacks from the viewpoint of the
LCA for global warming unless enough renewable energy is provided.
In addition, EVs require copper and rare metals, such as neodymium and
dysprosium in their motors. The copper used in HEVs and EVs are two and three
times higher, respectively, compared to that used in gasoline engine vehicles (GEV)
(Nonaka 2010). Resource shortages result in the mining of low-quality ores, and
therefore increasing the energy consumption and the production of greenhouse
gases. Consider a material selection problem in the automotive industry. Aluminum
can be substituted for steel in car bodies more than it is currently. Aluminum is
environmentally more advantageous than steel due to its lighter weight; however,
its production is not suitable when considering energy consumption and water
resources. It is essential that all aluminum is recycled to the primary material. A
study related to this was conducted by NEDO (2005) using LCA. Plastic may be an
alternative material for car bodies. The following criteria should be evaluated in car
lifecycles, from mining to logistics, production, distribution, use, and end of life:
– Lifecycle CO2 emission (LCCO2)
– Energy consumption
– Material consumption
– Lifecycle cost (LCC)
– Change in supply chain and industrial structures required by alternative materials
– Change in the social infrastructure
– Change in economics such as GDP
There are many data sources and methods required to evaluate factors such as LCA
data, input-output tables, and computational general equilibrium modeling.
5.4 General Framework of Material Selection Problem
Consider the use of metals as an example for a general LCA framework. The price of
metals increases due to a gap between supply and demand which is increased by the
rapid development of emerging countries. Recycling plays a major role in mitigating
the gap as shown in Fig. 25.10. The rising price of metals makes recycling more
Number of solid products
Recycled material
Virgin
material
2000 2100 year
Fig. 25.10 Importance of recycling systems
economical; however, a financial downturn may still affect recycling companies.

Therefore the public sector should help make recycling systems sustainable as
well as encourage recycling. Technical innovation is also important in solving the
problem. The measures are classified as follows:
– Mine and smelt: Recovery of old mines and low-quality mines
– Recycle and remanufacture
– Reduce material consumption: make products more material efficient
– Alternative materials and substitution
– Long-lasting products with or without maintenance.
It is necessary to simulate and propose the future to create a sustainable society.
6 Systems Approach to SCM for Sustainability
A motivation for a systems approach is the need to understand the overall effect
of changes in any one subsystem of large and complex systems. This requires an
approach that differs from conventional systems engineering methodology which
is based on large-scale project management (Forsberg et al. 2005; Haskins et al.
2007) and the holistic methodology for business processes (Nakano et al., 2005a, b).
Modeling and simulation techniques play an important role in evaluating and
designing the future in technology, policy and infrastructure in terms of economics,
social change, and the environment as well as in stakeholder analysis and deter-
mining core problems. To achieve a sustainable supply chain, it is important to
address these issues holistically by bringing together stakeholders and implementing
446 M. Nakano
Table 25.1 Systems approaches for environment

Level Analysis Approaches
Macro Global economic – Provide international or national goals over the
analysis required time span
– Predict long-term scenarios of demand and
supply in energy and resources for 10, 20, and
50 years
– Simulate scenarios for global warming, energy,
and resource issues
Intermediate or System analysis – Provide goals for industries and supply chains
Mezzo – Develop a technology roadmap and predict its
effects on the environment and economy
– Evaluate regulations and predict their effect on
the environment and economy
– Propose changes in the industry structure to
promote a sustainable society
Micro Enterprise – Visualize material and lifecycle flow inside
environmental data enterprises
analysis – Calculate environmental load using standard
index
– Evaluate corporate risk and sustainability
measures throughout the supply chains. For example, smart grids are becoming
popular. The stakeholders are consumers at home, power generation companies,
housing companies, automobile makers, home electric appliance makers, ICT
companies, building companies, shops in malls, as well as the public sector and
suppliers.
A systems approach to sustainability should be based on lifecycle concept, as
described in Sect. 5. From the perspective of lifecycle, both product and service-
oriented business architectures can be considered.
The systems approach to sustainability should consider policy as well as
technology, that is, socio-technical systems. Carbon taxes and subsidies encourage
energy-efficient products such as electric vehicles and renewable energy generation
using solar and wind power. On the other hand, a carbon tax may decrease the GDP
in a region and a subsidy may cause side effects. Which policy should be introduced,
and where, and when, and to what degree? Which criteria or goals should be
employed? Energy security and preventing global warming sound similar but
sometimes have different requirements. Energy generation from coal may provide
energy security but does not prevent global warming. Modeling and simulation
techniques such as system dynamics modeling are important tools. These directions
are very promising and will attract researchers in the future. Systems approaches
for the environment are classified into the three levels shown in Table 25.1. The
intermediate or mezzo level is the most important for the green supply chain;
macroeconomic analysis is often conducted by governments and national institutes,
whereas at microlevel, enterprise environmental data analysis is basically conducted
by enterprises.
Table 25.2 Purposes and approaches of risk analysis

Purpose Approaches
Preventive measures of risk Knowledge engineering, fault prediction, business process
occurrence reengineering, business continuity plan, CAE for quality
in product and production, system architecture to
guarantee fail-safe
Understanding and Visualizing risks, knowledge management, fault cause
awareness of risk relation model, risk simulation
Mitigation of loss due to risk Scenario planning and simulation, automatic fault
detection, automatic recovery
Portfolio strategy with Stochastic optimization, mid- and long-term scenario
uncertainty planning
Table 25.3 Procedure for risk analysis

Step Analysis Application
1 Identification of risks Product and service planning considering risks
2 Define metrics Real-time monitoring of risk events and issue of early
warning
3 Model mechanism where Disruption testing using simulation
risk events occur
4 Evaluate strategy and Quick response
countermeasures
The systems approach to sustainability should consider risk. As described in

Sect. 4, a supply chain has competitive risks that include opportunities. This section
discusses a more general framework. The purposes and corresponding approaches
for risk analysis are classified into the four categories as shown in Table 25.2.
Understanding and awareness of risk is essential. A good amount of past knowledge
allows effective use of knowledge management; otherwise fault cause relationship
models such as fault tree analysis and causal loop diagrams must be used. If a risk
can be predicted a priori appropriate actions can prevent the risk. But if a risk cannot
be predicted, such as an earthquake or financial crisis, then its effects on the system
can be estimated, its occurrences or indications can be monitored, and immediate
remedial actions can be taken when unfavorable but expected events occur. If risks
are inevitable at a certain level, stochastic options with criteria such as value at risk
(VAR) can be used.
The measures in Table 25.2 include risk analysis, which includes understanding
the risk structure and evaluating the risk impact, and risk management which often
includes measures inside the organizations or systems. A procedure for risk analysis
is provided in Table 25.3. Step 2 is very important because the purpose and goal in
analyzing risks should be discussed in this step. The warning level escalates from
low to high based on certain criteria.
448 M. Nakano
7 Summary
Supply chain management for sustainability, or sustainable supply chain manage-

ment, has various definitions, but this chapter classifies them into two categories of
green supply chain and competitive supply chain. The green supply chain (GrSCM)
is a SCM approach focused on environmental issues, concerned with creating a
sustainable society in terms of corporate social responsibility (CSR). The green
supply chain addresses many issues, including global warming, energy security,
recycling systems, and pollution prevention and recovery. The enterprises in the
supply chains compete with different constraints related to energy, materials, and
the environment. Sustainable manufacturing and the sustainable enterprise were
discussed in terms of their characteristics relevant to a sustainable supply chain.
A competitive supply chain is managed for sustainability of the supply chain or
the enterprise within the supply chain. Disruptive events, such as a financial crisis,
natural disasters, cyber terror, or M&A, can severely affect the sustainability of
the supply chain and enterprises. Quick reactions are required to mitigate negative
impacts. In this sense, the green and lean supply chain is promising.
A key approach to a sustainable supply chain is a systems approach that considers
the product lifecycle, risks, and policies. The product lifecycle consists of mining,
refining, logistics, procurement, manufacturing, distributing, use, and end of life
(including recycling, remanufacturing, and disposal of waste). Even if one sector
reduces the environmental load, the activity may increase the environmental load
in other sectors. There are three levels of analyzing environmental issues: macro,
mezzo, and micro approaches. The mezzo-level approach is the most appropriate
for supply chains and is expected to attract more research. The smart grid system
is an example of a large system that requires a systems approach considering
product lifecycle.
Visualizing risks and defining metrics are important in preventing and mitigating
risks. In addition, a socio-technical approach that includes both policy and technol-
ogy roadmaps is promising as a way of contributing to society winners.
Acknowledgments
This work was supported in part by a grant-in-aid from the Global Center of
Excellence Program for “Center for Education and Research of Symbiotic, Safe
and Secure System Design” from the Ministry of Education, Culture, Sport, and
Technology in Japan.
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Fuji Press
Sustainable Design by Systematic
Innovation Tools (TRIZ, CAI, SI, and 26
Biomimetics)
Seung-Hyun Yoo
Abstract
As sustainable design is rather a new discipline, the necessity of creativity
implementation was conceived from the beginning. But few attempts to foster
creativity in design practice were successful, and it was in the realm of random
process, namely, serendipity. One of big steps toward systematic innovation
was possible by introduction of Russia-born TRIZ (Theory of Inventive Prob-
lem Solving). The efforts toward somewhat paradoxical systematic innovation
are now blossoming as CAI (Computer-Aided Innovation) including TRIZ.
Those developments also influenced greatly many of the modern technologies
that enable the increasing number of the patents with significant improvement in
their quality. Intimate relations of the innovations by these tools with sustainable
design are also observed. In this chapter, the attempt has been made to summarize
and analyze the accomplishments of applying CAI on sustainable design. At first,
the history and current state of TRIZ, CAI, SI (Systematic Innovation), and
biomimetics are described. Secondly, literature review on the cross area of
sustainable design and CAI is presented. Earlier practice of combining CAI
and conventional design practices, such as Design for X and present theoret-
ical concepts as well as methodology, have been discussed to understand the
knowledge enhancement in this regard. In addition to finding wisdom from man-
made world, the bio-inspired design approach (encompassing biomimetics) is
another direction to find good ideas from the nature. The systematic approach
of TRIZ has proven useful to develop innovative ideas that have been inspired
from the nature. Finally, two successful examples are presented to illustrate how
it can be applied to produce sustainable engineering outputs from daily life to
energy-intensive industry. It is hoped that this chapter can shed light on how to
make the world more productive in innovation toward sustainable design.
S.-H. Yoo
Department of Mechanical Engineering, Ajou University, Suwon, Korea
e-mail: ryseung@gmail.com; ryseung@ajou.ac.kr

DOI 10.1007/978-1-4020-8939-8 97,
452 S.-H. Yoo
1 Introduction
From the beginning of development of sustainable design, the necessity of novel

ideas is conceived. It is recommended to use synectics, bionics, and TRIZ as the
creativity techniques in addition to the traditional patent search (Wimmer et al.
2004). Even though those techniques are known for a long time, it is in recent
years when they are used to solve ecodesign problems in practice. TRIZ has been
spread worldwide after the breakup of Soviet Union and the terms of CAI and SI
are formed very recently. Consequently, there are not many indications on how
these techniques are applied, but it is quite clear that they shed light on the way
to develop new eco-friendly product. In this chapter, brief introduction of TRIZ,
CAI, SI, and biomimetics are given, and some important concepts and examples are
presented.
2 TRIZ
2.1 Definition
Although it is hard to define TRIZ in one sentence, there are many attempts to
provide succinct definition. TRIZ is an inductive methodology for creative problem
solving based on the study of many patents (Yoo 2004). It is summarized in 50 words
as follows: “Essence of TRIZ: Recognition that technical systems evolve toward the
increase of ideality by overcoming contradictions mostly with minimal introduction
of resources. Thus, for creative problem solving, TRIZ provides a dialectic way of
thinking, i.e., to understand the problem as a system, to image the ideal solution
first, and to solve contradictions” (Nakagawa 2001). As TRIZ provides vast tools
for solving innovative problems, it is conceived as a philosophy with a set of tools
(Mann 2007; Gadd 2011). Essentially, TRIZ is a new way of thinking and practicing
in solving inventive problems which should be adequately defined in terms of the
TRIZ system. Another definition is proposed as a human-oriented knowledge-based
systematic methodology of inventive problem solving (Savransky 2000).
2.2 History
It started in around 1940–1950 and evolved into classical TRIZ till 1990s. This tim-
ing can be explained with the biography of the founder, G. Altshuller (1926–1998).
Altshuller was an engineer, inventor, scientist, journalist, and writer who pursued
ways to help people make inventions by providing systematic methodology. As the
early concepts of systematic ways of invention later known as TRIZ started in his
20s, the birth of TRIZ was in 1940s. He always endeavored to find ways in guiding
people to make better inventions during his life with many vicissitudes. Altshuller
26 Sustainable Design by Systematic Innovation Tools 453
TRIZ education
from childhood
Theory for development

ARIZ of creative personality
1985
research, advertising,
art, cultural and formal
education
ARIZ standards
1977
ARIZ Meta-
1971 ARIZ: TRIZ
ARIZ 1995 software
ARIZ 1961 effects
1956
procedures Modern TRIZ
Initial TRIZ destination: solving to technical problems
1950 1960 1970 1980 1990 2000
first first TRIZ beginning the

Development of first article book association world-wide TRIZ
the first ideas 1956 1961 in Russia dissemination
about future TRIZ Altshuller,
Shapiro
Fig. 26.1 The history of TRIZ in terms of ARIZ
himself was a prolific inventor and worked as a patent officer in the Navy. As the
world history manifested, many patent clerks made important roles in science and
technology including Einstein. Altshuller is another example of important patent
examiners. He found that there were certain rules for successful transfer of various
inventions and solutions from one field of engineering to another. Altshuller and his
colleagues initially reviewed 200,000 patents and selected 40,000 as representatives
of inventive solutions. These patents were classified into five levels of inventiveness
based on the problem difficulty and the difference from earlier solutions in terms of
knowledge used from external field. The levels started from scale 1 where personal
knowledge was used for basic, routine improvement. The level 5 was for highly
innovative patents which came from new scientific discovery. It was natural that the
patents in level 2, 3, and 4 were focused on the investigation as level 1 examples
are too obvious and level 5 cannot be achievable by systematic ways. TRIZ is to
ensure accurate definition of a problem at a functional level and then provides strong
indicators toward successful and often highly innovative solution. TRIZ considers
innovation as a systematic process and not just flash of idea. Altshuller’s wisdom
and accomplishment are now structured as the classical TRIZ and shown in books
by him and other authors (Altshuller 1984, 1996, 1999; Gadd 2011; Cameron 2010;
Fey and Rivin 2005). Especially ARIZ (Algorithm of Inventive Problem Solving),
which is one of the core concepts in TRIZ, has been developed as shown in Fig. 26.1
454 S.-H. Yoo
(Orloff 2006). Versions were updated till 1985, and nowadays modern engineering
tools are combined together to produce more efficient system of innovation.
2.3 Tools of TRIZ
The most important findings from the patent analysis are three assertions that
the problems and solutions are repeated across the industries and sciences, the
patterns of technical evolution are also repeated across the industries and sciences,
and the radical innovations use scientific effects outside the field in which they
are developed. Consequently, important corollaries from these findings can be
summarized as follows: Rather a small number of inventive principles can provide
solutions to the hundreds of problems which appear repeatedly in the millions
of products and systems where the trends of technology evolution are highly
predictable. So TRIZ can alleviate the efforts of problem solvers and help them
overcome time-consuming trial and error method. TRIZ provides rich practical tools
for innovation compared with many other methods which give only declarative and
abstract suggestions. The contents of TRIZ may be categorized and applied into
problem modeling and solving stages. The main tools are briefly explained here:
• Contradiction: Problems are identified as inventive when they have contradiction
inside. The classical TRIZ identified 39 parameters which rule the technical
contradiction when two parameters are in conflict. The 40 principles are provided
as suggested solutions for each pair of improving and worsening parameters
in contradiction. A physical contradiction is a conflict between two mutually
exclusive requirements to the same parameter. TRIZ provides four separation
principles for this type of problems, namely, separation in time, space, relation
(condition), and at the system level.
• Resources: TRIZ provides creative utilization of the things which are available,
but not being used. Resources come from inside and outside, from all system
levels such as environment and super systems, from inexpensive materials, and
even from wastes. Also time and space should be counted as valuable resources.
• Ideality and IFR (Ideal Final Result): The concept of ideality is the most
important aspect of TRIZ in conjunction with the sustainable design. Same
concept appears in other discipline such as management and value engineering,
but only TRIZ uses this as a major tool for problem definition and solution stage.
The concept of the IFR is based on one of the laws of the technical trends: “The
development of all system proceeds in the direction of increasing the degree of
ideality.” Ideality can be shown in an equation as
X X X
Ideality D Benefits= Cost C Harms
Here, the numerator is the sum of all fulfilled useful functions and additional
benefits coming from the inventive solution. The cost in the denominator covers the
production cost and function cost. The harms are all unnecessary outputs except
useful ones. The right formulation of ideality to reach IFR gives a searching
direction and imagination of the best solutions. Practical ways to increase ideality
utilizing resources and the trends of technical evolution are well structured in TRIZ.
• Trends of technical evolution: The classical TRIZ found eight trends of technical
evolution. The first three are on the creation of a technical system: The trend
of increasing completeness of a system, energy conductivity, and harmonization
(increasing coordination). Remaining ones are for the growth and development
of a system: The trend of increasing ideality, uneven development of system
components, transition to the super system, transition to the microlevel, and
increasing the degree of substance – field integration.
• Effects: When the mission is to find ways to fulfill a certain required function,
the collection of scientific effects would be very useful. Here, effects are
the representative keyword of all scientific phenomena, laws, equations, and
formulas used in the technical solutions. As usual problem solvers know a
limited number (e.g., around 100) of scientific phenomena and the knowledge
is often confined to their own domain of expertise, the database of almost 10,000
effects which are already collected and well organized can help enormously find
practical solutions. In many softwares and references, the effects are classified by
corresponding verbs which properly describe a function. The effects have great
implication on the future of engineering education. As current discipline-based
engineering education given in the departmental system provides only handful
knowledge in a specified field, more convergent approach is needed to foster the
student’s ability to handle much more complex problems than the subject they
meet in the class. One direction is to dig deeply into a specific discipline, but it
should be balanced by the “need-based” education system which will heavily use
the effects module of TRIZ to find solutions in any field.
• Substance-Field (Su-Field) analysis: The important part of a technical system
can be graphically modeled with substances and fields by their interaction. The
interactions are in various forms such as effective, insufficient, excessive, and
harmful. The analysis based on this model is called as the Su-Field analysis. It is
very useful to see the whole picture of the system and helpful to identify the
characteristics of the problem. The nature of the problems brings 5 classes of the
problems and 76 standard solutions for each instance. The Su-Field analysis is
one of the core tools for the system modeling and solving process in ARIZ.
• ARIZ: The Algorithm for the Solution of Inventive Problem (ARIZ in Russian
acronym) is the step-by-step processes for nontypical problem which is consid-
ered as an epitome of the whole process. Although there are some people who
do not recommend as it is a quite long and time-consuming task, ARIZ has been
developed as a main tool in TRIZ till 1985 and proved to be useful for nontypical
difficult problems.
In addition to these main pillars of TRIZ, there are useful tools for problem
definition and solution which are not mentioned here. As TRIZ has inductive
nature, these tools are selectively favorable among the users depending on the
characteristics of the problems and solvers.
456 S.-H. Yoo
2.4 Current Status and Future of TRIZ
After Altshuller’s death, many modern tools are combined with TRIZ, and now
there are several new versions of TRIZ which are called as Modern TRIZ (Orloff
2006, 2012). TRIZ is regarded as the way of handling conceptual approach to a
problem. This is not only useful for identifying the problem but also for figuring out
the possible solutions. Currently, most TRIZ tools are realized in many commercial
softwares and e-learning systems enhanced with searching power of modern IT
technology. Some of them are as follows:
1. Goldfire (http://inventionmachine.com/products-and-services/innovation-soft
ware/)
2. Innovation Workbench (http://www.ideationtriz.com/new/iwb.asp)
3. CREAX (http://www.creationsuite.com/)
4. Pro Innovator (http://www.iwint.com/en/products/pro innovator-20081208-
211930.html)
5. STEPS (http://www.time-to-innovate.com/en/content/steps)
6. Modern TRIZ academy (http://www.modern-triz-academy.com/)
7. Target Invention (http://www.target-invention.com/Info/About-Target-invention/
TargetInvention.html)
One TRIZ site by T. Nakagawa is recommended which provides current status
of TRIZ worldwide and in Japan (http://www.osaka-gu.ac.jp/php/nakagawa/TRIZ/
eTRIZ/). An open source for TRIZ is also available http://www.opensourcetriz.
com/.
Although TRIZ is very active in some countries, it is still in the stage of
dissemination in the world. The featured article entitled “expanding the mind”
appeared in PRISM which is the official magazine of ASEE (American Society
of Engineering Education) exemplified the status of TRIZ in the engineering field
of USA. The author claimed that serendipity was the only currently available tool
for teaching creativity to engineering students and introduced Russian born TRIZ
as a new inventive tool (McGraw 2004). TRIZ is studied to make sound ground
theoretically and philosophically by serious researchers and applied to diverse
technical problems. And it is being elaborated to cover nontechnical problems and
to reach K-12 students.
3 CAI and SI
CAI and SI are envisaged as more general concepts incorporating TRIZ and other
methods in a unified way. A number of scholars interested in more general problem
solving and computer-aided innovation gathered and formed a working group
under the umbrella of IFIP (International Federation of Information Processing).
The WG (Working Group) 5.4 of CAI was formed under TC (Technical Com-
mittee) 5 of “information technology applications” in 2005 and holds biannual
conferences (Proceedings of IFIP CAI (Leon and Cho (2007), Tan et al. (2009),
Cavallucci et al. (2011)). The aims of these conferences and meetings are to
contribute for identifying the underlying scientific foundation of CAI and also
to evaluate their effectiveness and efficiency. They have been proved fruitful for
identifying the state of the art and trends of the CAI software and its tools and
methods by discussing organizational, technological, and cognitive aspects of the
application of the CAI methods and tools. These meetings promote the development
of the CAI software focusing on end-to-end product creation process with methods
and tools to ensure the feasibility and success of innovations, to address the main
motivations of the industrial sector regarding the engineering innovation activity
with computer tools and methods, and to address the main motivations of the
academic community regarding theoretical foundations of CAI. The scopes of the
WG are to promote regular working conferences, seminars, and workshops on
CAI calling for contributions for clarifying the role of computer-aided innovation
tools (http://www.computeraidedinnovation.net/). It can be easily seen that activities
should be highly relevant to sustainable design by nature of CAI, and papers on
the application to sustainable design appear in the CAI conference proceedings. In
another form of trial to identify innovation, schemes are systematically represented
by SI. This approach is to encompass TRIZ in a way and cover other conventional
tools in the same place. The society of SI is also organized and tries to collect and
disseminate information on SI (http://www.ssi.org.tw/EINDEX.htm).
4 Biomimetics
Biomimetics can be defined as the abstraction of good design from nature (Vincent
et al. 2006). It is also known as biomimes, biomimicry, bionics, or biologically
inspired design. At first, Schimidt in the 1950s coined the term “biomimetics,”
which is defined as transfer of ideas and analogues from biology to technol-
ogy. This concept has given some significant devices and concepts in the last
50 years. Leonardo Da Vinci first conceived the idea of a system/device which
can fly like birds, leading the Wright brothers to develop airplane. There were
many different stages involved before reaching to the stage of airplane. There
are other numerous examples where technology has been inspired from nature.
But this is still in empirical stage. There is no systematic approach available to
successfully mimic nature and convert to technology that can benefit the society
at large.
4.1 Differences in Biological and Technological Systems
As biological organisms develop through a process of evolution, biology is largely

descriptive in nature and creates classification. Types of classification can be hierar-
chical (e.g., phylogenetic), parametric (e.g., cladistic, or like the Periodic Table), or
458 S.-H. Yoo
Fig. 26.2 Engineering solutions arranged according to size/hierarchy (Vincent et al. 2006)
combinatorial. The solution for the biological systems lies generally at lower level or
upper level of hierarchy. Technological systems are not very hierarchical in nature,
and rather the solution lies at the same level. Engineering is a result of decision-
making; it is prescriptive and generates rules and regularities. However, the thrust to
change in both the system may well be the same: the resolution of technical conflict
(Vincent et al. 2006). Major difference in the technological and biological systems
is that the technical systems are energy driven (Fig. 26.2), whereas the biological
systems are largely based on information and space, and consequently energy is not
predominant variable to find the solution (Fig. 26.3). The focus is on manipulating
energy uses to find solution of a problem (60% cases, Fig. 26.2) for technological
systems, followed by the change in material. Such summary and classification for
comparison between technical and biological system require enormous efforts of
observation, and it shows the importance of induction-based conclusion in the world
where deduction based teaching is prevalent.
Biomimetics is seen as a path from biology to engineering. The only path from
engineering to biology in current use is the application of engineering concepts and
models to biological systems. The transactions between biology and engineering are
based on energy; in biology, optimization processes are in partitioning the energy
between various functions of the organism, such as locomotion, reproduction,
repair, and growth. In engineering, there is again an array of optimizations so that
energy (cash) available is partitioned out among design, construction, management,
maintenance, etc. In both cases, there is a general principle of the survival of the
cheapest keeping to the evolutionary theme (Vincent and Mann 2002). Minimal
use of energy is, therefore, a really important driver when moving from biology to
engineering. Therefore, the ideas can be taken from biology not just as mechanisms
or materials but also the implementation of those mechanisms.
Fig. 26.3 Biological effects arranged according to size/hierarchy (Vincent et al. 2006)
4.2 The Expansion of TRIZ for Biological Systems (BioTRIZ)
TRIZ was conceived in and derived from the environment of things which are
artificial, nonliving, and technical. But biomimetics operates across the border
between living and nonliving systems. The reason for looking to nature for solutions
is to enhance technical functions, and conventional TRIZ is developed for the
classical problem solving for the technological system; thus it is true that TRIZ
does not contain many of these functions, and probably does not have the means
of deriving them for the biological systems. Despite the fact that TRIZ is the
most promising system for biomimetics, still there is a mismatch. This is conflated
by a number of factors that are currently not normally observed in the technical
system. When types of solution to particular pairs of conflicts which are arrived
at in technology via classical TRIZ and in biology are compared with, although
the problems commonly are very similar, the inventive principles that nature and
technologies use to solve problems can be very different. In fact, the similarity
between the TRIZ and BioTRIZ matrices is only 12%, where identity is represented
by 100% (Vincent et al. 2006). Only the principles of spatial composition are
significantly similar (73%) in biology and technology. The differences are in large
part to do with the pervasive presence of hierarchy in biological structures and
systems. But they are also to do with the degree of detail, and it is possible to
incorporate into a structure which, like an organism, is self-assembled and even
designed by the forces of molecular interaction (Vincent et al. 2005; Vincent 2009).
In order to develop TRIZ as a framework for biomimetics, firstly the biological
information should be made available within its structure by cataloguing and
classifying the effects of the actions and mechanisms of functioning. It needs to
modify and expand TRIZ so that it can cope with the extra varieties of input
460 S.-H. Yoo
information. For this task, the framework should be suitable for describing and
classifying both engineering and biological data (Bogatyrev 2002; Vincent et al.
2006). In general, it should:
– Find patterns in the solution of problems in technology (the original TRIZ
system)
– Find patterns in the solution of problems in biology (develop a modified,
BioTRIZ, system)
– Make these patterns compatible within a new general Biomimetic TRIZ
There are various studies available in the literature on biologically inspired
innovation by using the concepts of BioTRIZ conducted by various researchers.
An analysis of patenting activities in the field of biomimetics was conducted by
Bonser and Vincent (2007) and discussed the future trends in biologically-inspired
innovation. It has been seen from the analysis that number of patents has been
increasing in recent times in which the technology has been inspired from nature.
Mann (1999) examined the cases in nature which have solved the contradictions
by inventive ways in his work “Creativity as an exact Biomimetic science.” His
findings suggest that TRIZ can be expanded and enriched by including biological
knowledge. Craig et al. (2008) used BioTRIZ to study radiative cooling of building
passively by changing structure of the roof installation and found it to be useful for
studying such biomimetic application.
A comparative study of biomimetic design and TRIZ for designing of proton
exchange membrane fuel cell has been conducted by Currie et al. (2009). The Proton
Exchange Membrane (PEM) fuel cell is an attractive energy conversion device that
can provide efficient and clean electrical energy. The water management problem
of the PEM fuel cell has been analyzed in the design framework by both TRIZ and
biomimetics design methodologies. Both design methods produced two potential
solutions. The authors found biomimetic design to have more potential from bias
by the designer’s prior knowledge of biology. This bias can serve to either hinder or
help the design process. It has been observed that biomimetic design and TRIZ can
be considered mutually inclusive in the potential solutions generated. Vincent and
Mann (2002) have presented the case studies to illustrate benefits to engineers and
biologists for integrating biological knowledge into the framework of TRIZ. The
authors explain how TRIZ can help technologists develop artificial system which
takes nature as starting point and improve on the ways nature do it. Permaculture
(permanent + agriculture) is the conscious decision of artificial ecosystem which
possesses the productivity and benefits of the conventional agricultural system
combined with the self-dependences, elasticity, and self-serving features of the
natural ecosystem (Mollison 1997). Bogatyrev (2002) studied permaculture in
the conceptual framework of TRIZ and developed the basis for super organismic
bionics. Vincent (2009) in his book chapter on Biomimetics of skin in the book
“Functional properties of bio-inspired surfaces” describes the versatility of skin in
living beings such as its color, rheological effects, sensing capabilities, etc., and
explains the possible analogies which can be used to mimic interfacial material
layers with the capability of skin. The same author (2005) explains solution of
materials design problems in biology and technology by using the concepts of
Table 26.1 Animate and inanimate systems: two different idealities (Bogatyrev and Bogatyreva
2009)
Ideal technical system Ideal biological system Ideal future technology
1 Simple structure Complex structure Simple
2 Everlasting or have Mortal Everlasting
necessary life length
3 Easy to operate Difficult external operation Easy to operate
(deterministic) (due to stochastic)
4 Min. use of resources Max. use of resources Minimal use of resources
5 Min. waste production Min. waste production Minimum waste production
6 Max capacity reserve Available in abundance Max capacity reserve
7 Easy to repair Sustainable Self-repairing
8 Has different modes of Adaptive Adaptive
operation for different
environment
9 Automatic Self-regulated Self-regulated
10 Reliable Reliable Reliable
conventional TRIZ and the improved BioTRIZ. This work points out on the fact that
hierarchy is an important factor for biological system which is more or less ignored
for technical system and thus bared it to take advantage of hierarchy. Vincent
et al. (2005) have prepared a database of biological information for engineers via
biological patents. The specific features of the database are the following: they
include functions and their effect of different biological systems and their technical
analogue. Present focus in design is function-based design, and the biological
system can work as the resource for the technical system to achieve the desired
output. The five-dimensional database designed by authors covers objects parts,
environment in which these parts operate, the limits and causes of its action, the
ultimate purpose of the action, and the resources with auxiliary systems involved.
This database covers physical effects as well as intention and motivation.
Bogatyrev and Bogatyreva (2009) have discussed the concepts of evolution in
biology and technology and conclude that the evolution trends in technology and
biology have different strategies. They provided ten new design strategies for future
markets as shown in Table 26.1.
Table 26.1 presents difference in an ideal technical system and an ideal biological
system. The strategies to achieve the ideal state in both technical and biological
systems are quite different. In technical system, the ideal condition is to achieve the
decreased size without compromising in functionality, but biological system follows
this ideal in limited cases only as in the case of parasites.
The authors explain how TRIZ can bridge the gap between nature and tech-
nology. Analyzing the biological phenomenon, the authors found 40 inventive
principles and 72 solutions bio standards in biological systems in all levels of
complexity from cell to ecosystem. Table 26.2 presents the differences between
technical systems and biological systems.
462 S.-H. Yoo
Table 26.2 The differences between living nature and technology (Bogatyrev and Bogatyreva
2009)
S. No. Nonliving technical artificial system Living biological natural system
1 Operate within sufficiently wide Operate within relatively narrow
conditions, which are beyond the conditions of temperature, pressure,
limits of living creatures’ tolerance. chemical environment, etc. Utilization
Utilization of high-energy of high-energy electromagnetic fields,
electromagnetic fields, laser, radiation, radiation, and low temperatures is
extreme temperatures, and pressure is absent
widespread
2 Most human technologies are Complex living systems tend to keep
open-ended “cycles,” which cause balance – static (homeostasis) or
most of the problems in various types dynamic (homeorhesis) due to closed
of misbalance and lack of cycles of energy and substance
sustainability
3 Very fast and accelerating Relatively slow rates of evolution
development
4 Short term effectiveness (“here and Long-term sustainability
now at any price”)
5 Slow processes are considered as Slow processes are widespread
shortcomings
6 Economical forces make steady shift Complex ecological systems tend to
from K- to r-mode in products drift from r-(“cheap,” small, short
living organisms) to K-(large, long
living) mode
7 Contemporary industrial systems are Biological systems mostly avoid
unimaginable without massive global long-range transportation
transport flows
8 Evolution of technology goes from Living creature mainly participates in
mechanization via automatization all the processes in which it is
toward nearly total replacement of concerned as a central figure
humans in the technological process
9 Typically new technology substitutes The newly evolved biological systems
the old one to maximum extent do not necessarily substitute the old
ones, but often show the parallel
existence
10 The most common type of locomotion The most common type of
and manipulation: rotation manipulation and locomotion:
oscillation, reciprocation, pulsation
Table 26.3 explains the differences in evolution trends in biological and technical
systems. Technologists (engineers) mostly consider the future, while biologists
focus on the past. Living creatures adapt to the environment by changing them-
selves. They also change the environment for their needs. This leverage is not
available in technical system which is a major difference from the biological system.
Shu et al. (2007) discuss about the integration of function-based design and
biomimetic design for automatic concept generation. This includes a more complete
and systematic modeling that reveals additional aspects of biological phenomena
to be exploited. They have discussed about the functional modeling of a single
Table 26.3 The differences and similarities between the evolution trends in animate nature and
evolution of technology (Bogatyrev and Bogatyreva 2009)
S. No. Trends in technical evolution Trends in biological evolution
1 Transition of the working functions
from the macro- to the microlevel
2 Increase of the degree of ideality – the
more emptiness in a system the better
3 Systems change, while they grow System ontogenesis can be expressed
following S-curves in S-curve
4 Systems and products evolve toward Life started as a biochemical
the use of higher frequency energy and phenomenon and evolved toward the
use of fields: gravitational – active search for energy resources.
mechanical – acoustic – chemical – Single-cellular organisms started from
thermal – magnetic – electric – electromagnetic – electrical –
electromagnetic chemical – mechanical (multicellular
organisms) – acoustic (complex
communication) in their organization
and behavior
5 Dynamization, increase of the degree Decrease of the degree of freedom in
of freedom, and flexibility functions – species specialization. The
more primitive biological taxons are,
the more their universality
6 Mono-bi-poly cycles, i.e., Trends in the evolution of
polymerization of monomerical parts morphology: oligomerization of
effectors and metamerical parts of the
body
7 Segmentation: reduction of the unit Replication, reproducing, cloning,
metamerization: multiplication of the
units
8 Increase of automation and eventual Increase of the role of the central
exclusion of humans control and sophistication of the
nervous system. But decrease of
automation, increase the role of
feed-forward control
9 “Folding-unfolding” structural Morphological degradation of
complexity parasites and other super-specialized
species (“folding”) is the dead end of
the evolutionary line
10 Harmonization and coordination of the Also true for all living systems
system parts (materials, shape,
structure, information, rhythms, and
energy distribution)
11 Parts of systems (subsystems) evolve Species either change themselves or
nonuniformly, creating constantly change each other. Misbalance in
changing opportunities for innovation subsystems’ interactions causes
ecosystem catastrophes or individual
physiological stress, illness and
triggers changes or death
12 Shortening of the energy flow path Energy flow paths are getting longer in
the evolution of life on our planet
(continued)
464 S.-H. Yoo

S. No. Trends in technical evolution Trends in biological evolution
13 The acceleration of evolution speed is in
direct proportion to the complexity of a
system (mammals evolved faster than
bacteria)
14 Life span of a product is definitely Life span of the ecosystem is four to five
shorter than the life spans of the times larger than life spans of families; the
classes of similar product and families live three to four times longer than
obviously shorter than the life of genus, genus – three to four times longer than
the whole industrial branch species
15 The higher level of system complexity, the
more diversity of forms of such systems.
Eukaryotes are more complex than
prokaryotes and contain 500 times more
different species
16 Living nature evolves from short life cycles to
the long life cycles. For example, the cycle
“phototrophs -> reducers -> mineral
substances -> phototrophs” evolves to the
cycle “phototrophs (producers) ->
consumers-1 -> consumers-2 -> . . .
-> reducers -> mineral substances ->
phototrophs”
biological phenomena at multiple levels of biological organization. This can help

designing engineering systems inspired from the biological systems with different
hierarchical levels. Biomimetics involves transfer from one or more biological
examples to technical system. The procedures have common steps as follows:
• Formulate search objectives.
• Search for biological analogues.
• Analyze biological analogues.
• Transfer.
The SAPPhIRE (State change, Action, Parts, Phenomenon, Input, oRgan, and
Effect) model was developed for capturing functionality of the system that uses
physical phenomena to attain their goal (Chakrabarti et al. 2005). It was originally
developed for supporting the product design. The model was applied for 20
biomimetic examples to identifiy 4 levels of abstractions at which the transfer takes
place in biomimetic design (Sartori et al. 2010).
5 Application on Sustainable Design
5.1 Implication on Sustainable Design
The evolution of the application on sustainable design can be summarized as

follows. At first, research has been done on combining design concept with
sustainability for many years. Traditional engineering tools and concepts are ex-
tended to meet the requirements from the environmental restriction. The deficiencies
and criticism of this approach are also summarized (Leibrecht 2005; Knight and
Jenkins 2009). Then innovation tools are combined with the traditional tools (Chang
and Chen 2004; Justel et al. 2005). Trials toward whole integration of sustainability
and design with the innovation tools are now appearing and have started to produce
notable accomplishments. Modern tools equipped with the current IT technology
can help much on reducing environmental effects from design to manufacturing and
recycling.
More developments are expected by integrating the state-of-the-art innovation
technology such as TRIZ, CAI, SI, and biomimetics. CAI and TRIZ have been
used to enhance the processes in this direction in one way. Attempts to apply
TRIZ in ecodesign come from both sustainable design experts and TRIZniks. The
eco-guidelines are compared with the TRIZ tools such as 40 inventive principles,
and the eco tools such as Eco-Compass are being improved by TRIZ (Jones and
Harrison 2000). Integration with other tools for ecodesign is another approach
with Lean concept and LCA (life cycle assessment) (Kobayashi 2005). Analogies
between problem solving tools and the rules and suggestions coming from Design
for Disassembly, sustainability, or reuse are searched (Ikovenko 2004). Russo et al.
(2011a, b) tried to use the basic concepts of TRIZ into ecodesign. The TRIZ tools
used are the laws of evolution, resources, and IFR (Russo et al. 2011a), and those
are extended to provide practical tools for small- and medium-sized enterprises in
the manufacturing field (Russo et al. 2011b). The weakness of the current LCA
which is pointed out by experts and users including complexity (Russo et al. 2011a),
time-consuming, and high cost is overcome by introducing the simplified LCA
incorporating TRIZ concepts in the form of eco-guidelines. It is argued that all the
methods are effective in the assessment or improvement phases, but not in both.
This is also resolved using the TRIZ-driven concepts, such as the IFR index in the
assessment phase and eco-guidelines in the improving phase. A SUSTAINability
map is introduced to exercise systematic thinking of TRIZ in the first phase of
design and applied successfully to the case study of clothes cleaning (D’Anna and
Cascini 2011). TRIZ also uses an option generation tool for cleaner production
and applied for zero emission projects (Fresner et al. 2010). Case-based reasoning
(CBR) which is used to form the disassembly strategy, recycling strategy, cost
and benefit analysis, and environmental management is integrated with TRIZ to
accelerate preliminary ecodesign (Yang and Chen 2011). Experiences in introducing
biomimetics to students of industrial engineering were also reported with partial
success (Santulli and Langella 2010).
There are some variations of TRIZ such as SIT(Systematic Inventive Thinking),
ASIT(Advanced Systematic Inventive Thinking), and USIT(Unified Structured
Inventive Thinking), and those tools were also applied to the eco design and design
education (Turner 2009). The consolidation of CAI and sustainable design started
in a passive way that innovative applications are found to be very efficient in the
realization of a specific function and also a good solution in terms of sustainability.
Many times, the innovative outputs are not just a solution of a specific problem but
466 S.-H. Yoo
also a good product or process which have good properties in any criteria including
ecodesign. An innovation which is closer to ideality shows better characteristics
in all directions. These experiences bring innovators to adopt CAI for sustainable
design purposefully. So far, the perception that sustainability issue is different
from the traditional engineering activities has led to avoidance and low priority of
sustainability in practice. Insufficient knowledge of the existence of practical, robust
tools for problem identification and solving and impression of sustainability issue
as costly without gain also block the efforts in this direction. It is imperative to
adopt the principles and tools of the systematic innovation to overcome obstacles
to meeting the sustainability challenges. Now it is good news for corporations of
all sizes under the regulatory pressures to develop more sustainable products and
processes that such systematic innovation tools are available.
Here, two examples have been considered to illustrate the use of TRIZ in
sustainable design.
5.2 A Stapless Stapler
The first example is brought to show how innovation methodology can be applied
to the commodity with ease. The evolution of tools for function of holding several
pieces of paper can be easily seen on each one’s desk. Folding of the corner of the
papers, pins, clips, and fasteners is a common solution (Petroski 1994). Staplers are
used most because of its capability to hold fairly thick papers. But the efficiency
and ideality of the staplers can be questioned as staples are used and dumped.
Certainly, it is far from ideal as a fair amount of materials are wasted as staples. It
is cumbersome to use a staple remover for unstapling. So a stapless stapler has been
devised to avoid these shortcomings. It has been studied in terms of USIT which
is a dialect of TRIZ (Yoo et al. 2011). Even though the stapless stapler is good
for not wasting metals, still it is in the path of development to be ideal. It cannot
penetrate more than five sheets of paper, and sturdier design has been suggested.
These kinds of innovative stationery should be used more in daily life to conserve
precious material. It is astounding that the issue of ecodesign concept is keenly
perceived in a capstone design project, and an improved design can be produced by
university seniors in one semester using modern design engineering tools and TRIZ.
It is a good manifestation of the fact that TRIZ and CAI tools are really effective to
bring out the issue of problem finding and solution generating (Fig. 26.4).
5.3 Low Moisture Technology for Paper Industry
The extremity of ideality is IFR, and it is the same purpose of eco- and sustainable
design to increase the ideality. As a routine and incremental design which is a
traditional engineering approach has limit to produce truly innovative solution, so-
called radical innovation is required to bring out greener product with big impact. In
this sense, here is one of the notable examples from paper industry (S. Litvin, 2011,
Fig. 26.4 A stapless stapler: (a) a currently selling model, (b) a stitched paper and (c) the
improved design
GEN3, Private communication). It is true that 99% of paper is still made using
a water-laid process although the paper industry has substantially improved its
technology in the face of increasingly stringent environmental requirements. When
paper is volume-produced using water-laid technology, the process is extremely
water and energy intensive; the water-paper slurry contains more than 99% water,
and the dryers consume large amounts of energy. This is important for deploying
extra capacity in the cyclical industry in a controllable manner. Historically,
sanitary-hygienic tissue was produced using 1 ton of water for every kilogram of
dry fiber. Water is needed for establishing hydrogen bonds between the molecules
of the cellulose fibers contained in paper, so wetting the fibers is a necessity. Water
has also been used to transport these fibers to the web used for paper forming.
This process was a very time-consuming and energy-intensive process that also
had significant sustainability disadvantages because of the aggressive chemical
additives added to the water. Paper manufactured by this method was too expensive
to successfully compete in the marketplace. The Su-Field analysis of TRIZ was
performed to identify the use of water in the transport of the fibers as detrimental.
This analysis suggested that the key was to find another substance to perform the
same function as the water, one without these harmful effects. However, the second
function performed by water, promoting adhesion of the cellulose fibers, could not
468 S.-H. Yoo
be eliminated as it was critical to the hydrogen bonding process. In the subsequent

testing, it was discovered that the adhesion function could be achieved with as little
as 1 kg of water in the form of steam per kilogram of fibers – a 1,000 times reduction
in water usage. This discovery opened the door to testing an alternative material to
perform the transport function. A fundamentally new technology was subsequently
developed as a low-moisture forming method based on using air instead of water
to transport the fibers to the forming web. Moreover, a reduction in the energy
consumption of almost 300% and a reduction in the capital equipment costs by
approximately 50% have enhanced their ability to compete successfully on price.
The efforts to have innovative new design toward ideality produced a practical
solution which reduced the consumption of precious materials and transformed the
industry much eco-friendly.
6 Summary
In this chapter, innovation methods such as TRIZ, CAI, SI, and biomimetics are
introduced. They have great impact on the creative problem solving and innovative
design. Those innovation methodologies can produce meaningful progress in ecode-
sign by combining sustainability with the traditional design techniques. Recent
publications on the study of finding the systematic steps for sustainable design are
summarized. The purpose of innovation methodology is in the same direction of the
sustainable design in nature. More ideal products from those tools have invaluable
characteristics to be more eco-friendly. Examples of a new type of stapler and a new
paper-producing technology are brought to show the impact of the radical innovation
generated by the TRIZ methodology. As the application of the innovative techniques
is in the stage of blossoming after the introduction and implementing steps, there is
much room to try for sustainable design.
7 Cross-References
Eco-business Planning: Idea Generation Method

Strategies for Sustainable Technologies: Innovation in Systems, Products, and
Services
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Sustainable Product Design and
Development: TPI-Based Idea Generation 27
Method for Eco-Business Planning and
Eco-Product Development
Shinsuke Kondoh and Nozomu Mishima
Abstract
Environmental consciousness has been growing in recent years, and product
life cycle design that aims to maximize utility value while minimizing environ-
mental load and cost should be implemented in addition to the environmentally
conscious design of the product itself. In this context, many life cycle design
tools have been proposed in recent years. Examples include life cycle scenario
description tools, which support a designer in explicitly describing an expected
life cycle scenario for a product, life cycle simulation (LCS) tools, and design
guideline for product life cycle. However, it is not easy for a designer to derive
a practical design solution for the product life cycle (e.g., product specifications
and life cycle options for components) by using these tools. Life cycle scenario
description tools alone cannot calculate the optimal values for design parameters
and LCS tools, the model of which consists of a large number of interrelated
parameters, and are too complex to calculate these values. In addition, developing
a calculation model for a LCS tool is a time-consuming task.
To solve these problems, Total Performance Design (TPD) method has been
developed, especially focusing on the balance of customer’s utility value of a
product and its resulting environmental load and cost throughout the entire life
cycle. In this method, Total Performance Indicator (TPI), which represents the
environmental and economic performance throughout product life cycle, is used
as an objective function and a design solution is derived as a set of life cycle
option (e.g., reuse, recycling, upgrading, extension of physical lifetime) for each
S. Kondoh ()
Advanced Manufacturing Research Institute, National Institute of Advanced Science and
Technology (AIST), Tsukuba, Ibaraki, Japan
e-mail: kondou-shinsuke@aist.go.jp
N. Mishima
Graduate School of Engineering and Resource Science, Akita University, Akita, Akita, Japan
e-mail: nmishima@gipc.akita-u.ac.jp

DOI 10.1007/978-1-4020-8939-8 40,
472 S. Kondoh and N. Mishima
component, specification for each functional requirement, and product lifetime

that maximizes TPI under given business environment.
Although this method was revealed to be useful through a case study, it was
shown that the consideration of various eco-business strategies (e.g., product
sales, lease and rental, and function selling) also plays an important role in
improving TPI. For example, adequate control and management of operating
conditions are effective for products which consume large quantities of energy
and materials during their use stage. In this case, providing products with energy-
saving service (e.g., ESCO business) is a promising approach. In addition to
operating conditions, product lifetime and its physical wear and deterioration
are also insufficiently controlled by product design alone. Therefore, the idea
generation and decision-making process for eco-business strategy, as well as
design of a target product itself, should be focused on.
The objective of this chapter is to propose the TPI-based idea generation
method for the development of eco-products considering the most suitable eco-
business. Specifically, this chapter provides a designer with a set of eco-business
rules and case base extracted from Japanese eco-business cases. The applicability
of each rule is described in relation with 17 business parameters that represent
the situation (pattern) of the given business environment. Referring to the rules
and the cases of which patterns are similar to the given business environment,
the designer can easily generate adequate eco-business ideas. The designer can
also determine the product performance specifications that are suitable for the
generated eco-business ideas through the analysis of these parameters.
1 Introduction
Due to growing concern about environmental problems, sustainable product design

and development is becoming crucial for businesses more than ever before. In this
context, many tools and methods for sustainable product design and development
have been developed in recent years. Some of them have focused on the improve-
ment in the environmental performance of products by enabling reuse and recycling
of their constituent components and materials. However, it is not effective to reduce
environmental load by product design alone. Even if the components and materials
are designed to be reusable and recyclable, it is useless unless the products are
adequately collected and treated at the end of their lives. In addition, for the products
which consume a lot of energy and materials within their use stages, their adequate
control and management by the experts rather than the customers will be quite
effective for reducing the material and energy consumption. Therefore, a proper
design and planning of a business model throughout the whole product life cycle
is quite important in addition to the eco-design of a product itself. To this end,
the concept of product service system (PSS) and life cycle design methods have
been proposed and they are attracting researchers’ interest recently. Chapters Life
Cycle Simulation for Sustainable Product Service Systems, Modeling Services
and Service-Centered PSS Design, Product Design Considerations for Improved
Integrated Product/Service Offerings explain PSS concept and life cycle design
27 Sustainable Product Design and Development 473
method. Although the PSS concept well structures possible configuration patterns
of products and services, it is too abstract for businesses to generate practical
ideas of the eco-products considering their most suitable eco-business models. In
order to solve this problem, the authors have been developing the TPI-based idea
generation method for eco-business planning and eco-product development, which
systematically gives the designer a set of eco-business strategies in addition to the
most suitable product performance specifications.
This chapter provides readers with a brief overview of eco-product design and
development methods at first. Then it illustrates the TPI-based idea generation
method for eco-business planning and eco-product development. Section 2 briefly
summarizes current eco-design and life cycle design methods. Section 3 explains the
basic ideas of the TPI-based idea generation method for eco-business planning and
eco-product development. Sections 4–6 describe the detail of the method; Sect. 4
describes Total Performance Indicator (TPI), which is used as an objective function
in this method, Sect. 5 explains 12 eco-business rules, by which the designer
generates eco-business ideas by consulting the eco-business case base, and Sect. 6
explains how to determine the product performance specifications that are suitable
for the generated eco-business ideas. Section 7 illustrates the design procedure of
the method with a simplified case study of a laptop computer business.
2 Brief Overview of Sustainable Product Design and

Development Methods
The methods and tools for eco-product design and development can be classified
into the following two categories: (1) design for environment (DfE) methods and
(2) life cycle design method for products and services.
2.1 Design for Environment (DfE) Methods
So-called design for environment (DfE) methods focus on one aspect of a design
problem (e.g., recyclability of materials) at a time. Design for reuse (DfR), design for
recycling (DfR), design for maintenance (DfM), and design for assembly/disassembly
(DfAD) are examples of these methods. Among them, modular design method
(Baldwin and Kim 2000), which is widely used to meet a wide variety of customer
needs with relatively small design and production efforts, is one of the key concepts
for realizing highly reusable, recyclable, and maintenancable products.
2.2 Life Cycle Design Method for Products and Services
As discussed in the introduction section, it is not effective to reduce environmental

load by product design alone. The second type of the tools focus on the entire
life cycle of products (and services) and try to find out the proper life cycle
scenario (e.g., end of life options for every constituent component) in relation
with their business models to reduce their life cycle environmental load. Life cycle
scenario description tools (Yamagiwa 2004; Suesada et al. 2007), which support
a designer in explicitly describing an expected product life cycle scenario for a
product with easily understandable graphical representations, life cycle simulation
(LCS) methods (Umeda et al. 2000; Kobayashi and Kumazawa 2007), which are
utilized for evaluating the environmental and economic performance throughout the
product life cycle in addition to conventional life cycle assessment (LCA) and life
cycle costing (LCC) methods, and eco-design guidelines (UNEP 1997; Wimmer
et al. 2004) are examples of them.
The concept of product service system (PSS) (Goedkoop et al. 1999; UNEP 2002;
Sakao and Lindahl 2009) and servicizing (White et al. 1999) are also classified
into this category. PSS, which is often defined as “a marketable set of products
and services of jointly fulfilling a user’s needs” (Goedkoop et al. 1999) is seen as
excellent means for significant reduction of environmental load as well as enhancing
the competitiveness of the businesses. Three typical types of PSS, namely, product-
oriented PSS (e.g., advice and consultancy service provided with the products), use-
orientedPSS(e.g.,productlease,rental,andpooling),andresult-orientedPSS(e.g.,pay
per service unit), are good references for analyzing eco-products and their businesses.
2.3 Challenges of TPI-Based Idea Generation Method for

Eco-business and Eco-product
However, it is not easy for the designer to derive a practical sustainable solution
for his/her given business environment based on these methods. Life cycle scenario
description tools alone cannot calculate the optimal values for design parameters
and LCS tools are too complex to calculate these values since their models consist
of a large number of interrelated parameters. In addition, developing a calculation
model for LCS tools is a time-consuming task. Strategies and guidelines suggested
by PSS concepts are also difficult to use because of their abstractness.
In order to solve these problems, the TPI-based idea generation method for
eco-business planning and eco-product development has been developed. The
method gives the designer a set of practical ideas for sustainable businesses in
addition to those for a target product itself by using a case base of sustainable
businesses in Japan. It also provides the designer with an easy-to-use evaluation
method for his/her ideas from both environmental and economic viewpoints. Total
Performance Indicator (TPI), which simultaneously represents the efficiency of
user value production from environmental and economic viewpoints, is used as a
performance measure in this method.
3 Basic Idea of TPI-Based Idea Generation Method for

Eco-product
3.1 Definition of Eco-business and Objective Function
Eco-businesses are defined as businesses that provide greater user value at lower
environmental load and cost than existing ones, in this chapter. By using the Total
Performance Indicator (TPI), eco-businesses are considered to be those that achieve

higher TPI than existing ones. TPI, which is used as an objective function in this
method, is defined as the balance of customer utility value (UV) and its resulting
environmental load and cost as follows:
UV
TPI D p (27.1)
LCE LCC
where LCE and LCC denote environmental load and cost throughout the entire
life cycle, respectively. Equation 27.1, above, is selected because (1) the evaluation
of environmental and economic performance is viewed as having the same level
of importance and (2) arithmetic average of LCE and LCC is not suitable due
to difficulties in converting LCE and LCC into the same unit. Even when LCE
can be converted into monetary unit referring to the prices for carbon dioxide
emission permits, the LCE value is too small to compare with that of LCC in
general.
3.2 Idea Generation Method for Eco-product Development
In order to help a designer find eco-business ideas that effectively improve TPI, a
set of eco-business rules and conditions for applying them are provided. Figure 27.1
summarizes the basic idea of the method.
First, 17 business parameters, from which UV, LCE, and LCC are constructed,
are identified. Among them, a set of key (influential) parameters in a given business
environment is identified by sensitivity analysis of TPI and it gives a pattern of a
given business environment.
Second, the effect of each eco-business rule on these 17 parameters is analyzed
referring to 130 eco-business cases in Japan. Summarizing a general tendency of
each rule, the applicability of each rule is given by a rules-parameters matrix. By
using this matrix and consulting the business case base, a business designer can
easily find a set of business rules that effectively improve TPI in a given business
environment.
The procedure of the method is summarized as follows.
Step 1: Identification of business environment
First, the designer identifies customers’ functional requirements and calculates the
values for 17 parameters in a given business environment.
Step 2: Sensitivity analysis of TPI
The designer executes sensitivity analysis of TPI to find a set of key (influential)
parameters to be improved.
Step 3: Idea generation for eco-business
From the predefined eco-business rules that were derived by analyzing existing
eco-businesses, the designer selects a set of rules that improves the key parameters
derived in Step 2, and generates eco-business ideas by consulting the eco-business
case base, which describes how each rule improves these parameters in each
existing eco-business case.
476
Fig. 27.1 The basic idea of TPI-based idea generation method for eco-product
S. Kondoh and N. Mishima
Step 4: Determining product performance specifications

Under the eco-business idea generated in Step 3, product performance specifica-
tions that are suitable for the business are determined to improve TPI.
Step 5: Evaluation of the eco-business ideas by TPI
Based on the eco-business ideas and product performance specifications generated
in Steps 3 and 4, the TPI of a product (service) is recalculated. If the designer is not
satisfied with the improvement in TPI, then the designer returns to Step 2.
4 Formulation of UV, LCE, and LCC
This section describes how to formulate UV, LCE, and LCC for calculating the TPI
of a target product.
4.1 Formulation of UV
4.1.1 UV as Time Integral of Product Value

The UV of a product rises as the product’s functional performance increases and the
longer it is used. Thus, UV is defined as the time integral of product value, assuming
that the product value is strongly correlated with its functional performance:
Z lt
UV D V .t/dt (27.2)
0
where lt and V .t/ denote the lifetime and product value at time t, respectively.
4.1.2 Estimation of UV by Multi-attribute Utility Theory

From the viewpoint of the multi-attribute utility theory (Winterfeld and Edwards
1986), product value at time t can be allocated to its dominant functional require-
ments (FR) given as follows:
X
V .t/ D Vi .t/ (27.3)
i
Vi .t/ D wi .t/FRi .t/ (27.4)

where i , Vi .t/, wi .t/, and FRi .t/ denote the index of FRs, product value
allocated to FRi , weighting factor for FRi , and functional performance of FRi
at time t, respectively. The weighting factor for each FR represents its consumer
importance. Those with high importance have great potential for improving product
value. In this method, product value is measured by market price. Therefore, the
importance of each FR can be estimated by conjoint analysis (Green and Srinivasan
1978) of various products with different specifications.
4.1.3 Time Variation of UV

Since UV is defined as the time integral of product value, the time variation of
product value should be estimated. Product value deteriorates for the following
reasons: (1) physical causes and (2) value causes (Daimon et al. 2004). Physical
causes include product failure and degradation due to aging and wear. Value causes
include obsolescence of product FRs (including aesthetic quality). The value of
products such as computers or mobile phones deteriorates too fast due to very
rapid technological innovations, and so both types of causes should be estimated
at the same time. Since the value of a product is given as the weighed sum of
its functional performance, value deterioration over time is given by decreases in
functional performance and importance.
1. Deterioration due to physical causes
Here, deterioration due to physical causes is represented as a decrease in
functional performance FRi .t/. FRi .t/ is estimated using empirical data on the
deterioration of similar products at their use stage by applying reliability theory.
For the sake of simplicity, deterioration of FRi .t/ is expressed by the following
linear equation:
FRi .t/ D ci t C di (27.5)
where ci and di denote deterioration rate and initial performance of FRi ,
respectively.
2. Deterioration due to value causes
Another cause of product value deterioration is obsolescence of FRs. Assuming
that a set of dominant product FRs does not change, the obsolescence of each FR
is expressed by the decrease in importance of each FR given as follows:
wi .t/ D ai t C bi (27.6)
where ai and bi denote the obsolescence rate and initial importance of FRi ,
respectively. These values can be estimated by regression analysis on wi .t/ at
various times t.
Figure 27.2 depicts the time variation of value allocated to each FR. The
horizontal axis and vertical axis denote product use time, and value allocated to
FRi , respectively.
4.1.4 Vector Representation of UV

Let us assume that a target product contains n FRs. The UV of a product is
formulated as follows by using inner products of four different vectors:

1 1 1
UV D lt 2 lt aE C bE cE C lt lt aE C bE dE (27.7)
3 2 2
where a, b, c, and d denote obsolescence vector, value evaluation vector, deteriora-

tion vector, and performance vector, respectively.
Value decrease due to obsolescence
Value allocated to FRi

wi (t ) = ait + bi
Value decrease due to physical factor
FRi (t ) = cit + di
Overall value decrease curve

Vi(t ) = wi (t )FRi (t )
0
Time t
UVi Time integral of value
Fig. 27.2 Time variation of value and UV
In general, a and b, which represent user preference for a product and its
time variation, respectively, are given by the market environment and cannot be
controlled by a designer, whereas c and d, which represent product performance
and its time variation, respectively, can be controlled by a designer. Thus, a designer
should select adequate values for c and d for given a and b.
Introducing mc and md , which are resultant vectors of a and b, ( 27.7) can be
transformed as follows by using scalar values: norms of mc , md , c, and d and the
angles between them.

UV D lt 2 m
E c cE cos.c / C lt m
E d d cos.d / (27.8)
1 1
m
Ec D lt aE C bE (27.9)
3 2
1
E d D lt aE C bE
m (27.10)
2
where kck and kdk represent physical deterioration speed and overall performance
of a target product, respectively.
c and d , which are called deterioration fitness and performance fitness in
this method, denote angles between c and mc and d and md , respectively. The
former and the latter (c and d ) represent adequateness of product deterioration
and initial performance in a given market environment (mc and md /, respectively.
Relationships among these vectors are depicted in Fig. 27.3. Note that c and mc
belong to different quadrants while d and md belong to the same quadrant. Thus, the
first term of the right-hand side of (27.8) is a negative quantity and the second term
is a positive quantity.
FR1
b : Value evaluation
vector
d:
Performance
md vector
qd
qc
mc FR2
c: Deterioration
vector
a : Obsolescence vector
Fig. 27.3 Relationship among obsolescence, value evaluation, deterioration, and performance
vectors
4.1.5 Interpretation of UV Parameters

Equation 27.8 shows that enhancement of overall performance (kdk) is quite
effective when lt is small and on the contrary, improvement of deterioration speed
(kck) is quite effective when lt is large.
In addition to the norms of c and d, the angles between c and mc .c / and d and
md .d / also affect UV. As shown in ( 27.8) and Fig. 27.3, UV becomes large as
d approaches 0ı and c . This means that preferential improvements of ci and di ,
which effectively improve c and d , are also quite promising.
4.2 Formulation of LCE and LCC
Focusing on energy-using products, the longer a product is used, the higher its LCE
and LCC become. Thus, the simplest representation of LCE and LCC of a product
is given as follows:
LCE D euse lt C eprod C edist C ecol C eeol (27.11)

LCC D fuse lt C fprod C fdist C fcol C feol (27.12)
where euse and fuse denote environmental load and cost during the product use stage
per unit time, respectively. eprod , edist , ecol , and eeol denote environmental load at
the production, distribution, collection, and end of life (EOL) treatment stages,
respectively. fprod , fdist , fcol , and feol denote the cost at production, distribution,
collection, and EOL treatment stages, respectively.
LCE and LCC of a product can be calculated by conventional life cycle

assessment (LCA) and life cycle costing (LCC) tools, respectively.
4.3 Sensitivity Analysis
As given in (Eqs. 27.8, 27.11, and 27.12), TPI is constructed from 17 parameters,
namely, kmc k, kmd k, kck, kdk, c , d , euse , eprod , edist , ecol , eeol , fuse , fprod , fdist ,
fcol , feol , and lt. Note that due to interdependency among these parameters,
each parameter cannot be controlled independently from the others. Therefore,
preferential improvement of the parameters with the greatest influence is an effective
approach. In order to find influential parameters among them, sensitivity analysis of
TPI should be executed. However, interdependency among the parameters which
construct UV and those which construct LCE and LCC is generally unknown in
mathematical forms. Thus, sensitivity analysis is conducted on the numerator and
the denominator of TPI, separately. A set of key parameters is selected from the
elements of sensitivity vector s given as follows:

@U V @U V @U V @U V @T L @T L @T L
s D kck ; kd k ; c ; d ; euse ; eprod ; edist ;
@ kck @ kd k @c @d @euse @eprod @edist
@T L @T L @T L @T L @T L
ecol ; eeol ; fuse ; fprod ; fdist ;
@ecol @eeol @fuse @fprod @fdist

@T L @T L @TPI
fcol ; feol ; lt (27.13)
@fcol @feol @lt
where TL denotes the geometrical average of LCE and LCC:

p
TL D LCE LCC (27.14)
5 Rules for Eco-business Planning
Now a set of influential parameters are chosen. The next issue is how to improve
these key parameters without affecting adversely other parameters. To do that, a set
of eco-business rules and conditions for applying them are provided to the designer.
To this end, 12 eco-business rules are identified from the analysis result of 130
eco-business cases in Japan (Kondoh et al. 2006). Then, their applicable conditions
are identified in relation with 17 business parameters by analyzing the effect of
each rule on the 17 business parameters in each case. Although the effect of each
rule on each business parameter differs from case to case, the general tendency of
its effect is summarized as shown in Table 27.1. The effect of each rule on each
parameter is represented by the symbols ı, , and * in each cell of the table.
482
Table 27.1 Rules-parameters matrix

UV LCE LCC
Deterio- Overall
ration Deterio- perfor- Perfor- Produ- Distri- Colle- Produc- Distri- Collec-
Rules/ speed ration mance mance Use ction bution ction E0L Use tion bution tion E0L
parameters jjcjj fitness c jjdjj fitness d euse eprod edist ecol eeol fuse fprod fdist fcol feol Lifetime
(A)
Management
of life cycles
(B) Expansion
of the business
scale
(C)
Reutilization of
wastes/use one
more time
(D) Utilization
of knowledge
and
information
(E) Linkage
and
cooperation
among various
industries
(F) Combining
various
business values
(G)
Technological
innovation
S. Kondoh and N. Mishima
(H) Outsourc-
ing/contracting
for
environmental
loads
(I) Servicizing
(J)
Timesharing
(K)
Management
of hidden
bottlenecks
(L) Application
of cleaner
methods to
satisfy
customer needs
27 Sustainable Product Design and Development
483
Improved and deteriorated parameters after applying each rule are represented by
ı and , respectively. * denotes the potentially controllable parameters when a
designer applies rule (A) Management of life cycles.
(A) Management of life cycles
Proper management and control of product life cycle (especially, after they are
sold) can reduce both environmental loads and costs. Closed-loop manufacturing
of a one-time-use camera is an example of this rule. In this case, the business
provider takes responsibility for the collection and EOL treatment of a one-
time-use camera and thus can control LCE and LCC at these stages (i.e., ecol ,
fcol , eeol , and feol /, which are uncontrollable in conventional product sales
businesses. This rule is interpreted as changing a set of control parameters by
taking responsibility for the life cycle stages other than the production stage.
(B) Expansion of the business scale
As in traditional businesses, expansion of business scale reduces LCE and LCC
at the production, distribution, collection, and EOL treatment stages (eprod ,
edist , ecol , eeol , fprod , fdist , fcol , and feol /. Examples include sharing of the
logistic system (including reverse logistic system) among multiple firms. In
addition, this rule sometimes helps to improve performance fitness d because
the larger the scale of business, the easier it becomes to collect a wide variety of
users.
(C) Reutilization of wastes/use one more time
Reusable or recyclable goods and energy are sometimes thrown away because,
for instance, the amount is too small for them to be reused or recycled. If they
are used one more time, LCE and LCC at both the EOL treatment and the
production stages (eprod , eeol , fprod , and feol / are reduced. Utilization of waste
plastics as reductant in blast furnaces is an example of this rule.
(D) Utilization of knowledge and information
Utilization of knowledge and information about usage conditions can effec-
tively reduce LCE and LCC at the product use stage (euse and fuse / by
increasing the efficiency of energy and material usage. In addition, this rule also
improves product lifetime (lt) and durability (kck and c ) by providing adequate
maintenance or consultancy services on product use. Eco-drive training service
for a driver provided by an auto manufacturer is an example of this rule.
(E) Linkage and cooperation among various industries
Related to the rule Expansion of the business scale, cooperation among various
industrial sectors sometimes contributes to reduction in LCE and LCC at the
production, distribution, collection, and EOL treatment stages (eprod , edist , ecol ,
eeol , fprod , fdist , fcol , and feol /. The zero emission concept (Graedel and Allenby
1995), which aims at reutilizing wastes from a factory as resources for another
factory by organizing industrial clusters, is an example of this rule. In addition,
this rule sometimes improves utility value (kdk and d ) by creating a new
combination of services (related to the rule Combining various business values).
(F) Combining various business values
Providing multiple products/services bundled into a package sometimes im-
proves customer benefit (kck, kdk, c , and d ). In addition, product lifetime and
LCE and LCC at the use stage (lt, euse , and fuse / can be improved by providing
products with maintenance and consultancy services.
(G) Technological innovation
Technological innovation is sometimes indispensable for implementing a busi-
ness idea described as a combination of other business rules. The overall
performance and durability of a product, and LCE and LCC at the production,
distribution, product-use, and EOL treatment stages (kdk, kck, c , d , eprod , edist ,
eeol , fprod , fdist , and feol / were improved by various technological innovations
in many cases.
(H) Outsourcing/contracting for environmental load
As eco-businesses often cover multiple life cycle stages (from cradle to grave),
firms cannot execute the entire tasks by themselves. Therefore, making the right
outsourcing decision is important for reducing LCE and LCC. Furthermore,
undertakers of the outsourcing can reduce their costs by applying the rule
Expansion of the business scale.
(I) Servicizing
Servicizing refers to selling a service or functionality rather than a product.
While the product is still owned by an eco-business provider, customers
pay for use or maintenance. E-learning and videoconference substituting for
transportation are examples of servicizing. This rule sometimes significantly
reduces LCE and LCC (euse , eprod , edist , ecol , eeol , fuse , fprod , fdist , fcol , and feol /.
(J) Timesharing
The capacity of products such as personal automobiles and industrial equip-
ment is sometimes underutilized. By encouraging users to abandon individual
ownership, more intensive utilization of products can be realized (i.e., a kind
of use-oriented PSS). This can reduce users’ procurement costs and risks for
disposal of products. Leasing and rental schemes are examples of this rule.
Assuming that m users with the same preference for a product (a and b) use the
same product in a lease and rental scheme under the same operating conditions,
kdk, kck, euse , and fuse become m kd k, m kck, m euse , and m fuse ,
respectively.
(K) Management of hidden bottlenecks
Identification and proper management of hidden environmental bottlenecks of
a user’s activities often reduce the user’s costs and environmental risks. An
example of application of this rule is the ESCO business (Edward et al. 1998),
where ESCO comprehensively manages the use of electricity by its user to save
electricity. This rule can improve the overall deterioration speed, deterioration
fitness, LCE, and LCC at the product-use and EOL treatment stages (kck, c ,
euse , eeol , fuse , and feol ).
(L) Application of cleaner methods to satisfy customer needs
Applying cleaner products or services to satisfy customer needs can improve
the environmental performance of products/services directly. Examples of this
rule include the introduction of green electricity such as photovoltaic power
generation. This rule improves LCE and LCC at the use and production stages
(euse , eprod , fuse , and fprod ).
6 Determining Product Performance Specifications
In addition to the 12 eco-business rules, a designer can also improve TPI through
the development of the eco-product which exhibits higher UV with lower LCE and
LCC than conventional ones. Although a product design can affect all the parameters
constructing TPI except kmc k and kmd k, the target performance specifications are
determined as a set of performance vector d and deterioration vector c in this
method. This is because the other parameters (euse , eprod , edist , ecol , eeol , fuse , fprod ,
fdist , fcol , and feol / are significantly affected by many factors other than product
design (i.e., production technology, logistic system, and user behavior).
As shown in (27.8), the higher the overall performance (kdk) becomes and the
smaller the physical deterioration speed (kck) becomes, UV of the product becomes
greater. In addition, as performance fitness (d ) reaches 0ı and deterioration fitness
(c ) reaches 90ı , the greater UV of the product becomes as described in Sect. 4.1.5.
Thus, preferential improvement of the functional performance or durability of FRs
which improves performance fitness or deterioration fitness is quite effective to
improve TPI. The designer determines each element of the performance vector d
and deterioration vector c comparing the directions of d and md and those of c and
mc , respectively.
Let assume that the designer changes the product’s performance specifications
so that d reaches 0ı without changing overall performance (kdk). TPI will be
increased by 1=cos .d /-fold as shown in ( 27.8). Note that c cannot reach 90ı
since c and mc belong to different quadrants as described in Sect. 4.1.4. Thus, the
improvement potential of deterioration vector c cannot be represented in general
form.
7 Case Study: A Laptop Computer Business
In order to illustrate the procedure of the TPI-based idea generation method for eco-
business planning and eco-product development, a case study of a laptop computer
business is described in this section.
7.1 Step 1: Identification of Business Environment
The first step is to identify dominant functional requirements to be provided and

calculate the obsolescence, value evaluation, deterioration, and performance vectors
of a target product (or service), as well as its resulting LCE and LCC in a given
business environment. In this example, first the designer assumes that the business
sells its laptop computers to the customers.
Table 27.2 summarizes the dominant FRs of a laptop computer. In the table, all
the elements of d are normalized to 1. a and b, which consist of obsolescence rate
ai and initial importance bi for each FR, respectively, are calculated by conjoint
analysis for two different years (2002 and 2006). For example, the weighting
factor for FR1: Computing speed is calculated as 58.65 (kJPY/GHz) for 2002
Table 27.2 FRs of a laptop computer

FRs 0 bs. rate ai Init. Imp. bi Det. rate ci Performance di
FR1 Computing speed 0:775851 100.062 0:00417 1
FR2 Compute 0:479795 29.1925 0:00417 1
large-capacity data
FR3 Storage capacity 2:001604 107.64 0:01042 1
FR4 Portability 0:097798 27.703 0:00417 1
FR5 Easily viewable 0:408993 114.684581 0:001 1
FR6 Handle multiple 1:213285 88.05 0:01042 1
recording media
(i.e., the performance of FR1: computing speed (1 GHz) was worth 58,650 yen)
and 36.95 (kJPY/GHz) for 2006. The weighting factor for FR1 is considered to
decrease due to technological innovation. Thus, the obsolescence rate of FR1 (a1 ) is
calculated as 0.45638 by substituting these two values into (27.6). Then, the value
is normalized to 0.77585 so that all elements of the performance vector d equal
to 1 as shown in the table. For the initial importance (weighting factor) of each FR
(bi ), the importance value in 2002 is used. c, which consists of deterioration rate
for six FRs, was assumed by referring to the physical lifetime of the constituent
components of similar products in the market.
LCE and LCC are assumed to be calculated as 163 (kgCO2 ) and 187 (kJPY),
respectively, in this case. Then, LCE value is converted to 0.325 (kJPY) assuming
that the price of 1 metric ton of carbon dioxide emission permits is 2,000 yen.
Product lifetime lt is assumed to be 48 months in this example. TPI was calculated
as 1911.
7.2 Step 2: Sensitivity Analysis of TPI
Figures 27.4 and 27.5 show the result of sensitivity analysis of UV and TL,
respectively. kdk, eprod , and fprod were selected as key parameters in this example.
7.3 Step 3: Idea Generation for Eco-business
Referring to Table 27.1, the designer selected the rules that improve the key
parameters determined in step 2. kdk can be improved by (J) Timesharing, (E)
Linkage and cooperation among various industrial sectors, (F) Combining various
business values, and (G) Technological innovation; eprod can be improved by (B)
Expansion of business scale, (C) Reutilization of waste/use one more time, (G)
Technological innovation, (H) Outsourcing, (I) Servicizing, (K) Management of
hidden bottlenecks, and (L) Application of cleaner methods to satisfy customer
needs; and fprod can be improved by (B) Expansion of business scale, (E) Linkage
and cooperation among various industrial sectors, (G) Technological innovation,
20000
15000
10000
5000
0
||c || ||d || qc qd lt
−5000
Overall performance of
a laptop PC is the most
influential parameter. −10000
Fig. 27.4 Result of sensitivity analysis on UV
4.0E+00
3.5E+00
3.0E+00
2.5E+00
2.0E+00
1.5E+00
1.0E+00
5.0E-01
0.0E+00
euse eprod edist ecol eeol fuse fprod fdist fcol feol
Fig. 27.5 Result of sensitivity analysis on TL
(H) Outsourcing, (I) Servicizing, and (L) Application of cleaner methods to satisfy
customer needs. Referring to the eco-business case base associated with these rules,
the designer generated a business idea as follows.
The business provides a user with a laptop computer in a lease/rental scheme

(improve kdk by Timesharing). At the same time, the business also gets revenue
from advertising on the rental laptop computer for another user (improve kdk by
Combining various business values). In addition, laptop computers are recycled or
reused at the end of their lives to reduce LCE and LCC at the EOL treatment and pro-
duction stages (improve eprod and fprod by Reutilization of waste/use one more time).
7.4 Step 4: Determining Product Performance Specifications
Performance fitness and deterioration fitness were calculated as 27ı and 130ı ,
respectively. Comparing the directions of md and performance vector d, the designer
noticed that enhancement of the functional performance of FR1: Computing speed
and FR5: Easily viewable was effective to improve the performance fitness. In
addition, the designer also noticed that improvement in durability of FRs other than
FR2: Compute large-capacity data contributed to the improvement of deterioration
fitness comparing the directions of mc and deterioration vector c. This is because the
product value associated with FR2: Compute large-capacity data obsoletes very fast
due to rapid technological innovation and the effect of its durability improvement is
very limited.
However, product performance specifications remained unchanged in this case
because deterioration fitness and performance fitness were not most influential
parameters.
7.5 Step 5: Evaluation of the Eco-business Ideas by TPI
Assuming that key parameters change as shown in Table 27.3, TPI was improved to
4,673. Thus, an approximately 2.4-fold improvement was achieved in this case.
Table 27.3 Estimation of improvement

Influential parameters Applied rules Estimation of improvement
Overall performance //d // (J) Timesharing //d //, //c//, euse , fuse will
double by intensive use of a
laptop computer
(F) Combining various //d // will increase by 48
business values (1,000 Yen months)
Environmental bad at E0L (C) Reutilization of eprod will reduce to 54%
treatment stage eprod wastes/use one more time
Cost at production stage fprod (C) Reutilization of fprod will reduce to 62%
wastes/use one more time
8 Summary
This chapter provides a brief overview of eco-product design and development

methods and explains the TPI-based idea generation method for eco-business
planning and eco-product development, which helps the designer generate practical
business ideas that improve environmental and economic performance (i.e., TPI) of
a target product in a systematic manner. In this chapter, the authors first explained
17 business parameters, from which TPI is constructed, and formulated 12 eco-
business rules in relation with these parameters. Then, the authors have illustrated an
idea generation procedure of eco-business planning and eco-product development
through a simplified case study of a laptop computer business.
Future work includes the following topics:
1. Modification of eco-business rules and collection of eco-business cases
Collection and formulation of existing eco-businesses in relation with 12 rules
can help a design to generate new eco-business ideas. In addition to the 12 rules
used in this chapter, other rules and guidelines for eco-businesses can also be
used by formulating their applicable conditions with the 17 parameters.
2. Consideration of interdependency among UV, LCE, and LCC
In general, there exist interdependencies among the parameters that form UV,
LCE, and LCC. Therefore, such interdependency should be considered in a future
work.
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Structural Complexity Management
in Sustainable Engineering 28
W. Biedermann and Udo Lindemann
Abstract
Sustainable product development comprises several aspects. Beside
environmental, material, and production issues, market success and design pro-
cesses have to be taken into account. Methods for sustainable engineering have to
address all these aspects simultaneously. Structural complexity management as
a method allows for the modeling of different system aspects and their relations.
Thus, it is particularly suited for sustainable engineering by providing a means of
relating various concurrent perspectives onto a system. This chapter introduces
the basic concepts and discusses their application. The use case illustrating the
application deals with the development of a high-pressure pump.
Every system, for example, a technical product composed of parts, or a project
consisting of process steps, people, and documents, is characterized by depen-
dencies among the system’s parts. In practice, this collection of dependencies
makes systems difficult to handle and extremely complex.
Dependencies of a system form structures, such as a sequential chain of
dependencies, a loop, or a hierarchical tree. Such system structures show
characteristic behaviors in practical applications. System elements, interlocked
by dependencies in the structure of a loop, for example, may demonstrate self-
energizing or self-impeding behavior. Thus, if system structures are identified, it
is possible to predict system behavior.
A key characteristic of structural complexity management is the consideration
of multiple aspects of dependencies. Geometric and functional dependencies
between technical components, for example, can be processed jointly in order
to describe the system’s behavior. This possibility is addressed as the “multiple-
domain” approach and contrasts common “Design for X” perspectives in product
design, where the X stands for a large variety of optimization targets that do
W. Biedermann U. Lindemann
Institute of Product Development, Technische Universität München, Garching, Germany
e-mail: biedermann@pe.mw.tum.de; lindemann@pe.mw.tum.de; udo.lindemann@pe.mw.tum.de

DOI 10.1007/978-1-4020-8939-8 26,
494 W. Biedermann and U. Lindemann
not necessarily coexist simultaneously. However, focusing only on one specific

objective, for example, cost or assembly, cannot provide comprehensive and
sustainable system improvements. One-sided optimization of a system bears the
risk of spreading single adaptations to a multitude of system elements. As system
dependencies link different aspects of system behavior, they can, in fact, help
to achieve the objectives of improved design by considering their combined
occurrence.
When considering system structures, only the existence of dependencies has
to be known and not their quantified specification. This allows applying structural
complexity management in the early phases of product design, where detailed
system specifications are often not available. Yet, decisions in early phases
possess far-reaching consequences which can be beneficial or detrimental.
The approach to structural complexity management as shown here is able
to deal with qualitative models and thus differs substantially from simulation
approaches for complexity management. Simulation also applies system depen-
dencies but tries to result in exact predictions of system behavior. However, the
underlying computations in simulation approaches require detailed quantification
of elements and dependencies.
A use case illustrates the application of these concepts. It deals with the
development of high-pressure pumps. The aim was to optimize existing product
structures of various current pump concepts. The use case shows how multiple
product views, for example, geometry, function, and production, were modeled.
The different views were combined to derive proposals for modules and carry-
over parts.
1 Introduction
Sustainable product development comprises several aspects. Beside environmental,

material, and production issues, market success and design processes have to
be taken into account. Methods for sustainable engineering have to address all
these aspects simultaneously. Structural complexity management as a method
allows for the modeling of different system aspects and their relations. Thus, it
is particularly suited for sustainable engineering by providing a means of relating
various concurrent perspectives onto a system. This chapter introduces the basic
concepts and discusses their application. The use case illustrating the application
deals with the development of a high-pressure pump.
Every system, for example, a technical product composed of parts, or a project
consisting of process steps, people, and documents, is characterized by dependen-
cies among the system’s parts. In practice, this collection of dependencies makes
systems difficult to handle and extremely complex.
Dependencies of a system form structures, such as a sequential chain of depen-
dencies, a loop, or a hierarchical tree. Such system structures show characteristic
behaviors in practical applications. System elements, interlocked by dependencies
in the structure of a loop, for example, may demonstrate self-energizing or
28 Structural Complexity Management in Sustainable Engineering 495
self-impeding behavior. Thus, if system structures are identified, it is possible to

predict system behavior.
A key characteristic of structural complexity management is the consideration of
multiple aspects of dependencies. Geometric and functional dependencies between
technical components, for example, can be processed jointly in order to describe the
system’s behavior. This possibility is addressed as the “multiple-domain” approach
and contrasts common “Design for X” perspectives in product design, where the
X stands for a large variety of optimization targets that do not necessarily coexist
simultaneously. However, focusing only on one specific objective, for example, cost
or assembly, cannot provide comprehensive and sustainable system improvements.
One-sided optimization of a system bears the risk of spreading single adaptations
to a multitude of system elements. As system dependencies link different aspects of
system behavior, they can, in fact, help to achieve the objectives of improved design
by considering their combined occurrence.
When considering system structures, only the existence of dependencies has to
be known and not their quantified specification. This allows applying structural
complexity management in the early phases of product design, where detailed
system specifications are often not available. Yet, decisions in early phases possess
far-reaching consequences which can be beneficial or detrimental.
The approach to structural complexity management as shown here is able to deal
with qualitative models and thus differs substantially from simulation approaches
for complexity management. Simulation also applies system dependencies but
tries to result in exact predictions of system behavior. However, the underlying
computations in simulation approaches require detailed quantification of elements
and dependencies.
A use case illustrates the application of these concepts. It deals with the develop-
ment of high-pressure pumps. The aim was to optimize existing product structures
of various current pump concepts. The use case shows how multiple product views,
for example, geometry, function, and production, were modeled. The different views
were combined to derive proposals for modules and carry-over parts (Lindemann
et al. 2009). This chapter bases loosely on Maurer (2007) and Lindemann et al.
(2009) and uses some insights from Kreimeyer and Lindemann (2011).
2 The Procedure of Structural Complexity Management
The consideration of complexity in product design shows that managing complex

structural dependencies represents both a major challenge and a success factor for
enterprises. Complexity not only appears in specific sections of product design, but
it is also a feature throughout the entire process in all domains and their linkages.
Methods applied to complexity management generally focus on specific develop-
ment tasks (e.g., identification of conflicting requirements) or particular objectives
(e.g., product modularization). Therefore, they do not fulfill the requirements
of a comprehensive structure consideration that controls and even benefits from
existing complexity. In this chapter, a methodical approach to structural complexity
management is presented that closes the gap between the established methods and
allows the comprehensive analysis, control, and optimization of structure-based
complexity in product design. The approach contains a fundamental method and
suggests several known methods as special use cases.
2.1 Applicability of Conventional Complexity Management
Typically, product structures only depict a portion of the complex environment

developers have to operate within, for example, the component decomposition
of a product. If specific aspects are considered independently from their holistic
embedding, such isolated views may lead to measures that are harmful in the entire
context.
In order to avoid the disadvantages of considering incomplete parts of the
entire system, some approaches to the managing of product structures include
multiple aspects, for example, general impact networks (Lindemann 2007, p. 72ff).
Consequently, the complexity of these models increases because of a higher quantity
of elements considered and a more intense connectivity. Besides the extensive
requirements for visualization, another disadvantage of such approaches is their
minimal suitability for computational analysis. The depiction of multiple aspects
results in the simultaneous existence of multiple element and dependency types,
which does not allow the application of algorithms or interpretations of structural
characteristics.
2.2 Procedure of Structural Complexity Management
The existing possibilities for interacting with complexity argue for the provision
of a systematic approach for managing complex structures in product design. The
procedure that is presented here bases on established problem-solving approaches as
provided by Daenzer and Huber, Ehrlenspiel, and Lindemann from an engineering
point of view and by Ulrich and Probst from a holistic cybernetics point of view
(Daenzer and Huber 1999, p. 96; Ehrlenspiel 2007, p. 79ff; Lindemann 2007,
p. 45ff; Ulrich and Probst 2001, p. 112ff). It enhances the systematic structure
analysis process for design structure matrices (DSMs), as proposed by Yassine et al.
(1999). Figure 28.1 shows the outline which comprises five general steps leading
from the initial problem to the improved system management or design.
The starting point can be a handling problem or a design problem. A handling
problem occurs if a product or a development process already exists, but the
demand for adaptation generates problems of system controllability. Even if a
specific adaptation request is clearly specified and appears to be simple, system
dependencies may lead to numerous subsequent adaptations (change propagation).
Such aftereffects are often unknown, and therefore not anticipated – leading to time
and resource shortages when attempting to accommodate the desired adaptation.
In order to minimize handling problems, product developers need a manual that
Handling or design
problem
System
definition
Multiple-Domain
Matrix
Information B
acquisition 3
A
1 2
Direct system
dependencies α
γ
β
Deduction of indirect
dependencies
Representation of
subsets
Structure
analysis
Significant
constellations
Product design
? ?
application
Improved system
management & design ? ? ? ?
Fig. 28.1 Procedure of the structural complexity management (based on Lindemann et al. 2009)
provides relevant system information about impact chains or the consequences

of adaptations. The approach to structural complexity management allows the
acquisition and easy-to-access representation of a system’s internal dependencies,
and therefore allows the evaluation and management of adaptation requests. If the
structure of system dependencies is present, users can define optimization potential,
for example, reducing the effort for future system adaptations.
A design problem concerns the new development of a system (e.g., a product)
and represents the logical enhancement of the structure management mentioned
before: In product design, system structures generally result as the consequence
of the design process, for example, developers create a product that possesses a
certain structure, even if that structure is not considered during design. Sometimes,
methods such as functional modeling are applied, which support the creation of
a product structure compatible to the functional requirements. However, in most
use cases, product structure requirements are not considered in the design process.
If systems become too complex and must be adapted, the structure management is
required. However, if product development already includes a proactive structure
development, clear design improvements can be realized, that is, less iterations
occur in comparison to passively emerged structures and change propagations are
locally restricted.
One of the central reasons for applying structural complexity management is that
handling and design problems cannot be clearly separated: If the system handling
is improved, optimization potentials may be detected that may lead to a new or
improved system design. Likewise, a system design that includes proactive structure
development also requires the handling of complex structures.
Once the type of initial problem and required solution is determined, a useful
system definition represents the first goal of the structural complexity management.
The multiple-domain matrix (MDM) serves to specify the scope of consideration
and provides the basis for all further steps of the approach. The creation of the
MDM includes the identification of required domains, the determination of system
elements and their level of detail, and the linking of dependency types, that is,
mapping logics between the domains. Generally, the objective of creating the MDM
is to identify required information sources and set up the basis for the systematic
extraction of knowledge and user access. For most analyses and optimization
scenarios, a MDM that coherently depicts information on multiple domains is
compulsory. Even if the structural complexity management in Fig. 28.1 is depicted
only as a sequential flow, iterative creation of the MDM can become necessary
in practical application. If, for example, more information on the system layout
becomes known later in the process, the suitability of the system definition, and
therefore of the MDM, has to be reviewed. A comprehensive system description
results when the MDM is compiled for a specific use case.
Based on the system definition by the MDM, information about the dependencies
between system elements has to be collected. Information may be acquired from the
existing data bases, modeling tools, or by interviews. The method depends on the use
case and availability of information. Interviews require time-consuming workshops
with experts. However, if the system in question only comprises implicitly known
experience knowledge or data that has not yet been documented, interviews are
the only way of capturing required information. The main challenge of such an
acquisition is to guarantee high data quality. This calls for applying methods,
which help to consider all relevant information and to avoid effects resulting from
symptoms of fatigue. In contrast to this, information acquisition by extraction
from available data bases or software tools seems easier, because it is partly
automatable. However, some requirements must be fulfilled in order to success-
fully interact with large amounts of data.The knowledge about the direct system
dependencies allows for deriving relevant indirect ones. Structural complexity man-
agement provides six cases for the computing. For example, a specific application
asks for the dependencies between developers due to their document exchange.
Such dependencies are indirect and are computable if the developers’ creation of
and need for documents are known. Whereas the indirect system dependencies,
for example, between people due to their document exchange, often provide the
relevant answers, it is generally easier to acquire the direct dependencies and com-
pute the indirect ones. If required data are on hand, they must be modeled in order to
allow user interaction. Requirements for preparation may include a comprehensible
visualization, possibilities of navigation in the structure, user-defined system views,
or highlighted structural characteristics. Numerous techniques are available and
chosen depending on the objective.
The structure analysis identifies the system’s characteristics, specifically by
applying the algorithmic graph theory. Several established analysis approaches
apply parts of the mathematical fundamentals, for example, matrix depictions that
are used for the identification of criteria by the realignment of rows and columns.
The structural complexity management approach integrates the available techniques
in a general methodology. Some analyses characterize the entire structure and its
behavior, whereas others deal with the structural embedding of single elements and
dependencies.
The product design application makes use of the results from system analysis
in order to provide solutions for a better handling or design of the initial problem.
In this step, a structure manual is created that provides a better understanding of
the system. Furthermore, structural optimization measures and ways to improve the
structural design are composed.
The procedure allows the systematic processing of problems of highly intercon-
nected systems. The procedure comprises several known methods but implements
them in a comprehensive approach.
2.3 The Multiple-Domain Matrix
In order to solve a problem resulting from structural complexity, the scope of the
system model in question must be clearly defined. This means that system domains,
the level of detail of the elements, and the meaning of the dependencies must be
determined. A clear system definition is necessary for the visual and computational
model representation and is indispensable for the application of analysis methods.
Although a multiple-domain matrix (MDM) is generally comparable to design
structure matrices (DSMs), the included items have to be defined. Figure 28.2
depicts them comprehensively. The MDM in Fig. 28.2 comprises three domains
(indicated by the red, green, and blue coloring and the circular, triangular, and square
forms of the elements). The domains represent the classification of the elements
in groups. Examples of domains are people or documents, and single elements
represent specific instances from these groups. As a MDM is a square matrix, the
order of domains as well as the order of elements within the domains is identical on
both axes. The intersections of rows and columns belonging to the same domains
represent DSM areas. Consequently, intersections of rows and columns belonging
to different domains represent domain mapping matrix (DMM) areas. Elements are
depicted in the row and column heads, and every element indicates a row and a
column of the matrix. In the intersection of both, self-reflexive dependencies, for
example, could be noted, but mostly these dependencies are not applied. Every other
intersection of a row and a column can represent a dependency between the elements
Matrix cell for indicating Elements Different dependency types

self-reflexive dependency
MDM A 1
A X DMM area
Native DMM
Domains
Logic of
indirect
dependency
1 X deduction
DSM area
Native DSM
Dependency Bi-directional dependency Derived dependencies Derived DSM
Fig. 28.2 Items of the MDM (based on Lindemann et al. 2009)
by implementing a cross or a number. A MDM can depict the direction of the

dependency between two elements, and the interpretation follows the rule “row
affects column.” A bidirectional dependency between two elements is indicated if
two matrix cells are filled, which are laterally reversed to the matrix diagonal.
DSMs and DMMs are called as “native” if they result from data acquisition,
for example, by interviews. DSMs (and DMMs) can also be computed from
other matrices. Such computations are called deductions of indirect dependencies.
A dependency type represents the meaning of a dependency, for example, “change
impact” (between components) or “information flow” (between process steps or
people). If within the same DSM or DMM area, several dependency types occur;
associated dependencies have to be stored in separate matrices. This allows later
access to specifically required dependency information.
Data in a derived DSM do not emerge from information acquisition but from
computation. A derived DSM contains derived dependencies that emerge from the
computation and connect the elements of the considered domain. In Fig. 28.2,
the derived dependencies result from the combination of one other DSM and one
DMM. Generally, derived DMMs also can be created by applying logics of the
deduction of indirect dependencies (Yassine et al. 2003). However, due to a lack
of available analyses and possible interpretations for these network subsets, such
derived matrices are not further considered in the approach.
All items of a MDM are presented together in Fig. 28.2. With this representation,
product developers possess a solid basis for systematic depiction and consideration
of comprehensive information for complex interrelated structures. As different kind
of elements and dependencies are not merged in the subsets of a MDM, user-defined
computational analyses can be applied depending on the specific requirements.
3 Use Case: Development of High-Pressure Pumps
This use case illustrates the development of high-pressure pumps and focuses
on solving a design problem. The aim was to optimize product structures of
several pump concepts. The optimization of the pump concepts was implemented
by modularization. The background motivation was improved integration of the
optimized pumps in a modular design concept. The optimization potentials had
to be incorporated into the creation of a new generation of pumps. The product
structure had never explicitly been considered before but had instead remained a
passive consequence of the design process.
3.1 Problem Description
High-pressure pumps (see Fig. 28.3) are a significant component of common rail
diesel systems. The main function of a high-pressure pump is to deliver a defined
quantity of fuel at the required pressure level. The pump contains a high level
of complexity, as several functions have to be fulfilled. One function considered
High Pressure Pump
Fig. 28.3 High-pressure pump in a common rail system (based on Lindemann et al. 2009)
to be the primary driver behind the complexity is providing the interface between the
pump and the customer’s engine, that means designing the inlet and outlet of fuel,
the electrical control unit for metering the low pressure fuel inlet quantity, the high-
pressure fuel outlet, and so on. The properties of the high-pressure pump have to be
adapted to the specific requirements of each customer, which means implementing
changes to a complex system and managing the resulting consequences.
The primary goal of the tier one supplier was to meet the challenge of delivering
highly customized products while reducing the number of component variants.
The procedure of structural complexity management was applied to improve the
product design to better manage the increasing variety of customer requirements.
In general, modularity is a design approach aiming at assembling many products
out of as few individual components or subassemblies. The building blocks of
a modular system should be ordered by their function and possess standardized
interfaces. A modular design concept then serves to control increasing complexity
and diversity to product variants. It reduces the internal diversity in product variants
and at the same time maintains or increases the external diversity of variants from
the customer’s perspective. Synergy effects are achievable in design, procurement,
quality assurance, and assembly which are typical for sustainable designs.
3.2 System Definition
According to the procedure of structural complexity management, the system defi-

nition was carried out first, using the multiple-domain matrix (MDM). Figure 28.4
shows the results.
In order to identify the domains that play a decisive role in reaching the
modularization goals, a deeper insight into the framework of a modular design has to
be gained. A module is an assembly of parts that can fulfill functions. Characteristics
of a module are the physical connections between its parts and, as a rule, the
interchangeability of the unit. Kersten summarized modules as follows: Modules
contain clearly defined interfaces and are significantly determined by functions,
performance parameters, and their package (Kersten 2002, p. 60ff). Thus the
advantages of a product that is assembled in a modular way become clear: Modules
can be developed, constructed, procured, or produced independently of each other.
The complexity becomes easier to control as there are fewer dependencies. Out of
this, the key domains can be found, namely, components, functions, and features.
In addition to these three main domains, production boundary conditions were
also modeled. However, this domain was added at a later project stage and was
introduced, in particular, in order to be able to view assembly cost aspects, as well.
In the next step, the types of dependencies between domains (interdomain)
were defined. The MDM shows that relevant dependency meanings have not been
indicated for all domain combinations in Fig. 28.4. The dependency meanings
which are not shaded in blue indicate that dependency information is available
but not required for the system investigation. Finally, meanings for the intradomain
dependencies of components, functions, and features were defined.
HPP family 2 CO FU FE PBC
CO has
geometric or CO has
Components CO implicates
spatial CO serves FU influence on
CO PBC
dependency FE
to CO
FU requires
Functions
--- FU (functional --- ---
FU
modeling)
FE has
FE has
Features influence on FE implicates
--- influence on
FE CO PBC
FE
= (CO→FE)T
PBC
Production PBC
determines PBC has
boundary determines FE
CO --- influence on
conditions (production
(production PBC
PBC constraint)
constraint)
Acquired data (DSM)
Acquired data (DMM)
No data available/required
Fig. 28.4 Domains and types of dependencies in the MDM (based on Lindemann et al. 2009)
3.3 Information Acquisition
The next project step identified and documented the elements within the domains
and their dependencies for several families of high-pressure pumps. This informa-
tion acquisition was carried out in workshops by interviewing the experts from the
involved departments. In total, more than 200 system elements were considered with
regard to their dependencies. Due to the large number of elements and dependencies,
software support was indispensable for acquisition and documentation. In addi-
tion, two moderators were required to ensure that the workshop ran efficiently.
The acquired information then served as a basis for visualization and analysis of
the complexity framework of the high-pressure pumps.
The following steps were taken with the MDM during the data acquisition. It
is usually recommended that the functions are examined first in order to gain a
quick overview of the functionality of a product. This was put into practice by
creating a functional model. A flow-oriented functional model was chosen. The
central flow was the substance flow of the diesel fuel. Energy flows and signal flows
are connected to this. The next step recorded the geometric dependencies between
components. These dependencies of geometry and package were most easily
determined using construction drawings and models. Then the DMMs connecting
components with functions and components with features were determined. These
can easily be filled in column by column. Thus, for each component, it is necessary
to determine what functions it contributes to and what product features it influences.
The information collection was carried out very efficiently thanks to several
favorable conditions. First of all, the expert software LOOMEO was deployed.
LOOMEO provides a specialized mode for data acquisition in matrices. The
possibility, in particular, to mark edges already discussed (see gray-shaded cells
in Fig. 28.5), prevents the work from being conducted twice. It was also particularly
important to have hand models, such as a rapid prototyping model of the drilling in
the pump housing and drawings of the pump concepts on hand at all times so that
discussions about ambiguous dependencies could be conducted extremely quickly
with direct reference to the object in question, enabling the resulting dependencies
to be rapidly identified.
Upon completion of the system definition, a knowledge network of high value
was achieved, which contained the complex dependencies of all elements in the
considered domains of the high-pressure pumps. Even information of nonexisting
edges in the matrix was kept in mind: It was often the case that the outcome of
a discussion concluded that a certain dependency did not exist. The reasoning for
this nonexistence of a dependency was recorded as commentary in the matrix as an
“edge detail” of this matrix cell, just like all other commentaries of existing edges.
3.4 Deduction of Indirect Dependencies
The acquired dependency networks were then applied to deduce specific system
views. Figure 28.6 shows dependency views of the product structure (dependencies
between components) of one specific family of high-pressure pumps. Besides the
view of direct geometric dependencies, these views represent dependencies between
components that result from indirect dependencies by functions and features. As, for
example, denoted in Fig. 28.6 for geometric component dependencies, these views
will be considered for identifying specific clusters for modularization purposes in
later project stages.
For this purpose, the deduction of indirect dependencies was applied to derive
the views of dependencies between components. The deduction of dependencies
describes the procedure for computing dependencies between elements within
CO has
geometric or CO has
Components CO implicates
spatial CO serves FU influence on
CO PBC
dependency FE
to CO
FU requires
Functions
--- FU (functional --- ---
FU
modeling)
FE has
FE has
Features influence on FE implicates
--- influence on
FE CO PBC
T FE
= (CO→ FE)
PBC
Production PBC
determines PBC has
boundary determines FE
CO --- influence on
conditions (production
(production PBC
PBC constraint)
constraint)
Fig. 28.5 Information acquisition with LOOMEO (based on Lindemann et al. 2009)
one specific domain due to dependency chains leading through further domains.
The deduction of dependencies was applied especially to determine and visualize
the dependencies of components from the point of view of functional and feature-
based relationships. These kinds of dependencies within the components of the
high-pressure pumps are particularly relevant for modularization.
Figure 28.7 shows how the component networks were computed by applying
the MDM. For example, an indirect functional dependency is computed between
• functional
Product structure of high
view
pressure pump from a:
• geometric
view
• feature
view
Example:
Modularization of geometric
component dependencies using
cluster analysis
Fig. 28.6 Views of the product structure (based on Lindemann et al. 2009)
two components whenever both of them depend on at least one common function.
Thereby a weighting of the computed indirect dependencies is obtained. The more
functions two components have in common, the more heavily their computed
indirect functional dependency is weighted.
3.5 Structure Analysis
The objective of the analysis was to find modular structures, that is, the aim was
to find substructures which contained elements that were highly interlinked but
linked as little as possible to other elements or substructures. The structural attribute
“cluster” is suitable for identifying such modules. The structure analysis focused on
identifying clusters in the various dependency networks.
Carrying out a cluster analysis does not usually work by simply pressing a button
and starting a cluster algorithm in a software. The identification of clusters, and
respectively the separation of individual clusters, is rarely clear-cut. In most cases,
HPP family 1 CO FU FE
CO has
Components
CO serves FU influence on
CO
FE
FU requires
Functions FU
--- ---
FU (functional
modeling)
FE has
FE has
Features influence on
--- influence on
FE CO
FE
= (CO→FE)T
CO 2 CO 2 CO 2
FU 1 FE 1
CO 1 CO 1 CO 1
Acquired geometric Computed functional Computed feature

dependencies dependencies dependencies
Fig. 28.7 Deduction of different component dependency networks (based on Lindemann et al.
2009)
Cluster analysis in
case of consideration
of all elements
Fine adjustment
Leaf nodes
Transit nodes
Cluster analysis in case

of consideration of all
elements except
highly networked
elements
Fig. 28.8 Fine adjustments during the cluster analysis of geometric dependencies (based on
Lindemann et al. 2009)
knowledge gained from experience in working with cluster analyses is necessary.

Here, the product structures exhibited characteristics that made a special course of
analysis necessary.
Figure 28.8 shows the structure of the geometric dependencies between the
components of a high-pressure pump concept in the matrix. If the cluster anal-
ysis is carried out on all components, identifying significant clear-cut clusters is
hardly possible. But if the elements that are most highly connected are hidden
(gray shaded in lower matrix), clearly distinguishable clusters can be identified
quickly. Adjustments during the analysis are not possible without the results of
the analysis, as explained in the following section on product design application.
Figure 28.10 shows the interpretations of the structural characteristics identified in
the structure analysis. Here, it becomes clear that structure analysis and product
design application are highly iterative processes. Each phase depends on the insights
and interpretations of the other.
Likewise, the significance of leaf and transit nodes becomes clear only in
combination with understanding the abstract structure in Fig. 28.10. Leaf nodes are
only connected to a single other node. Hence, they only possess one interface to the
rest of the structure. Transit nodes are connected to two components and, therefore,
possess only two interfaces to the rest of the structure. Leaf and transit nodes were
used as structural characteristics for identifying elements with a high potential for
being applied as carry-over parts.
Modular structures in products are characterized by the fact that they behave in a
modular manner not only with regard to one specific dependency type, for example,
geometric dependencies, as already depicted in Fig. 28.8, but as described in the
preceding explanations, this modular behavior has to be present in all views. Thus
the different views determined within the scope of the dependency deduction have
to be placed over each other to find an optimum for modularization that takes the
whole system into account. Not until the views of modular behavior correspond to
each other and can be proven in an aggregated view, can substantial modules be
built.
For carrying out the cluster analysis in the aggregated view, functional dependen-
cies between components play a decisive role and are thus chosen as a starting point
for cluster analysis, as shown in Figs. 28.9 and 28.12. The matrix comprising depen-
dencies within components due to functional reasons was reordered until clusters of
highly linked elements could be found. Then the same arrangement of components
was applied to the other matrices (representing geometric component dependencies
and component dependencies due to features). This procedure identified whether
dependencies due to features and geometry agreed with or differed from the clusters
formed due to functional dependencies. The evaluation of the identified clusters was
carried out in the following phase of product design application.
3.6 Product Design Application
The next step in structural complexity management is to apply the findings of the
structural analysis conducted to the practical product design application. The results
of the structure analysis on hand were then discussed with design experts in the
product design application phase.
Each product is characterized by the implicit structures it embodies. So, in order
to be able to make suggestions for its improvement, it is necessary to first understand
its structural composition. Here, this understanding initially had to be created in
order to be able to make relevant statements about approaches to modularization.
The individual views as well as the aggregated component network generated from
placing various views over each other enabled the fundamental structure depicted in
Fig. 28.10 to be recognized.
The fundamental structure of the different pump families shows a specific
structural platform containing platform elements and platform modules as well as
coupling elements and modules. In its original sense, a platform can be described as
elements or subsystems that together form a common basis from which individual
Fig. 28.9 Superposition of component dependencies from different point of views (based on
Lindemann et al. 2009)
products can be derived. According to Schuh and Schwenk, the aim is to identify
those components, interfaces, and functions that can be combined over an entire
product family and are as stable as possible over time (Schuh and Schwenk 2001,
p. 87). From a structural point of view (see the graph representations in Figs. 28.10
and 28.11), the platform elements correspond to those elements that are located
in the core of the structure and possess numerous dependencies on the outlying
elements. Modular substructures can be identified within the platform as well as in
the platform surrounding.
As illustrated in Fig. 28.11, in this case, for each pump family, specific elements
can be identified, which should be applied as platform elements. They form the
specific structural core of each pump family and cannot be deployed outside their
family since the families differ too much. The claim within the pump families is
then to implement the platform elements with a maximum of robustness, so that they
remain unchanged in case of adaptation. It is recommended that those components,
in particular, whose development costs and quality control costs are relatively
Module suitable for carry-over
Element suitable for

carry-over
Structural platform
Platform element
Platform element
Platform element
Platform module
Element suitable for

carry-over
Fig. 28.10 Identified fundamental structure of the different pump families (based on Lindemann
et al. 2009)
high, should be applied as platform elements. Thereby, these costs are distributed
over the higher quantities of the platform elements and sink proportionally. Single
components as well as identifiable modules of components that connect to the
platform with only a few dependencies (leaf and transit nodes) are especially suited
as carry-over parts.
In order to transfer the results from structure analysis to practical product design
application, the next step is to investigate the structures in detail. After a full
understanding of the background of the fundamental structure is in place, the
identified clusters, especially the cluster boundaries, have to be discussed. This has
to be done with the product design experts. It is important for building modules
to fix clusters that are formed from the aggregation of all the views involved. It is
necessary to determine in which cases such aggregated modules can be built, and in
which cases single geometric dependencies or dependencies due to features have to
be eliminated. In this way, any changes to the product structure can be generated in
order to optimize the overall high-pressure pump structure.
Edge coloring:
Platform element
• Red: functional dependency
• Dark red: functional and geometric

dependency
Platform module
• Blue: geometric dependencies
Node coloring: Element suitable

for carry-over
Leaf nodes
Module suitable
(Only functional for carry-over
Transit nodes dependencies
considered)
Structural
Highly networked
platform
elements
Fig. 28.11 Application of fundamental structure to specific pump family (functional dependen-
cies considered) (based on Lindemann et al. 2009)
The elimination of dependencies between clusters or modules needs to consider

the relevant interfaces. Kersten states that the minimization of undesired interactions
between the components that implement the function carriers represents an impor-
tant prerequisite for the autonomy of modules (Kersten 2002, p. 63). An extremely
far-reaching decoupling of interfaces can increase the ability of the modules to
Optimization procedure:
1. Identification of clusters in aggregated view
→ deduction of aggregated modules in
product structure
2. Targeted elimination of dependencies due
to geometry and features
→ clear-cut modules
Geometric
dependencies
to be eliminated
Aggregated
module
Dependencies
due to features
to be eliminated
Fig. 28.12 Management of dependencies that augment the functional view (based on Lindemann
et al. 2009)
be combined. For this to happen, according to Kersten, the interfaces should be

designed so that only interactions take place between the individual components
required for performing the function. Once more, this design approach points out
that the functional view has the highest priority for modularization in the conducted
aggregation. The more decoupled the interfaces are, the more modular the product
architecture is, and the more autonomously the modules can be deployed. The
degree of interface decoupling is thus a measure for the independence of individual
modules and an essential prerequisite for the reusability of modules.
Figure 28.12 shows the superposition of the various dependency views of the
components. As indicated before, the functional dependencies represent the basis for
the discussion about cluster formation and drawing cluster boundaries. Component
dependencies from other views are now superimposed over the clusters that can
be formed from the functional view. At this point, a discussion with the design
experts has to be initiated concerning the possibilities of eliminating a dependency.
Here, the elimination of geometric dependencies that can arise, for example, though
overlapping or influencing drillings is referred to as an example. There are several
possibilities to eliminate such a dependency:
1. First, the positions of the drillings can be “frozen,” since the dependency of the
drillings arises from the fact that both drillings are considered to be variable in
their geometric position.
2. Drillings were assessed as dependent on each other if it was possible that they
“got in each other’s way” for certain pump layouts. For this case, corridors can
be defined, within which these drillings are allowed to vary.
3. A constructive possibility can be determined in which the geometric variation of
a drilling no longer has any influence on the other drilling.
Surprisingly, it is extremely rare that no ideas or solutions for dependency
elimination exist in the company. Rather, developers had no idea how to deploy
them because of the dependencies and the consequences they caused. In the drilling
case described, a constructive solution is the formation of a ring canal. One of the
drillings can vary arbitrarily in the circumference direction of the ring canal without
a dependency occurring.
The modularization of individual pump families provides the basis for the
identification of the potential for carry-over parts (COPs), which is the next step
for defining an efficient set of modules. The specifications of the interfaces have to
be carried out not only for one product family but for all families examined in order
to be able to identify overlapping potential for carry-over parts.
Figure 28.13 shows the product structures of two pump families (family 1 and
family 2) that were both analyzed by the approach, applying the geometric and
functional dependencies. In the figure, red indicates functional dependencies, dark
red indicates the parallel appearance of functional and geometric dependencies, and
blue indicates geometric dependencies between components. COPs can be identified
by comparing the structural embedding of corresponding components or component
modules.
A component or component module can be identified as a carry-over part if its
functional embedding is identical in both pump families and its interfering geo-
metric dependencies can be eliminated (e.g., by defining a standardized geometric
interface for both pump families). Of course, the dependencies between components
that result from shared features also have to be checked. For instance, a potential
carry-over part, a “metering unit,” would have to provide the required features (e.g.,
a maximum metering quantity) in every family of high-pressure pumps. Finally,
the underlying production boundary conditions, the fourth domain in the MDM in
Fig. 28.4, allow an overall economic assessment of carry-over parts.
A proposition for alternative modules in a modular design concept can finally be
derived by considering the following aspects:
• Modularization of high-pressure pump families from different views
• Aggregation of different views and analysis of structural embedding of compo-
nents and identified component modules
• Identification of potential carry-over parts by structural comparison of different
families of high-pressure pumps
Figure 28.14 shows how the components find their way into the modular design
system. They can be deployed in more or fewer pump families according to the
composition of the modules. The platform elements or platform modules are specific
to the pump concept, as shown.
The required differentiation of products of a modular design system should
generally be carried out with cost-effective, adaptable modules. Furthermore, it is
Fig. 28.13 Structural comparison of two families of high-pressure pumps for identification of
COP potential (based on Lindemann et al. 2009)
recommended that the drivers behind the variants are implemented as adaptable
modules that are specific to their function.
The application of structural complexity management allows for a better handling
of high complexity in the development of common rail high-pressure pumps.
HPP family 1
Integration of HPP families in
modular design concept:
• Functional component modules as
starting point
• Comparison of product structures
• Elimination of interfering
dependencies
Elements/ HPP HPP HPP

Modules family 1 family 2 family …
Structural Specific to Specific to Specific to

platform family 1 family 2 family …
COP
element
HPP family 2
COP
module
COP
Module
COP
Element
Module
Fig. 28.14 Modular design concept (based on Lindemann et al. 2009)
Product structures of several families of high-pressure pumps have been acquired,

visualized, and analyzed from different relevant views. These views of component
dependencies have been derived from the MDM initially described. The resulting
modularization advice and design recommendations have been derived by cluster
analysis of single and aggregated views. The aim of the modularization was a shift
and encapsulation of dependencies, and thereby also of complexity in modules as
independent of each other as possible. The physical and functional interfaces could
be optimized through a discussion of the structure analysis results with the experts.
The consideration of a significant part of the subsequent process chain becomes
feasible by incorporating dependencies due to features and dependencies due to
production boundaries. All that and especially the identification of potential for
carry-over parts leads to gains from economies of scale and forms the basis for
an optimized modular design concept.
4 Summary
The procedure introduced for the structural complexity management allows the
systematic processing of highly interconnected systems. The procedure comprises
several known methods but implements them in a comprehensive approach. The
procedure uses MDMs as fundamental system representation which comprises
DSMs and DMMs. With this representation form, product developers possess a solid
basis for systematic depiction and consideration of comprehensive information for
complex interrelated structures. As different kinds of elements and dependencies
are not merged in the subsets of a MDM, user-defined computational analyses can
be applied depending on the specific requirements.
The application of structural complexity management allows for a better handling
of high complexity in the development of common rail high-pressure pumps.
Product structures of different families of high-pressure pumps have been acquired,
visualized, and analyzed from different relevant views. These views of component
dependencies have been derived from the MDM initially described. The resulting
modularization advice and design recommendations have been derived by cluster
analysis of single and aggregated views. The aim of the modularization was a shift
and encapsulation of dependencies, and thereby also of complexity in modules as
independent of each other as possible. The physical and functional interfaces could
be optimized through a discussion of the structure analysis results with the experts.
The consideration of a significant part of the subsequent process chain becomes
feasible by incorporating dependencies due to features and dependencies due to
production boundaries. All that and especially the identification of potential for
carry-over parts leads to gains from economies of scale and forms the basis for
an optimized modular design concept.
Bases on the structural considerations concepts for sustainable pumps were
developed. The concept focuses on platforms, modules, and carry-over parts.
Consequent implementation of the concepts increases the sustainability of the
pumps, their development, and their productions. This is achieved by reducing the
internal variety and thus complexity of the pump design which results in reduced
efforts for design, production, procurement, and quality assurance.
References
W.F. Daenzer, F. Huber, Systems Engineering: Methodik und Praxis, 10th edn. (Verl. Industrielle
Organisation, Zürich, 1999)
K. Ehrlenspiel, Integrierte Produktentwicklung – Methoden für Prozessorganisation, Produkter-
stellung und Konstruktion, 3rd edn. (Hanser, München, 2007)
W. Kersten, Vielfaltsmanagement: Integrative Lösungsansätze zur Optimierung und Beherrschung
der Produkte und Teilevielfalt. München: TCW Transfer-Centrum 2002. (TCW-Report, Nr. 31)
M. Kreimeyer, U. Lindemann, Complexity Metrics in Engineering Design – Managing the
Structure of Design Processes (Springer, Berlin, 2011)
U. Lindemann, Methodische Entwicklung Technischer Produkte, 2nd edn. (Springer, Berlin, 2007)
U. Lindemann, M. Maurer, T. Braun, Structural Complexity Management – An Approach for the
Field of Product Design (Springer, Berlin, 2009)
M. Maurer, Structural Awareness in Complex Product Design (Dr-Hut, München, 2007)

G. Schuh, U. Schwenk, Produktkomplexität Managen (Hanser, München, 2001)
H. Ulrich, G. Probst, Anleitung zum ganzheitlichen Denken und Handeln – Ein Brevier für
Führungskräfte (Paul Haupt, Bern, 2001)
A. Yassine, D. Falkenburg, K. Chelst, Engineering design management: an information structure
approach. Int. J. Prod. Res. 37, 2957–2975 (1999)
A. Yassine, D. Whitney, S. Daleiden, J. Lavine, Connectivity maps: modeling and analysing
relationships in product development processes. J. Eng. Des. 14(3), 377–394 (2003)
Sustainable Production: Eco-efficiency
of Manufacturing Process 29
Nozomu Mishima
Abstract
The term “Sustainable manufacturing” has gained increased attention in recent
years. In establishing sustainability in the manufacturing industries, ecodesign
of products is important. It is also important to focus on developing and
implementing actual manufacturing technologies. Requirements for practical
manufacturing technologies include satisfying high quality, low cost, and low
environmental impact simultaneously. Environmental issues are very important;
however, quality is the key feature in deciding whether the developed manu-
facturing technologies will be used in the industries. It is not easy to satisfy
the three aspects, since there are trade-offs among the three aspects. However,
breakthroughs in material technologies and fabrication technologies can be the
key factors in making manufacturing technologies industrially feasible. In the
first part of this chapter, several new material technologies and fabrication
technologies are discussed in order to satisfy high quality, low cost, and low
environmental impact simultaneously.
A method called “total performance analysis (TPA)” enabled product devel-
oper to quantify the value, life cycle cost, and life cycle environmental impact of
a product, or its eco-efficiency. Since the TPA method can take three aspects of
a product into account, it is envisaged suitable method for the evaluation of the
eco-efficiency of the manufacturing technologies. Thus, to some extent, the TPA
method can be applied to evaluate manufacturing technologies in the minimal
manufacturing area. Although developing actual manufacturing technologies
is the most important part of the minimal manufacturing, recognizing that
individual technologies are really “minimal” and industrially feasible is also
important. The TPA method was also applied to find an improvement target in
the manufacturing processes.
N. Mishima
Graduate School of Engineering and Resource Sceince, Akita University, Akita, Akita, Japan

DOI 10.1007/978-1-4020-8939-8 41,
520 N. Mishima
In the second half of this chapter, the TPA method was applied to an
innovative manufacturing process making ceramic products. In the example,
an improved method of making ceramic heat radiation plate made by silicon
nitride is analyzed and discussed. In the new process, by applying improved
manufacturing technology called “reactive sintering,” the energy consumption
and the cost of the total process were greatly reduced. The reduction of the
energy consumption is the main contribution in enhancing the eco-efficiency in
this case. Another example deals with the improvement in eco-efficiency which
mainly depends on enhancement of product functionality. Throughout the case
studies, the “total performance analysis” is proven effective in identifying the
bottlenecks of manufacturing processes and visualizing the effect of process
improvements.
1 Introduction
Recently, AIST (Advanced Industrial Science and Technology) proposed a concept

of “minimal manufacturing (Mishima 2011).” Minimal manufacturing is a simi-
lar concept to sustainable manufacturing but mainly focuses on developing and
implementing actual manufacturing technologies. The core concept is to satisfy
three different aspects of innovations in manufacturing technologies which are
high quality, low cost, and low environmental impact simultaneously in order
to implement the developed technologies in practical industries. Although envi-
ronmental issues are important, quality is the key feature in deciding whether
the developed manufacturing technologies will be used in industries. Therefore,
in order to determine whether individual technologies in minimal manufacturing
can be used in industries or not, it is necessary to take manufacturing quality
into account. A method called “total performance analysis (TPA)” was proposed
by AIST (Kondoh et al. 2008) to quantify the balance of value, cost, and en-
vironmental impact through the life cycle of products, and the TPA method
has been applied to find an improvement target in the manufacturing processes
(Kondoh et al. 2007, 2009).
Here, the TPA method was applied to analyze the manufacturing processes of
fabricating silicon nitride parts. Utilization of reactive sintering is effective in
decreasing the cost of raw materials and improving the material characteristics
(Zhou et al. 2008; Hyuga et al. 2008). These advantages contribute greatly in
reducing the total environmental impact of the manufacturing process. Since the
value of a product is expressed by weighed sum of the quality characteristics,
enhancement of the material characteristics is a good solution to enhance the eco-
efficiency of a product. This chapter shows that TPA is helpful in quantifying
the degree of enhancement of the material characteristics and evaluating the
degree of minimization of the new manufacturing technologies. Two case studies
are presented to prove the effectiveness of the TPA method in evaluating the
manufacturing processes.
29 Sustainable Production: Eco-efficiency of Manufacturing Process 521
2 Total Performance Analysis (TPA)
2.1 Basics of TPA
New eco-efficiency type index evaluating real eco-efficiency of products, by con-

sidering product’s utility value, cost, and environmental impact, has been proposed
by author’s research group. The new index is defined by (29.1) and named total
performance indicator (TPI). Since in the existing evaluation indexes the utility
value is usually a fixed value, it cannot consider the change of the value throughout
the product life cycle. The proposed index was the simplest combination of the
environmental and economic efficiencies. In the TPI method, because the utility
value of the product can be expressed by integration of the market (occasional)
values throughout the life cycle, it can simulate value decrease due to obsolescence
and physical factor as shown in Fig. 29.1.
UV
TPI D p p (29.1)
LCC LCE
Where
TPI: Total performance indicator
UV: Utility value of the product
LCC: Life cycle cost of the product
LCE: Life cycle environmental impact of the product
2.2 Extension of TPA to the Manufacturing Process Evaluation
Usually, manufacturing processes are combinations of many segment processes,

such as material processing, forging, finish machining, etc. In addition, there
are many ways to combine processes and boundary conditions. Therefore, it is
important to evaluate which manufacturing process is really eco-efficient compared
to the alternative options. The total performance of the manufacturing process is
Fig. 29.1 Value decrease through product life cycle

522 N. Mishima
defined by (29.2). The equation expresses the balance of the product value created
by the process versus the cost and the environmental impact necessary to fabricate
the product.
V
TPIprocess D i Dn (29.2)
Pp
MCEi MCCi
i D1
Where
TPIprocess : total performance indicator
V: Market price of the product or the part
MCCi : cost of the ith segment process
n: number of segment processes
MCEi : environmental impact of the ith segment process
In the manufacturing stage, it is usually difficult to know the life cycle facts of the
product such as the obsolescence rate, etc. Thus, in order to simplify the expression,
replacing the utility value by the market value of the product is proposed. The market
value can be measured by market price when the product is commercially available.
Then, (29.3) shows the simplified TPI of each segment process.
Numerator “Vi ” in (29.3) may vary due to process quality. For example, a
manufacturing process with higher profile accuracy may have higher value than
a similar manufacturing process with lower quality. Manufacturing quality also
has a strong relationship between cost and environmental impact of the process.
For example, it is known that the cost and environmental impact of machining
vary due to cutting conditions, and usually they are larger when the manufacturing
quality is higher. In addition, for these reasons, in evaluating the manufacturing
processes, it is necessary to consider the value of the segment process versus the
cost and environmental impact concurrently. It is possible to quantify how the target
manufacturing process is environmentally effective by calculating TPIsegment from
(29.3).
Vi
TPIith segment D p (29.3)
MCEi MCCi
Where
TPIith segment : total performance indicator of the ith segment process
Vi : value of the product or part added by the ith segment process
The relationship among the original definition of TPI, TPI of the total manufacturing
process, and TPI of the ith segment processes are shown in Fig. 29.2.
2.3 Idea of Improving Manufacturing Process Based on

the TPI Value
Only when evaluating the manufacturing processes as an inseparable set of pro-

cesses, aforementioned equations are sufficient. However, the purpose of the
TPI of the segment process
V
TPI of the total process
Value decrease curve

during the use stage
UV (area)
Manufacturing use stage

stage
Fig. 29.2 UV, process TPI, and segment TPI
evaluation is to obtain suggestions for the process improvement. Thus, it is necessary

to evaluate TPI of each segment process and to determine the bottleneck segment
process in enhancing TPI of the total manufacturing process.
Figure 29.3 shows the concept of improving TPI of the total manufacturing
process by focusing on the bottleneck segment process. The bottleneck process
is shown as a segment line with a small slope since it indicates that the segment
process has relatively small value and large environmental impact and cost. For
example, segment process 2 in Fig. 29.3 has a small slope. It means that this
segment process does not contribute much in creating the final product value, but
it generates relatively large cost and environmental impact. In other words, this
process is not very efficient in enhancing the manufacturing quality. And therefore,
there is a possibility to improve or replace the process. In such case, there are three
ways to improve TPI of the total process. They are, “1–1: reduce environmental
impact of the segment process,” “1–2: enhance the product quality o,” and “2:
apply a new combination of processes.” First two focus on the bottleneck process
for improvement. The third one is to introduce totally new processes that can take
over the total manufacturing processes including the bottleneck segment process.
Segment processes A and B in Fig. 29.2 show the schematic image of process
replacement by a new combination. All three approaches could enhance process
TPI. These three approaches do not mention anything about whether the focused
segment process is actually improvable or not.
In order to apply the design evaluation method to an actual process and to
ensure its improvement, it is indispensable to collaborate with process engineers
who are aware of the problems in their manufacturing process. They usually have
deep knowledge about the process and the products manufactured from the process.
In addition, as mentioned in the beginning, purpose of this method is to design
or redesign environmentally conscious manufacturing processes. Therefore, design
524 N. Mishima
UVi
Original product value Modified value
1-2:Manufactring
quality enhancement
1-1:Reduction of Process B
environmental impact
ΔUVi 2:Alternative
process
combination
Process A Reduced impact
Process 1 Process 2 Process 3
PE ⋅ PC
Fig. 29.3 Some methods to improve process TPI
options generating larger environmental impact should not be chosen. Because of

this reason, knowledge about the actual manufacturing process is necessary to put
this approach into practice.
3 Case Studies of Engineering Ceramics
3.1 Manufacturing of Diesel Particulate Filter
To show an actual procedure of the TPA method extended to the manufacturing

process (i.e., process TPA) and the improvement of manufacturing processes, a
practical example has been examined. Ceramic diesel particulate filter (DPF) of
which overview is shown in Fig. 29.4 was chosen as a target product. Ceramic DPF
are used frequently because of its high thermal endurance and high specific strength
(Sato et al. 2005; Omura et al. 2006). The main function of DPF is to eliminate
particulate matters generated by diesel combustion. However, the main functional
requirement can be separated into more detailed five functional requirements such
as “capturing capability of particulate matters,” etc. In addition, the five functional
requirements can be related to twelve quality characteristics. Defined functional
Fig. 29.4 Example of a ceramic diesel particulate filter
requirements and quality characteristics are shown in Table 29.1. Price of the filter
unit is assumed to be 20,000 yen.
3.2 Functional Requirements of DPF
Applying the QFD method (Akao 1990; Kondoh et al. 2007), it is possible to clarify
importance of each functional requirement of a DPF. Five functional requirements
(FR) and twelve quality characteristics of the filter have been set. Table 29.1 shows
the importance of each functional requirement to the customers. It also indicated
allocation of each functional requirement to the defined quality characteristics. By
considering the importance of each FR, it is possible to determine the value of FRs
among the total value of the product (20,000 yen). The chosen FRs are all important.
In other words, only important functional requirements were chosen. Therefore, the
analysis suggests that the value of every FR occupies one fifth of the total value of
the DPF.
3.3 Quantification of Quality Characteristics
The second step of the analysis is to know the contribution of each segment process
to the value creation. By identifying the relationship between each segment process
composing of the total manufacturing process and quality characteristics, it is
possible to calculate the value of the segment processes. The total manufacturing
process of the DPF was divided into six segment processes. They are “mixture,”
“ball milling,” “injection molding,” “binder removal,” “sintering,” and “bonding
of honeycomb unit.” Table 29.2 shows the calculation result of the process value.
526 N. Mishima
Table 29.1 Relation between functional requirements and quality characteristics of a ceramic
DPF
Functional
requirements
Capturing capabilit of particulate matters

Fuel loss due to pressure loss
Fuel loss due to reproduction
Reliablity (crack-free)
Product longevity
Total
Importance of functional
9 9 9 9 9 54
requirements
Value of functional requirements
(K yen) 4 4 4 4 4 20
Thermal conductivity 9 9
Coefficient of thermal 9 9
expansion
Thermal endurance 3 3 9 15
Quality characteristics of DPF
Pore rate 9 9 18
Specific heat capacity 9 9
Uniformity of distribution of 3 3 6
pores
Average diameter of pores 3 3
Surface activity of the 0
material
Mechanical strength 3 3
Profile accuracy (length) 9 3 12
Profile accuracy (section) 9 3 12
Uniformity of the material
9 3 12
composition
33
15
12
21
36
108
Sum total of the relations

with functional requirements
“Value of the segment process” in Table 29.2 was calculated by allocating value
of each functional requirement corresponding to the strength of the relation shown
in Table 29.1. “Environmental impact of the segment process” was estimated by
Table 29.2 Relation between quality characteristics and manufacturing (segment) processes
Segment process
Value of quality characteristics (kJPY)
Bonding of honeycomb unit

Mixture of base materials
Injection molding
Binder removal
Ball milling
Sintering
Total
Thermal conductivity 1 9 3 12
Coefficient of thermal
1 9 3 12
expansion
Thermal endurance 2.8 9 3 1 1 14
Pore rate 3.5 9 3 1 1 1 15
Specific heat
3 9 9
capacity
Uniformity of 1.2 1 3 3 3 1 11
distribution of pores
Average diameter of
0.4 9 3 12
pores
Surface activity of
0 3 1 1 1 6
the material
Mechanical strength 1 3 3 3 3 1 13
Profile accuracy
1.4 9 3 1 13
(length)
Profile accuracy
1.4 9 3 1 13
(section)
Uniformity of the
3.3 3 3 1 7
material composition
Value allocated to segment
20
8.95
5.72
1.38
2.41
1.25
0.29
process (k JPY)
Yield rate of the process
0.99
0.95
0.95
0.95
0.6
0.8
Real value of the process

8.86
3.43
2.29
1.18
0.28
17.1
1.1
(k JPY)
Estimated environmental
0.1
5
1
1
8
9
impact of the segment

process (kg-CO2/unit
Actual cost of the segment
4.5
5
3
1
1
1
process (k JPY)
528 N. Mishima
measuring energy consumption and material consumption. “Cost of the segment

process” is based on the actual cost of the energy and materials used in the prototype
process.
3.4 Quantification of the Segment Manufacturing Processes
As indicated in Table 29.2, the values of the quality characteristics are calculated
first. The result shows that several characteristics such as “pore rate,” “specific heat
capacity,” etc. occupy relatively large portion of the value. Therefore, it is assumed
that a segment process contributing to achieve these quality characteristics has a
high value.
In an actual manufacturing process, the output of a certain process is usually
the input of the next process. These intermediate properties often do not affect the
quality of the final product but does affect following process. For example, ball-
milled slurry often has rather high viscosity and causes relatively big shrinkage
during “sintering.” Although the viscosity of the slurry will be meaningless after
“binder removal,” it strongly affects the quality of “sintering” and mechanical
properties of the product. It is necessary to consider these interactions between
segment processes. In order to express the fact that quality of the segment process
affects next segment process, “yield rate” is introduced. In the DPF example process,
“ball milling” has relatively low yield rate. It means that there are some uncertainties
in this process and some of the intermediate products of “ball milling” do not satisfy
the requirements of “sintering.” The low yield rate is reflected in Table 29.2 as the
“real value” of the segment process.
Since this manufacturing process is a practical process used in industry, it is
possible to measure the environmental impact and cost of each segment process.
However, since the purpose of this chapter is to introduce a procedure to evaluate
total performance of the manufacturing process and obtain suggestions for the
process improvement, showing only the example of the improvement should be
sufficient. Therefore, value, environmental impact and cost were roughly assumed.
By using the calculated value, assumed environmental impact, and cost, TPI of
segment processes can be calculated.
3.5 Analysis of the Total Manufacturing Process
TPI graph can be drawn using the value, cost, and environmental impact of the
manufacturing process. Figure 29.5 is the TPI graph of the original manufacturing
process of the DPF. The solid line indicates unadjusted value after the corresponding
segment processes. The dotted line shows adjusted value when interactions between
segment processes are considered by introducing “yield rate.” A slope of a segment
line shows TPI of the corresponding segment process. A slope of the line connecting
between the starting point and the endpoint of the lines indicates TPI of the total
process. Comparing to the TPI of the total process, segment processes “binder
Unadjusted value
Real value
25
bonding of honeycomb unit
Value (K yen) 20 injection molding
15 ball
milling sintering
10 binder
mixture removal
5
0
0 5 10 15 20
(PE*PC)0.5
Fig. 29.5 TPI of the manufacturing process of a DPF
removal” and “sintering” have lower TPI, and the other processes have relatively
higher TPI. This is because “binder removal” and “sintering” need temperature
increase of the material using a furnace, which consumes large amount of electricity.
In addition, “binder removal” emits hazardous substances due to organic binder
material. Cost of elimination of the substances is considered in the cost of the
segment process.
3.6 Analysis of the Process Improvement
Improvement of the ceramic DPF manufacturing process is an ongoing research

topic. Several methods to enhance the performance of the process or reduce the
process time have been already investigated, without using the design method
described here. The purpose of using the DPF production process as an example
is to ensure that the design approach does not contradict with the process engineer’s
knowledge and to show that it is able to simulate process improvement procedure
and the effect of the improvement as well. Therefore, it is necessary to compare the
TPI of the old process with that of the improved process and quantify the effect of
the process improvement.
In AIST, new manufacturing processes to make alumina ceramic parts have
been proposed for the significant enhancement of the manufacturing speed and
ultimate improvement of the productivity of ceramic fabrication. A group of these
related new processes is called compact process of ceramic fabrication. In the new
processes, a new technique (Sato et al. 2005), which enables the reduction of the
amount of organic binder, was used for “binder removal.” In the new fabrication
process, a technique named “wet jet milling” which can totally replace “ball
milling” was also implemented. Raw ceramic body using jet-milled slurry which
530 N. Mishima
Table 29.3 Process value, cost, and environmental impact of the new process
Segment process
0.32 Bonding of honeycomb unit

Mixture of base materials
Improved binder removal

Injection molding
Wet jet milling
Sintering
Total
Value of the process (K yen)
8.95
6.44
1.47
2.49
1.33
21
Yield rate of the process
0.99
0.95
0.8
0.95
0.95
0.95
-
Real value of the process
8.86
6.12
1.17
2.37
1.26
0.31
(K yen) 20.1
Environmental impact of the

5
1.2
1
5.6
9
0.1
process (kg-CO2/unit)
Cost of the process (K yen)

5
2.5
1
1.8
1
1
had low viscosity and low reflocculation property had very high relative density and
showed very small shrinkage during sintering. Because of small shrinkage, yield
rate of the milling process will be greatly improved. A new fabrication procedure
with these new processes was named “compact process.” As a result of applying
“compact process,” both “ball milling” and “binder removal” were replaced by more
environmentally benign processes. The TPA approach should be able to explain the
effect of the improvement and to suggest the next target for the process renovation.
Table 29.3 shows the value, yield rate, cost, and environmental impact of the
improved manufacturing process. As it was mentioned earlier, “ball milling” was
replaced by “wet jet milling.” “Binder removal” segment process was improved to
reduce the amount of organic binder consumed, which contributed to the reduction
of the cost and environmental impact of the segment process. These improvements
are indicated as shadowed area in Table 29.3. Value of the other processes was
also improved. Since the yield rate of “jet milling” is high, value of every process
after “jet milling” was also enhanced. Figure 29.6 is the TPI plot of the improved
process corresponding to the improved values, costs, and environmental impacts in
Table 29.4. The solid line corresponds to the TPI of the improved process, and the
dotted line shows TPI of the original process shown in Fig. 29.5
The effect of “wet jet milling” and “improved binder removal” were simulated
in the TPI plot. It tells us that the TPI of the total manufacturing process was
Improved process
Old process
25
bonding of honeycomb unit
20
improved binder
Value (K yen)
removal
15 sintering
wet jet
injection
10 milling
molding
5
mixture
0
0 5 10 15 20
(PE*PC)0.5
Fig. 29.6 TPI of the improved process
Table 29.4 Importance and value of the functional requirements

Importance for
Importance
customers
FR(kJPY)
Value of
= FRVi
= ui /T
(ratio)
= ui
FR0 Heat radiation

10 0.29 1.2
capability
FR1 Hard-to-failure 5 0.14 0.6
FR2 Electric insulation

10 0.29 1.2
capability
FR3 Smooth and

5 0.14 0.6
parallel surface
FR4 Resistance
capability against 5 0.14 0.6
atmosphere
greatly improved. It is helpful to see that the new manufacturing process was
more environmentally benign and cost-effective and had higher quality than the
conventional manufacturing process. Without calculating the TPI, it is difficult to
know the improvement in cost, environmental impact, and quality simultaneously.
The analysis also pointed out that next improvement target is “sintering” since
theprocess has large environmental impact. In fact, improvement of “sintering” by
using microwave (Sato et al. 2007) has been proposed already.
532 N. Mishima
3.7 Manufacturing of Heat Radiation Plate
To show an actual procedure of the process TPA and improvement of a manufac-

turing process, a practical example has been examined. A ceramic heat radiation
plate for power-integrated circuits (ICs) of which overview is shown in Fig.29.7 was
chosen as the target product. Ceramic radiation plates are used frequently because of
its high thermal endurance, high specific strength, and high resistance to wear. The
main function of a radiation plate is to radiate heat efficiently. The main functional
requirements can be separated into more detailed five functional requirements such
as “heat radiation,” “electric insulation capability,” among others. In addition, the
five functional requirements are related to eight quality characteristics that are
equivalent to material characteristics. Defined functional requirements and quality
characteristics are shown in Table 29.4. Price of the heat radiation plate is assumed
to be 4.2k JPY.
3.8 Consideration of the Functional Requirements
Like the first case study, by applying the QFD method, it is possible to clarify the
importance of each functional requirement of a heat radiation plate. Five functional
requirements (FR) were set. Table 29.4 shows how each functional requirement is
important to the customers. It also indicates the calculated price of each functional
requirement. Total price of the product (assumed to be 4.2 k JPY/kg) was allocated
to the functional requirements corresponding to the importance of FRs. The value
of each functional requirement can be calculated based on (29.4).
FRVi D V .ui =T / (29.4)
Where
FRVi : value of the ith functional requirement
V: value of the product
ui : importance of the ith FR
T: sum of the importance of all functional requirements
3.9 Quantification of the Quality Characteristics
The second step of the analysis is to determine the contribution of each segment
process to the monetary value of each quality characteristics. By identifying
the relationship between segment processes of the total process and the quality
characteristics, it is possible to calculate the value of the segment processes. The
total manufacturing process was divided into six individual processes. The value of
each segment process is expressed by (29.5). Table 29.5 shows the results of the
calculation of the segment process value.
Fig. 29.7 Example of a ceramic heat radiation plate
n
X
QVk D Vi .wi;k =Ti / (29.5)
i D1
Where
QVk : value of the kth quality characteristics
n: number of the functional requirements
Vi : value of the ith FR
wi;k : importance of the kth quality characteristics on the ith FR
Ti : sum of the importance of all the quality characteristics on the ith FR
3.10 Quantification of the Manufacturing Process Value
The third step of the analysis is to determine the contribution of each segment
process to the realization of the quality characteristics of the product. Like the
first example, the value of each segment process is calculated for the six segment
processes of the manufacturing of a ceramic heat radiation plate including “material
supply,” “mixture,” “sheet forming,” “binder removal,” “sintering,” and “grinding.”
Table 29.6 shows the result of the calculation of the process value based on (29.6).
m
X
PVj D QVk .xj;k =Sk / (29.6)
kD1
Where
PVj : value of the jth segment process
xj;k : importance of the kth quality characteristics on the jth segment process
534 N. Mishima
Table 29.5 Value allocation to the quality characteristics

Functional requirements
Heat radiation capability
characteristics (kJPY)
Resistance capability
Smooth and parallel
against atmosphere
Electric insulation
Value of quality
Hard-to-failure
capability
surface
= QVk
Value of FR
1.2 0.6 1.2 0.6 0.6 4.2
(kJPY) = FRVi
Heat
10 1.2
conductivity
Mechanical
10 1 1 0.37
strength
Fracture 10 1 1 0.37
toughness
Insulation 10 1 0.64
resistance
Dielectric
breakdown 10 1 0.64
strength
Surface 10 0.27
flatness
Surface 10 0.27
roughness
Corrosion 10 0.43
resistance
Sum of
importance
of all the
quality 10 20 20 22 14
characteristic
on the ith
FR = Ti
Sk : sum of importance of the kth quality characteristics on the jth segment

processes
m: number of quality characteristics
Table 29.6 Relation between quality characteristics and manufacturing processes

S e g m e n t p r o c e ss
characetrsitics on the
sum of importance of
characteristics= QVk
Value of quality
Binder removal
the kth quality

Sheet forming
Material supply
processes =Sk
jth segment
Sintering
Grinding
Mixture
Heat 16
1.2 10 3 0 0 3 0
conductivity
Mechanical 20
0.37 3 3 1 3 10 0
strength
Fracture 0.37 3 1 3 10 0 20
toughness 3
Insulation 0.64 10 3 0 3 3 0 19
resistance
Dielectric 19
breakdown 0.64 10 3 0 3 3 0
strength
Surface 0.27 1 3 10 0 1 10 25
flatness
Surface 0.27 1 3 0 0 1 10 15
roughness
Corrosion 0.43 1 1 1 3 3 19
10
resistance
Value of the jth
1.80
0.64
0.17
0.34
0.89
0.36
segment process
(kJPY) = PVj
Table 29.7 Environmental impact and cost of the segment manufacturing processes
Segment process
Binder removal
Sheet forming
Material spply
Sintering
Grinding
Mixture
Total
Value of the
1.80
0.64
0.17
0.34
0.89
0.36
4.2
process
(kJPY)
Environmental
5
0.2
0.1
0.5
13.8
impact of the
process
(kg-CO2/kg)
Cost of the
1.1
0.4
0.8
0.2
0.6
0.8
3.9
process
(kJPY)
536 N. Mishima
Value increase
5
grinding
4 sheet forming
Value (K yen)
sintering
3
mixture
2 binder
material removal
supply
1
0
0 1 2 3 4 5 6 7
0.5
(MCE*MCC)
Fig. 29.8 TPI of the original manufacturing process
3.11 TPI-Based Analysis of the Segment Manufacturing Process
To calculate the TPI defined by (29.3) of each segment process, it is necessary

to quantify the cost and environmental impact of each segment process as well.
Table 29.7 shows the estimated cost and environmental impact of the segment man-
ufacturing processes based on the information from the manufacturing engineers.
The cost and environmental impact include those of the machines. Figure 29.8 is the
TPI plot of the original manufacturing process of the ceramic heat radiation plate.
Each segment line indicates the value after the corresponding segment processes.
Slope of a segment line shows TPI of the corresponding segment process. If a line
is illustrated by connecting the starting point to the endpoint of the segment lines,
the slope of the line indicates TPI of the total process.
3.12 Process Improvement
Improvement of the silicon nitride manufacturing process is an ongoing research

topic. Several methods to enhance the performance of the process or reduce the
process time have been investigated (Zhu et al. 2004). The series of new processes
to make silicon nitride products is called sintered reaction-bonded silicon nitride
(SRBSN). In the new manufacturing process, more inexpensive silicon powder than
silicon nitride powder is used, because the silicon nitride structure is directly formed
during the sintering process with chemical reactive process. It results in reduction
of the cost and the environmental impact of “material supply” to the original
process. Contrarily, the cost and environmental impact of the new “sintering”
process increase. Costs and environmental impacts of the other processes remain
unchanged.
Table 29.8 Improvements in the quality characteristics by ratio
Dielectric breakdown strength
Corrosion resistance
Insulation resistance
Mechanical strength
Fracture toughness
Surface roughness
Heat conductivity
Surface flatness
SSN 1 1 1 1 1 1 1 1
Improved
(SRBS 1.2 0.9 1 2.0 2.0 1 1 1.1
N)
In addition, by using this process and inputting suitable additives, material

characteristics can be greatly improved. It has been reported (Zhu et al. 2006; Zhou
et al. 2008) that heat conductivity, insulation resistance, and dielectric breakdown
strength of the product are greatly improved compared to the conventional sintered
silicon nitride (SSN). On the other hand, mechanical strength slightly decreases.
Table 29.8 shows the predicted or reported improvements in the quality characteris-
tics by normalizing the original value to 1.
In quantifying the value enhancement due to improvements in the quality charac-
teristics, it was assumed that the value of each quality characteristics is linear to the
corresponding specification. For example, the value of “new” heat conductivity is
calculated to be 1.4 k JPY, since it will be 1.2 times of the original value 1.2 k JPY.
Table 29.9 shows the value of the improved quality characteristics by multiplying
the ratio shown in Table 29.8 to the value of each quality characteristics of the
conventional process in kJPY.
Finally, Table 29.10 shows the value, cost, and environmental impact of the
improved manufacturing process. Figure 29.9 is the TPI plot of the improved
process reflecting Table 29.10. Comparison of TPI of the old process and of the new
process suggested that material composition is the most important consideration.
The new “sintering” process appears worse than the old process. However, it is
inseparable with the new “material supply.” Figure 29.9 indicates that efficiency of
the total manufacturing process was greatly improved. It also suggests that further
improvement should be the optimization of the sintering conditions in order to make
the new sintering process more efficient.
538 N. Mishima
Table 29.9 Improvements in the quality characteristics by value
Dielectric breakdown strength
Corrosion resistance
Insulation resistance
Mechanical strength
Fracture toughness
Surface roughness
Heat conductivity
Surface flatness
SSN 1.2 .37 .37 .64 .64 .27 .27 .43
SRSBN 1.4 .33 .37 1.3 1.3 .27 .27 .47
Table 29.10 Value, environmental impact, and cost of the improved segment manufacturing
processes
Segment process
Binder removal
Sheet forming
Material spply
Sintering
Grinding
Mixture
Total
Value of the
2.62
0.89
0.17
0.53
1.12
0.36
5.69
new process
(kJPY)
Environmental
1
0.2
0.1
0.5
11.8
impact
(kg-CO2/kg)
0.2
0.4
0.8
0.2
1.6
0.8
4.0
Cost (kJPY)
4 Summary
A new method to evaluate manufacturing processes by applying TPA was intro-

duced. In the first example, the method was applied to analyze a manufacturing
process fabricating ceramic diesel particulate filter. The analysis result suggests
that there is a room for improvement of the TPIprocess by replacing processes
Old process
New Process
6
sheet forming
5
grinding
Value (K yen)
4
sintering
3
mixture
2 binder removal
material
1 supply
0
0 1 2 3 4 5 6 7
(MCE*MCC)0.5
Fig. 29.9 TPI of the improved process
by more efficient processes. Analysis of the actual process improvement in the

ceramic fabrication revealed that “wet jet milling” and “improved binder removal”
are effective in reducing the cost and environmental impact and in enhancing the
quality of the ceramic fabricated. The analysis also indicated that next target for
improvement is “sintering.” It is concluded that the process TPA design approach
is helpful in designing environmentally conscious and high-quality manufacturing
processes.
However, in the first example, the effect of manufacturing process improve-
ment in enhancing product quality was not quantified well. Therefore, in the
second example, the evaluation method was applied to a new example which is
a manufacturing process of a heat radiation plate made by silicon nitride. In this
example, by implementing new manufacturing technology, material characteristics
are greatly improved. The new material is called sintered reaction-bonded silicon
nitride (SRBSN). Total value increase was calculated based on an assumption
that the value of each quality characteristics is linear to the improvement of the
specification. Using these data, efficiency of the improved manufacturing process
was compared with that of the old process. From this, it was found that the new man-
ufacturing process increased eco-efficiency of the manufacturing process by more
than 40%.
References
K. Akao, Quality Function Deployment (Productivity Process, Cambrige, 1990)
H. Hyuga et al., Mater. Lett. 62, 3475 (2008)
S. Kondoh et al., J. Adv. Mech. Des. Syst. Manuf. 1(1), 181 (2007)
S. Kondoh, K. Masui, M. Hattori, N. Mishima, M. Matsumoto, Int. J. Prod. Dev. 6(3/4), 334 (2008)
S. Kondoh et al., Int. J. Autom. Technol. 3(1), 56 (2009)
540 N. Mishima
N. Mishima, Journal of Japan society for Precision Engineering, 77(3), 245(2011). (In Japanese)
N. Omura et al., J. Am. Ceram. Soc. 89(9), 2738 (2006)
K. Sato et al., J. Ceram. Soc. Jpn. 113(10), 687 (2005)
K. Sato et al., J. Am. Ceram. Soc. 90(4), 1319 (2007)
Y. Zhou et al., Int. J. Appl. Ceram. Technol. 5(2), 119 (2008)
X.W. Zhu et al., J. Mater. Res. 19(11), 3270 (2004)
X.W. Zhu et al., J. Am. Ceram. 89(11), 3331 (2006)
Section IV
Sustainable Product Service Systems and
Product Service Systems and Sustainable
Consumption Toward Sustainability: 30
Introduction
Yasushi Umeda
Abstract
Sustainable product service system (PSS) and sustainable consumption are
indispensable concepts for achieving sustainability. They would be trumps for
changing the current manufacturing paradigm to sustainable one. This chapter
gives an overview of sustainable PSS and sustainable consumption as an
introduction of related chapters.
1 Introduction
In pursuing sustainability, especially environmental sustainability, various concepts

and methodologies related to industrial products have been proposed and developed
including industrial ecology, sustainable production, eco-design, and life cycle
design. On one hand, they succeeded in changing the ways of designing products
(e.g., designing a product for increasing recyclability), manufacturing them, and
recycling them. On the other hand, they did not change the ways of manufacturing
business (i.e., making products and selling them), product ownership, and product
usage of consumers. As a result, in many environmentally conscious countries,
including EU and Japan, manufacturing systems have shifted from mass production,
mass consumption, and mass disposal paradigm to mass production, mass consump-
tion, and mass recycling paradigm. However, it is quite questionable whether this
manufacturing paradigm is sustainable.
In order to advance this situation toward sustainability, which might be called
“sustainable production and consumption,” it is indispensable that consumers
choose more environmentally conscious products, use them in an environmentally
Y. Umeda
Department of Mechanical Engineering, Graduate School of Engineering, Osaka University,
Osaka, Japan
e-mail: umeda@mech.eng.osaka-u.ac.jp

DOI 10.1007/978-1-4020-8939-8 57,
544 Y. Umeda
conscious manner, and choose the most appropriate combination of life cycle
options (e.g., maintenance, upgrading, reuse, remanufacturing, recycling, energy
recovery, and reclamation) during their usage and at the end of life of the products.
More importantly, such environmental behavior should be executed not only by
a few environmental leaders but also by the majority of consumers. At the same
time, manufacturers should make profits with the business of environmentally
conscious products. This means that collaborative interaction among manufacturers,
consumers, and recyclers determines whether such sustainable production and
consumption become successful or not. Since manufacturers, consumers, and
recyclers act independently based on their own behavioral principle without enough
communication with each other in the current mass production paradigm, barriers
among these three stakeholders prevented environmentally conscious products,
design methodologies, and technologies from working effectively. In order to realize
the sustainable production and consumption, we should establish life cycle industry,
which develops and manufactures products, manages product life cycle, and
circulates EoL (end-of-life) products in an integrated manner, by making alliance
between manufacturers and recyclers, and then establish co-creative communication
between consumers and the life cycle industry. The most hopeful enablers for this
paradigm shift are product service system (PSS) and sustainable consumption. On
one hand, PSS is the approach from industry side to consumer side by offering
a package of hardware and service. On the other hand, sustainable consumption
promotes consumers’ purchase and usage of products, and selection and execution
of life cycle options from the viewpoint of sustainability. Sustainable consumption
also aims at changing behavior of manufacturers, recyclers, life cycle industry as
an integrated form, and society through consumers’ behavior. In this sense, PSS
and sustainable consumption are complementary with each other and should be
integrated in future.
2 Product Service System
Chapter Engineering PSS (Product/Service Systems) Toward Sustainability:

Review of Research defines PSS as “a marketable set of products and services
capable of jointly fulfilling a user’s needs” (Goedkoop et al. 1999) and “a value
proposition, including its network and infrastructure” (Tukker 2006; Tukker and
Tischner 2006). Here, we focus on sustainable PSS, which means PSSs that aim
at sustainability, since there are many PSSs of which focuses do not include
sustainability.
The significance of PSS for achieving the sustainable production and consump-
tion comes from the fact that the relation between manufacturer and consumer is
kept through provision of service. This is an important and useful channel between
the two as follows:
• A manufacturer can satisfy various customers’ needs by changing service with
the same hardware. The manufacturer can also satisfy changes of customers’
needs in the same manner.
30 Product Service Systems and Sustainable Consumption Toward Sustainability 545
• The business opportunity of the manufacturer expands from just selling products
to various activities in a product life cycle such as maintenance, upgrading, life
cycle management, and providing supplies. This may increase profitability of the
business.
• PSS includes various types of business (Tukker and Tischner 2006) such as
product lease and pay per service. Some types of PSS business may reduce
life cycle cost of a customer. For example, while a customer should pay very
expensive price of a new electric vehicle (EV), to buy it in the traditional
automobile sales business, he/she is requested to pay the fee just on a mileage
basis in EV car sharing business.
• Since a manufacturer can take care of products after providing them, the man-
ufacturer can monitor and manage the conditions of products. The manufacture
can even collect and replace products if ownership of the products belongs to the
manufacture rather than to the customers. This will increase collection rate and
quality of end-of-use products. In this way, PSS is a quit effective measure to
realize environmentally conscious circulation of products.
3 Sustainable Consumption
The concept of sustainable consumption is more vague and broader than PSS. The
motivation is clear; not only the initiative from the manufacturer side, the initiative
from the consumer side toward sustainability is indispensable and may have stronger
influence on industry, government, and society. This is sustainable consumption.
While Chapters Design for Sustainability (DfS): Interface of Sustainable
Production and Consumption and Sustainable Consumption discuss the concept
of sustainable consumption in detail, the significance of sustainable consumption
toward sustainability may include:
• Consumers’ preference to environmentally conscious products in purchasing
phase and environmentally conscious recycling in end-of-life phase may motivate
manufacturers to develop such products and recyclers to execute such operations.
Consumers’ preference may be the strongest and the soundest drivers for
manufacturers and recyclers to move toward sustainability.
• Consumers’ usage patterns largely affect the length of lifetime of products
and environmental loads during usage (including energy consumption, CO2
emission, and consumption of supplies). For example, about 80–90 % of life
cycle CO2 of active products such as automobiles and refrigerators is emitted
during usage. Small shifts of individual consumption patterns may result in
large effect on sustainability in society. For example, a large electricity blackout
was expected in summer 2011 in Tokyo, Japan, because of nuclear power plant
stoppage after Fukushima nuclear accident. But any blackout did not happen as a
result of energy-saving activities of all kinds of stakeholders including citizens,
companies, and governments. Such shifts for individual consumption patterns
will lead to sustainable lifestyles.
546 Y. Umeda
The only way to change society sustainable may be accumulation of the shift
to sustainable consumption of individuals. In other words, although concepts,
methodologies, key indicators, and criteria of sustainable consumption have not
been well established yet, sustainable consumption has a huge potential to reach
sustainability.
4 Related Chapters
Many other chapters in this handbook discuss sustainable PSS and sustainable
consumption.
On one hand, some chapters discuss fundamental concepts of sustainable
PSS and sustainable consumption. Chapter Design for Sustainability (DfS):
Interface of Sustainable Production and Consumption gives a holistic overview
of “design for sustainability” including basic concepts of sustainable production
and consumption and clarifies the difference between sustainability-oriented de-
sign and the traditional environmentally conscious design. Chapter Sustainable
Design Engineering: Design as a Key Driver in Sustainable Product and Busi-
ness Development discusses sustainable design and sustainable production from
the viewpoint of business. Chapter Engineering PSS (Product/Service Systems)
Toward Sustainability: Review of Research gives an overview of sustainable PSS
and related engineering research. And Chapter Sustainable Consumption discusses
the importance and potential of sustainable consumption thoroughly.
On the other hand, many chapters introduce engineering methodologies for
modeling, designing, simulating, and evaluating PSSs and show some exemplars
of PSSs, since methodologies for sustainable consumption have not been mature
enough, at least in engineering domain. Chapter Product Design Considerations
for Improved Integrated Product/Service Offerings introduces a simple design
method for PSS with explaining the concept of PSS. Chapters Modeling Services
and Service-Centered PSS Design and Advanced Japanese Service Design: From
Elements to Relations introduce “service engineering” and PSS design method-
ologies based on service engineering. “Service engineering” is one of the major
methodologies in the domain of PSS design research. While Chapter Modeling
Services and Service-Centered PSS Design introduces core methods of service
engineering focusing on modeling of services, Chapter Advanced Japanese Ser-
vice Design: From Elements to Relations describes methods and examples of
application worked with their industrial partners. Chapter Life Cycle Simulation
for Sustainable Product Service Systems introduces “life cycle simulation” (LCS)
for supporting sustainable PSS design. LCS is a methodology for simulating flow
of resources, products, components, money, information, etc., throughout a product
life cycle and evaluating a product life cycle from environmental and economic
viewpoints. In this sense, LCS will be an indispensable tool for designing sus-
tainable PSS. Chapter Eco-business Planning: Idea Generation Method discusses
the necessity of business design for the success of sustainable PSS and proposes a
business design method. Without doubt, this is an important or the most important
30 Product Service Systems and Sustainable Consumption Toward Sustainability 547
aspect for realizing sustainable PSS in the real world. And Chapter Sustainable
PSS in Automotive Industry describes practical examples of PSS in automotive
industry with giving a holistic perspective of product life cycle and PSS.
5 Summary
As we discussed in this chapter, sustainable PSS and sustainable consumption are

quite important concepts for achieving sustainability. They would be trumps for
changing the current manufacturing paradigm to sustainable one.
Generally speaking, design of (sustainable) PSS is more difficult than the
traditional design of products, since, in addition to design of products, human
behavior of service providers and customers should be designed in PSS design.
Critical points reside within the boundary of products and services, i.e., good
combination of products and services and good interaction between them. Moreover,
approaches to these issues (i.e., modeling and designing human behavior) can
be applicable to engineering methodologies for sustainable consumption to be
developed in future. Even if there might be a discussion whether we should and
can design sustainable consumption or sustainable consumption is self-emerging
movement through individuals’ autonomous behavior.
Issues for future work include:
• Diffusion of sustainable PSS in the real world, since there are not may successful
sustainable PSS businesses especially in a major market rather than in a niche
market.
• Clarification and diffusion of the concept of sustainable consumption and
development of (engineering) methodologies and tools for it. For example,
Boks (2012) proposes the idea of design for sustainable behavior, which will
be a fundamental engineering methodology for sustainable consumption.
• Integration of sustainable PSS and sustainable consumption since they are
complementary with each other.
Although concepts, methodologies, key indicators, and criteria of sustainable
consumption have not been well established yet, sustainable consumption has a huge
potential to reach sustainability.
References
C. Boks, Design for sustainable behaviour research challenges, in Design for Innovative Value
Towards a Sustainable Society, ed. by M. Matsumoto, Y. Umeda, K. Masui, S. Fukushige
(Springer, The Netherlands, 2012), pp. 328–333
M.J. Goedkoop, C.J. van Halen, H.R. te Riele, P.J. Rommens, Product Service Systems, Ecological
and Economic Basics (Dutch Ministry of Housing, Spatial Planning and the Environment,
VROM 990570, The Hague, 1999)
A. Tukker, Eight types of product-service system: eight ways to sustainability? Experiences from
suspronet. Bus. Strategy Environ. 13, 246–260 (2004)
A. Tukker, U. Tischner, New Business for Old Europe (Greenleaf Publishing, Sheffield, 2006)
Advanced Japanese Service Design: From
Elements to Relations 31
Yoshiki Shimomura, Koji Kimita, and Fumiya Akasaka
Abstract
Service is nowadays regarded as a way to achieve the “sustainability” of
businesses in manufacturing companies. The Service Engineering Forum (SEFO-
RUM) was established in 2002 as an industry-academic cooperative consortium
to advance service engineering research (see http://www.service-eng.org/). In the
third period of the SEFORUM (2008–2011), engineering methods to support
a service design process were proposed and applied to plural actual services.
This work reports these SEFORUM activities. In this work, methods to support
the service design process, which is composed of the three phases, requirement
analysis, service conceptual design, and service detailed design, are proposed. In
addition, the results of the case studies of these methods are also reported. An
overview of the methods for each phase follows.
For the requirement analysis, in which designers define the target customer
categories and extract the requirements, a method for negotiating various cus-
tomer demands is introduced. This method enables designers to analyze various
customer requirements and to effectively prioritize them. For prioritization, this
method relies on group decision-making, in which a plan is proposed to minimize
overall dissatisfaction (group decision-making stress) of all group members on
the basis of an original evaluation of the decision-makers and their priority.
In the case study, this method is applied to an elevator renewal service for
Y. Shimomura ()
Graduate School of System Design, Tokyo Metropolitan University, Tokyo, Japan
e-mail: yoshiki-shimomura@center.tmu.ac.jp
K. Kimita
Faculty of Engineering, Tokyo University of Science, Tokyo, Japan
e-mail: kimita@ms.kagu.tus.ac.jp
F. Akasaka
Tokyo Metropolitan University, Tokyo, Japan
e-mail: akasaka-fumiya@sd.tmu.ac.jp

DOI 10.1007/978-1-4020-8939-8 67,
550 Y. Shimomura et al.
a condominium building in which its residents correspond to customers. The

purpose of this case study is to analyze and prioritize resident requirements.
For the service conceptual design, in which designers develop function
structures that meet customer requirements, this work introduces a web-based
database that enables designers to acquire knowledge on the web. In the case
study, this tool is applied to an elevator renewal service. The purpose of this
case study is to develop way-out functions of the elevator renewal service by
the designer who takes responsibilities for the development of elevator renewal
services.
For the detailed design, in which designers determine stakeholders involved
in a designed service and allocate resources for which each stakeholder takes
responsibility, an optimal resource allocation method is introduced. In this
method, the limited resources of the service providers are optimally allocated
to each improvement plan for the purpose of maximizing customer satisfaction.
Based on the results of the allocations, the improvement plan can be quantita-
tively prioritized. In the case study, the method is applied to an actual service,
a facility construction, and maintenance service for an electronic substation, in
which a utility company is a service customer. The purpose of this case study is to
obtain the information about which improvement plans should be preferentially
addressed in the service improvement.
1 Introduction
Service is nowadays expected in manufacturing industry to contribute to “sus-

tainability” from two directions. The first is its contribution from environmental
aspect. In this context, a service provision is thought as a dematerialized solution
that offers values to customers without generating much amount of artifacts. The
second is from business aspect; a service is a key to build up a sustainable business
in manufacturing firms. Long-term and strong relationship with customers can be
realized by providing services in combination with a product throughout its life
cycle. In this section, the second aspect, namely, the contribution of service in
business viewpoint, is focused on.
Recently, a rapid rise has occurred in expectations that engineering and scientific
approaches will bring dramatic improvements in the design and production of
services (e.g., Spohrer and Maglio 2006). There is a critical need to establish a
method to measure customer satisfaction with services (fairly ambiguous up to now)
that guarantees certain objectivity and, then, use this information to create services
that are better in quality.
The authors’ efforts have been focused on service engineering (Shimomura and
Tomiyama 2005) since 2001. Here, a service is defined as “providing a means of
integrating a tangible object (a physical product) with an intangible object (an action
product) that realizes some required value for a customer,” and the goal of this
study is to develop a way of achieving customer satisfaction as a change in the
state of the customer of the service. More specifically, procedures for modeling and
analyzing services are formed, and a computer-aided design (service CAD) software
31 Advanced Japanese Service Design: From Elements to Relations 551
system using those procedures is developed. For the development of service

CAD, an activity with academic-industrial alliance, called the Service Engineering
Forum (SEFORUM) (see http://www.service-eng.org/), has been conducted. The
SEFORUM was founded in February 2002 to establish a fundamental understanding
of a service as well as concrete engineering methods to design and develop a service
by the collaboration between industries and universities. The SEFORUM had
achieved a successful conclusion of its activities through the first stage (February
2002 March 2005) and the second stage (April 2005 July 2008) and, therefore,
started the activities of the third stage in October 2008. In the third stage, several
groups consisting of industrial and academic members were organized; each group
works under a particular objective to develop methods for supporting designer
activities in a service design process and to apply these methods to their actual
service cases.
This work will provide methods of service engineering proposed as a result
of the activities of the SEFORUM. To do so, in the following sections, a service
design process that shows phases in a service design and the overview of designer’s
activities in each phase is introduced. For each design phase, subsequently, a method
for supporting the designer’s activities is proposed. In addition, case studies in which
these methods are applied to actual service cases are reported.
2 Design Methods in Service Engineering
2.1 Service Design Process
According to the discussion regarding service engineering (e.g., Tukker and Tis-
chner 2006), the service design process proceeded in three steps: “requirement
analysis,” “service conceptual design,” and “service detailed design.” In addition,
these steps are controlled and evaluated by a “service design process management”
from the viewpoint of customers (see Fig. 31.1).
In the requirement analysis, designers collect and arrange data to specify
customer requirements and constraints within a service. Defining and/or prioritizing
target customer categories is an essential activity in this phase to specify customer
behaviors and to extract their requirements. In the service conceptual design, subse-
quently, designers develop function structures that meet the customer requirements.
They, then, identify entities, such as human, organization, and physical products,
that can be used to actualize these function structures. In the service detailed design,
the designers determine relevant stakeholders involved in the service and their
relationships and, then, allocate resources for which each stakeholder takes respon-
sibility. For determining the details of the entities, in this phase, conceptual entities
determined in the previous phase are associated with actual entities in consideration
of resources of each stakeholder. According to the detailed information about the
entities, designers identify detailed service activities and product behaviors and,
then, draw up documents and/or manuals for the preparation of the service offering.
This service design process is unique in that it includes the management of the
design process from customer viewpoints. Many studies have reported that the
Fig. 31.1 Service design process
value of a service is always determined by customers (e.g., Vargo and Lusch 2004).
Therefore, the process and output of the phases, which are “requirement analysis,”
“service conceptual design,” and “service detailed design,” need to be controlled
and evaluated from the viewpoint of the customer.
With regard to each phase, in the following sections, methods that support
designer activities are provided and case studies in which these methods were
applied to actual services are introduced.
2.2 Requirement Analysis
2.2.1 A Method for Negotiating Various Customers’ Demands

In order to achieve high value-added services with limited resources, it is necessary
to analyze various customers’ demands and prioritize them in an effective manner.
However, a service aiming to satisfy the requirements of particular customer cate-
gories may preclude achieving the requirements of the others. To solve this problem,
a method for negotiating various customers’ demands (Yamamoto et al. 2010)
that adopts the group decision-making stress method (Kinoshita and Nakanishi
1999) is proposed. The group decision-making stress method proposes a plan that
minimizes the overall dissatisfaction (group decision-making stress) of all group
members based on an opinion and priority of each member. In this method, each
member of the decision-making group is chosen so as to be a representative of
a customer category. In addition, his/her opinion is represented as importance of

each requirement within a plan. In the group decision-making stress method, the
overall dissatisfaction of all group members is defined as a summation of distances
between individual members’ opinions and the mean value. In the same manner as
the group decision-making stress method, in this method, the overall dissatisfaction
for a service plan (S ) is calculated with (31.1)–(31.3).
n
X
wi D 1 (31.1)
i D1
n
1X
ej D wi xij (31.2)
n i D1
m X
X n
SD .wi xij ej /2 (31.3)
j D1 i D1
i : a customer category (i = 1, 2, 3, . . . , n)
j : items of customer requirements (j = 1, 2, 3, . . . , m)
xij : importance of customer requirement j for customer category i
wi : priority of customer category i
ej : ensemble mean of customer requirement j
Since xij expresses the importance of requirement of each customer category,
this variable is considered a fixed value. As such, in (31.1)–(31.3), wi is the only
adaptable variable. This method assumes that wi , which minimizes S , is the
rational priority. Concretely, if (31.1) is given as a restriction, wi , which minimizes
( 31.3) (wi *), is derived by using an optimization technique, such as Lagrange’s
method of undetermined multipliers. In the case of applying Lagrange’s method of
undetermined multipliers, is assumed to be Lagrange undetermined multiplier.
As a result, wi * is calculated with (31.4)–(31.6).
0 1
xi1
B::: C
B C
B C
Xi D B xij C (31.4)
B C
@::: A
xi m
01
w1
B:::C
B C
B C
w D B wi C (31.5)
B C
@:::A
wn
0 11 0 1
.n 1/jX1 j2 ; .X1 ; X2 /; :::; .X1 ; Xn /; 1 0
B
B.X2 ; X1 /; .n 1/jX2 j2 ; :::; .X2 ; Xn /; 1 C B0 C
C B C
w B C B C
D B: : : ; :::; :::; :::; 1 C B: : : C
B C B C
@.Xn ; X1 /; .Xn ; X2 /; :::; .n 1/jXn j2 ; 1 A @0 A
1; 1; 1; 1; 0 1
(31.6)
In addition, by substituting the calculated wi * into (31.2), designers obtain the

importance of customer requirements in consideration of the priority of each
customer category.
In order to understand the similarity between the requirements of each customer
category, this method proposes the opinion score. The opinion score is defined
as a certain axis that has the highest correlation with the importance of customer
requirements within each category. Therefore, if the opinion scores for different
customer categories are close, it implies that the opinions of these customers are
similar in some aspects. For the calculation of the opinion score, in this method,
the “Quantification Theory, type three” (Hayashi 1951), which is often used for
analyzing quantitative date statistically, is adopted. This is one of the methods used
for multidimensional data analysis and is adopted when the analysis element cannot
be expressed quantitatively.
Finally, according to the results of quantification of the priority for each customer
category and their opinion score, portfolio analysis is conducted. The distribution of
the customer categories is displayed using their opinion scores as horizontal axes
and priority as vertical axes. The results of portfolio analysis enable designers to
understand the distribution of customer categories. This information is useful to
determine the target requirements that should be investigated in the service, as
well as to achieve consensus of various customer categories by using visualized
representations of their position.
2.2.2 Case Study: An Elevator Renewal Service

In this case study, this method is applied to an elevator renewal service for
a condominium building where its residents correspond to customers. Since all
residents use an elevator, its renewal service needs to consider their requirements
and to propose new elevator functions and a maintenance plan appropriate for a
limited budget. Therefore, it is necessary to analyze and prioritize various residents’
demands.
The purpose of this case study is to analyze resident requirements and prioritize
and quantify them. Additionally, this case study shows the distribution of the
residents’ requirements visually.
To begin, in this case study, eight resident categories were determined. Table 31.1
shows the demographic and psychological data pertaining to each category. Next,
requirement extraction was conducted based on the result of an interview with
Table 31.1 Demographic and psychological data of each customer category

Category Name Age, sex Family Career Personality
P1 Ichiro Tanaka 75, male Wife No occupation Proud
P2 Hideki 31, male None Employee Hot tempered,
Nakamura introvert
P3 Hidetoshi 34, male None Employee Nervous, earnest
Kurosawa
P4 Anna Kimura 75, female Husband Homemaker Does things at her
own pace
P5 Ai Kikuchi 17, female Both parents Student Gregarious,
alarmist
P6 Akira 51, male Father Employee Sedate, aggregative
Watanabe
P7 Rinko 24, female Both parents Employee Introvert, alarmist
Takahashi and a sister
P8 Chiaki Asada 35, female Husband and Homemaker Strong sense of
two children responsibility
Table 31.2 The extracted customer requirements and relevant categories

Customer requirements Customer categories
R1: Interpersonal safety P1, P2, P3, P4, P5, P6, P7, P8
(demand for not permitting a suspicious individual to
enter the elevator)
R2: System safety P1, P2, P3, P4, P5, P6, P7, P8
R3: Comfort in the elevator P1, P2, P3, P4, P5, P6, P7, P8
R4: Convenience inside the elevator P1, P2, P3, P4, P5, P6, P7, P8
(demand for setting the maximum load the elevator
can carry)
R5: Convenience outside the elevator (demand for the P1, P2, P3, P4, P5, P6, P7, P8
elevator to come immediately to the desired floor
when the user presses the button)
R6: Elevator design P4, P5, P7
R7: Communication with other residents in the elevator P1, P4, P5, P6
residents, and then seven types of requirements were extracted as residents’

requirements. The extracted requirement items and relevant categories are shown
in Table 31.2.
The proposed method calculates the importance of the requirements for each
category by pair comparison, that is, comparison of each requirement with the other
six requirements. Table 31.3 shows the calculated importance of each requirement.
The importance of the requirements that are not owned by the resident category is
assumed to be 0, and these requirements were not considered in the pair comparison.
Therefore, only the requirements owned by a given resident category were used for
pair comparison.
Next, the priority of each category and their opinion score were calculated. In
addition to the opinion scores of each category, Table 31.4 shows the priorities and
Table 31.3 Importance of the customer requirements for each customer categories
Requirement number and its importance
Category R1 R2 R3 R4 R6 R7 R8
P1 0.141 0.037 0.068 0.382 0.169 0 0.203
P2 0.068 0.065 0.424 0.119 0.324 0 0
P3 0.049 0.041 0.240 0.155 0.515 0 0
P4 0.188 0.325 0.035 0.119 0.095 0.111 0.128
P5 0.266 0.391 0.122 0.046 0.041 0.104 0.031
P6 0.458 0.036 0.049 0.110 0.127 0 0.220
P7 0.353 0.306 0.057 0.056 0.066 0.162 0
P8 0.376 0.307 0.067 0.176 0.074 0 0
Table 31.4 Priority of each customer category and their opinion score
Category Priority (%) Degree of deviation from the mean Opinion score
P1 12:5 0.0% 0.197
P2 9:7 2.8% 0.204
P3 8:6 3.9% 0.211
P4 16:7 +4.2% 0.232
P5 13:7 +1.2% 0.265
P6 11:5 1.0% 0.269
P7 13:9 +1.4 0.274
P8 13:4 +0.9% 0.303
Table 31.5 Comparison between two types of importance for each customer requirement
Customer requirements
R1 R2 R3 R4 R5 R6 R7
Arithmetic average 0.237 0.188 0.133 0.145 0.176 0.047 0.073
After prioritizing 0.248 0.210 0.116 0.143 0.152 0.055 0.076
Table 31.6 Comparison Overall dissatisfaction Overall dissatisfaction in

between two types of overall without the priority consideration of the priorities
dissatisfaction
0.0128 0.0117
the degree of deviation of each score from the mean (12.5%). Table 31.5 compares
two types of importance for each requirement. The upper row in Table 31.5 shows
importance for each requirement calculated without the priority by using the arith-
metic mean. The lower row shows importance for each requirement weighted by the
priority. Table 31.6 compares two values: the overall dissatisfaction (S ) of resident
categories calculated without the priority and dissatisfaction in consideration of the
priority of each category.
Finally, portfolio analysis was carried out. In Fig. 31.2, the distribution of eight
resident categories is shown along with the priority (vertical axis) and the opinion
score (horizontal axis).
0.18
(b)
0.16 P4
P7 (c)
0.14 P1 P5
Priority
P8
0.12
P2 P6
0.10
(a)
0.08 P3
0.06
0.04
0.10 0.15 0.20 0.25 0.30 0.35
Opinion score
Fig. 31.2 Distribution of the customer categories
In this case study, the residents were analyzed to extract their requirements and
prioritize and quantify them. Additionally, this case study shows the distribution of
the residents’ requirements visually. From the data shown in Table 31.4, it is shown
that P4, P5, and P7 have high priorities (16.7%, 13.7%, and 13.9%, respectively). On
the other hand, the scores for P2 and P3 are very low, 9.7% and 8.6%, respectively.
Therefore, for the calculation of importance of requirements for all the residents,
the importance of requirements for P4, P5, and P7 is given high priority, and those
of P2 and P3 are given low priority. This is due to the opinions of P4, P5, and
P7 being closer to the group opinion than are the opinions of P2 and P3. In order
to minimize overall dissatisfaction of the residents, therefore, designers need to
focus on requirements of residents who are given high priority, such as P4, P5,
and P7.
From Table 31.5, which compares the importance of requirements calculated
without the priories with that weighted by the priories, it is clear that the importance
of all requirements is changed. However, the rank order of the importance of the
requirements does not change. Therefore, designers should first consider the safety
of the system. As shown in Table 31.6, overall resident dissatisfaction obtained by
considering the priorities (0.0117) is approximately 8.2% lower than that obtained
without considering the priorities (0.0128). This indicates that this method can be
used to more reasonably decide the importance of requirements for all residents by
prioritizing them.
With regard to the distribution of the resident categories shown in Fig. 31.2, the
eight categories are divided into three groups: P1–P3 (Fig.31.2(a)), P4 (Fig.31.2(b)),
and P5–P8 (Fig. 31.2(c)). The importance of R2 (system safety) is low in group
P1–P3. On the other hand, in the P5–P8 group, the importance of R1 (interpersonal
safety) is high. This indicates that the method can extract common features of the
groups.
This case study revealed that the result of portfolio analysis enables designers
to determine the target requirements that should be investigated in the service.
This method can extract the features of an actual customer by reflecting the
actual customer demands. According to the result of the customer distribution and
grading scores to the customers, this method enables designers to determine an
elevator renewal plan that minimizes overall dissatisfaction of the residents. This
strategy, namely, minimization of overall dissatisfaction, is effective in a service
design where designers cannot focus on a specific customer category such as
public services. The elevator renewal service used in this case study has such
public characteristics, since users of the elevator include a broad range of customer
categories. From the viewpoint of minimizing overall dissatisfaction, as shown in
Table 31.5, designers need to focus on customer requirements of which importance
rose after prioritizing, such as R1 and R2. In order to add more value to the elevator
renewal plan developed on the basis of these results, however, designers need to
customize the plan to meet requirements of residents who are given low priority.
From this point of view, this method provides a platform that could be offered for
all residents in the renewal plan.
2.3 Conceptual Design
2.3.1 A Method for Acquiring Various Knowledge in Function Design

In a service, functions that realize customer requirement are achieved by various
components, such as human organization and physical products. Service designers,
therefore, need to acquire various types of domain knowledge for the development
of a service function structure. In order to realize automatic and efficient knowl-
edge acquirement, a web-based database construction method is proposed (Kitai
et al. 2011). This method enables designers to acquire knowledge on the Web;
this automatically identifies design knowledge and extracts sentences with useful
information for design knowledge. As a source for design knowledge, press releases
on the Web are used. This is because press releases are highly reliable and include
design information, such as demands of customers who are targets for new products
and/or services, functions to satisfy the demands, and the mechanism for achieving
the functions.
Based on requirements in a service to be designed, this method collects a
press release that contains information about another product and/or service that
can possibly fulfill the requirements. According to the contents of the obtained
information, subsequently, designers develop functions to fulfill the requirements.
In the conceptual design, therefore, this method supports designers’ activities
to develop function structures that fulfill customer requirements obtained in the
requirement analysis.
2.3.2 Case Study: Elevator Renewal Service

In this case study, a web-based database was applied to an elevator renewal service.
Through the application of this method, new functions of the elevator renewal
service were developed by a designer responsible for the development of elevator
renewal services.
An elevator renewal service aims to improve functions of an elevator to enhance
safety, reliability, and usability. There are two major reasons that an elevator renewal
service is required (see Fig. 31.3). First, elevators deteriorate physically with use.
Required level
Pursuing social
requirements
Required level
in the completion
Physical Addressing physical
Perfomance
deterioration deterioration
Function recovery
by maintenance
Time 25 years: useful life time
Fig. 31.3 Aged-related deterioration of an elevator
In the early stage of use, maintenance repairs are possible. However, with extended
use, the frequency of failure increases. Furthermore, it is difficult for elevator
manufacturers and/or maintenance providers to keep an inventory of repair parts
for extended periods. Therefore, functional improvements with maintenance are
limited. The other reason is that social requirements for elevators change frequently
because of accidents and revised regulations. To meet such changes, it is often
necessary to install new equipment by conducting the elevator renewal.
However, at present, selling points that stimulate elevator users to conduct
the elevator renewal mostly rely on new functions of a physical product. Since
these selling points are limited, it is required for elevator manufactures and/or
maintenance providers to create new selling points that consist of functions of
physical products as well as functions of services.
In this case study, first, press releases were collected on the basis of requirements
for the elevator renewals. The press releases included the latest 12,000 articles that
were collected from six industry segments: IT, logistics, finance, manufacturing,
service, and construction. According to the requirements for the elevator renewals,
100 pertinent releases were identified to assist the designers, and then, these press
releases were made available for the designer to develop new functions of the
elevator renewal. As a result, as shown in Table 31.7, 18 new functions were
developed by the designer.
For example, as shown in Fig. 31.4, with regard to the requirement for the
elevator renewal service “guarantee the elevator’s safety,” a press release article
regarding energy saving facilities was obtained. From the contents of this article,
a new function “supply electricity by solar light to prevent users from being trapped
in an elevator in case of blackout” was developed. With regard to the requirement
“easy to understand the proposal of renewal,” as shown in Fig. 31.5, a press release
article regarding website of home manufacturer was obtained. From the contents of
this article, that is, “3D virtual experiences of room layout,” a new function “make
customers understand the design in the elevator by 3D virtual experiences” was
developed.
Table 31.7 Example of derived functions for elevator renewal service

Developed functions Overview of functions
Offer 3D virtual experiences Users understand the proposal of elevator renewal by creat-
ing the virtual elevator that represents the renewed elevator
Make a wallpaper modifiable Users enjoy to coordinate the wallpaper of an elevator by
using the film that can be easily pasted and removed
Install a display A flat display installed on the wall of an elevator shows a
short movie about beautiful landscape to make users refresh
Provide tourist information Provide video clips about tourist spots from guidebooks of
sightseeing
Provide FAQ books concerning Provide FAQ books concerning elevator renewal to facilitate
elevator renewal the discussions about an elevator renewal smoothly
Install WIMAX and offer Offer Wi-Fi to enable elevator operation staff to communi-
Wi-Fi cate with disability people in the elevator
Provide electricity by gas and Provide electricity by gas and solar heat to address the
solar heat electricity shortage from power companies
Display consumed electrical Display electrical power consumed by the elevator to stimu-
power late user to save energy consumption
Provide operation status on Provide operation status, such as electricity consumption,
Web security camera images and so forth, on the website
Use a battery of electric car Use a battery of electric car in the case of a blackout to
prevent users from being trapping in an elevator
Judge the existence of pets Judge the existence of pets to ensure pet safety
Provide advertisements of Provide advertisements of online supermarkets in an elevator
online supermarkets to enables users to get application URL from QR code
Make an elevator standby state Make an elevator standby state, for example lights-out in
door opens, to reduce energy consumption
Fig. 31.4 Example of the developed functions for “guarantee the elevator’s safety”
Fig. 31.5 Example of the developed functions “easy to understand the proposal of renewal”
The articles that contributed for the function development were 17 from the 100
pertinent releases. The 17 articles were comprised of 8 from IT, 4 from logistics,
1 from finance, 3 from manufacturing, 2 from service, and 9 from construction.
Since the web-based database contained the press release articles from various
industry segments, the designer could develop functions that included not only
functions regarding physical products but also functions regarding services, for
example, as shown in Figs. 31.4 and 31.5.
2.4 Detailed Design Phase
2.4.1 Service Improvement Design with Optimum Resource

Allocation Method
Figure 31.6 models the relationship between service improvement implementation
and customer satisfaction enhancement. This model is composed of four levels:
resources, service improvement plans, customer requirements, and customer sat-
isfaction. The implementation of service improvement plans (i.e., concrete ideas for
service improvement) by devoting resources triggers further fulfillment of customer
requirements and, eventually, the enhancement of customer satisfaction.
In customer-oriented service improvement, the purpose of improvement
activities should be the further enhancement of customer satisfaction. Mean-
while, designers also have to consider resource constraints, since the amount of
resources that can be devoted to the improvement is always limited. Therefore,
customer-oriented service improvement should be implemented to realize maxi-
mum customer satisfaction under the resource constraints that a service provider
possesses.
In this study, an approach to prioritize service improvement plans by adopting
an optimal resource allocation method is proposed to support effective service
improvement. A service provider’s limited resources are optimally allocated to
Fig. 31.6 A model of service improvement
each improvement plan for the purpose of maximizing customer satisfaction. Then,
based on the results of the allocations, the improvement plan can be quantitatively
prioritized.
Customer Satisfaction Modeling

The means-end theory (Gutman 1982), which is proposed in the service marketing
field, suggests that a consumer forms a conception of the suitability of a prod-
uct or service attributes in question (means) for fulfilling specific values (end).
A customer’s perception of satisfaction can be modeled by three elements: at-
tributes, utility expectations, and a set of values. Attributes are elements that define
the quality of a product/service. Utility expectations refer to customer requirements
or needs. Value, which is defined as an “intervening variable that leads to action
when activated (Rokeach 1973),” indicates the goal or aim of an action. This
means a customer perceives satisfaction with a product or service when both his/her
requirements and values are fulfilled.
Based on the means-end theory, this study structures a customer’s perception of
satisfaction hierarchically through four layers: service quality elements, customer
requirements, values/goals, and customer satisfaction. Figure 31.7 illustrates the
relationship between service qualities and customer satisfaction. Each element is
expressed as a node that possesses own value to represent the fulfillment. Each
node is associated with other nodes in its upper layer with arcs. The weight on
each arc represents the degree of influence a lower node has on an upper node.
These nodes, arcs, and weights are determined by customer viewpoints gathered
by conducting interviews or questionnaires. The laddering method, which is an in-
depth interviewing technique to develop an understanding of a customer’s cognitive
structure to a product/service (Reynolds and Gutman 1988), is useful to decide
linkages among nodes.
In this model, the degree of fulfillment of a customer requirement (CR) is
calculated from the value of related service qualities (SQ) and its influences
(RSQ ) ( 31.7). In the same manner, the degree of fulfillment of a value/goal (V )
is determined by CR and RCR , which represent the weight between a value/goal and
a customer requirement (31.8). Customer satisfaction is quantified by calculating
(31.9).
Customer satisfaction CS
W1 W2
Values/Goals
(e.g., earn money) V1 V2
CR
RCR
11 RCR
22 R23
Customer
requirements
CR1 CR2 CR3
(e.g., work efficiency)
SQ SQ SQ SQ
R11 R22 R23 R34
Service quality
elements SQ1 SQ2 SQ3 SQ4
(e.g., usability)
Fig. 31.7 A model of customer satisfaction
n
X
CRj D SQi RjSQi (31.7)
i D1
m
X
Vk D CRi Rkj
CR
(31.8)
j D1
o
X
CS D Vk W k (31.9)
kD1
i: the number of service qualities (i D 1; 2; 3; : : :; n)

j: the number of customer requirements (j D 1; 2; 3; : : :; m)
k: the number of vales/goals (k D 1; 2; 3; : : :; o)
Relationship Between Service Improvement Plans and Resource

Consumption
A service provider possesses internal limited resources that are consumed for
improving the service. Examples of the term “resources” are human resources,
products, facilities, information, money, and time. In this study, money and time
receive special focus, since they are essential and consumed by all activities for
improving the service.
Generally, a high use of resources, such as time and money, makes the realization
of improvement plans more likely. Meanwhile, the effect depends on the types of
resources and improvement plans. For instance, in a maintenance service, realizing
Fig. 31.8 Examples of sigmoid function. (a) Center: 0.5, Gain: 1. (b) Center: 0.8, Gain: 10
an improvement plan “Reinforcement of special skills” would require a significant

amount of time and a certain amount of monetary resources. On the other hand, less
time and money would be needed to realize an improvement plan “Replenishment
of maintenance tools.”
The sigmoid function, which is a kind of monotone-increasing function mod-
eled with two parameters, center and gain value, is empirically known to be
appropriate to represent such a variety of relationships between resource con-
sumption and realization of an improvement plan, because such relationship is
not linear but monotone increasing. Figure 31.8 shows some examples. In the
figures, the horizontal axis corresponds to the amount of resource consumption
such as time and monetary resources. The vertical axis shows the degree of
implementation of an improvement plan, which measures the level of realization
of a service improvement plan. A high gain means a quick effect on improve-
ment plan implementation, and a low gain means a slow effect. A lower center
value indicates that a smaller amount of resources is needed to begin exerting
the effect. For instance, an improvement plan with the effect of resource con-
sumption appears like a step function and can be represented with high gain
(Fig. 31.8b).
Relationship Between Customer Satisfaction Structure

and Improvement Plans
In an improvement of a service, when a service improvement plan is successfully
implemented, some service qualities would be increased. In this study, such
relationship between service improvement plans and service quality elements is
defined using a binary table, where a service provider evaluates the influence with
0, 1, 3, and 5 scales. Here, 5 means a strong influence of an improvement plan on a
service quality element, and 0 means no influence. Then, the degree of fulfillment
of a service quality (SQ) is calculated from the degree of implementation of related
improvement plans (IP), which is derived from the sigmoid functions, and its
influences (RIP ) (31.10).
p
X
SQi D IPl RiIPl (31.10)
lD1
l: the number of improvement plans (l D 1; 2; 3; : : :; p)

i: the number of service qualities (i D 1; 2; 3; : : :; n)
Improvement Plan Prioritization Using Genetic Algorithm

The important contribution of this method is to find the amount of resources devoted
to the implementation of each improvement plan for maximizing the customer
satisfaction. This is because the amount of calculated resources can be a clear
criterion in prioritizing improvement plans.
In this optimal resource allocation problem, the search space must be very large,
and the search model could be complicated, since the proposed structure contains
plural complicated functions as well as many nodes and arcs. The genetic algorithm
(GA) (Holland 1975) is a heuristic search method that mimics the process of natural
evolution. Heuristic searching is widely used to generate a solution for optimization.
A GA is effective in solving a search problem with local minimum and multimodal
search space. Therefore, a GA is suitable to the optimization problem addressed in
this study. It contains the locality because it is regarded that a strategy of intensive
investment is generally allowed in a resource allocation problem.
In this optimization, a gene, which indicates a set of design parameters, is set as
the ratio of resources to be allocated. The detailed process of the proposed method
is as follows:
1. The genes of individuals are randomly set from 0 to 1, which means the
temporary value representing the amount of resources, to all of improvement
plans.
2. The temporary values are normalized to fit resource summation.
3. The degree of implementation of an improvement plan is calculated according to
the sigmoid functions.
4. The degree of fulfillment of a service quality is calculated according to (31.10).
5. The customer satisfaction is calculated according to (31.7)–(31.9).
6. Each individual is evaluated on the basis of the calculated value of customer
satisfaction (fitness value).
7. Each individual evolves based on the customer satisfaction.
8. When the number of generations is achieved to a certain number, that is, the set
number, the calculation is terminated. Otherwise, go back to step 2.
Positioning of the Proposed Method in Service Design

The proposed method prioritizes service improvement plans, which are generated
in the conceptual design phase, by considering constraints existing in the real
world, that is, the limited resources that can be devoted to improve the service. In
addition, the information offered to designers (i.e., priority of service improvement
plans) is useful especially in the preparation of service execution. Therefore, the
proposed method can be regarded as a method to support designers in the detailed
design phase.
2.4.2 Application to a Large-Scale Facilities Maintenance Service

The proposed method was applied to an actual service, a facility construction and
maintenance service for an electronic substation, in which a utility company was
a service customer. In this case, the utility company offers a social infrastructure
service and maintains lifelines for the public as an upper-service provider. The utility
company has to operate its facilities safely. As the objective service provider, the
facility construction/maintenance company constructs and maintains the facilities
and/or equipment for the utility company (Fig. 31.9).
Nowadays, the situation and environment surrounding the utility company are
drastically changing, as described below:
• Existing large-scale facilities, including electronic substations, have to be main-
tained, since it is difficult to prepare a large space and budget to newly build such
facilities.
• The environmental burden resulted from facility operation and construction has
to be considered.
• It is becoming difficult to prevent risks and ensure safety in facility operation due
to the extreme weather.
As a result of these situations, the utility company’s requirements for maintenance
service were changing. Therefore, the maintenance service required improvement.
In this application, a structure of the customer satisfaction was firstly constructed.
Subsequently, service improvement plans were prioritized by applying the optimal
resource allocation method.
Structure of Customer Satisfaction

A structure of customer satisfaction was shown in Fig. 31.10. This figure illustrates
relationships among required service quality elements, customer requirements,
and customer values/goals. These three elements were determined by utilizing an
extraction tool (Akasaka et al. 2009) and conducting interviews.
Fig. 31.9 Large-scale facilities maintenance service

31 Advanced Japanese Service Design: From Elements to Relations
Fig. 31.10 Structure of customer satisfaction of the utility company

567
568
Table 31.8 Service improvement plans derived by interviews and its influences to service quality elements
N. Service improvement plans Resources Service quality elements
Monetary Time
High level of work techs.

Accuracy of output qualities
Reliability of actions of the org.
Swiftness of response during failures
Cheapness of eqp.
Possibility of succession of eqp.
Diversity of work techs.

Degree of skill tradition
Risk preventivensss in work
High capability on self-manag. of other comp.
Accuracy of time of a work
Accuracy of processing during failures
Cheapness of work cost
Length of life of eqp.
Low amount of waste gen.
Cent. Gain Cent. Gain

1 Warehouse manag. using IC 0.6 8 0.2 9 0.00 0.00 0.00 0.00 0.00 0.00 0.23 0.07 0.06 0.00 0.00 0.06 0.00 0.00 0.06
chips
2 Dev. of an IT system to 0.9 1 0.8 1 0.00 0.00 0.08 0.00 0.00 0.06 0.08 0.21 0.19 0.17 1.00 0.29 0.00 0.00 0.19
communicate with partners
3 Enhancement of 0.1 10 0.6 1 0.09 0.00 0.08 0.08 0.42 0.19 0.23 0.00 0.00 0.17 0.00 0.06 0.17 0.17 0.00
“Hiyari-hatto (i.e.,
potentially serious error)”
collection
Y. Shimomura et al.
4 Accumulation of knowledge 0.3 9 0.5 1 0.45 0.38 0.25 0.42 0.25 0.19 0.23 0.07 0.19 0.06 0.00 0.18 0.00 0.00 0.19
on work process and techs.
5 Evaluation and manag. of 0.2 9 0.7 1 0.45 0.63 0.25 0.42 0.25 0.19 0.23 0.21 0.00 0.17 0.00 0.06 0.00 0.00 0.06
personal skills
6 Accumulation of info. on 0.3 9 0.4 1 0.00 0.00 0.25 0.08 0.08 0.19 0.00 0.21 0.19 0.00 0.00 0.18 0.00 0.00 0.31
previous construction works
7 Dev. of a parts condition 0.7 1 0.5 1 0.00 0.00 0.08 0.00 0.00 0.00 0.00 0.00 0.06 0.17 0.00 0.18 0.83 0.83 0.19
database
8 Preparation of a special org. 0.2 9 0.2 9 0.00 0.00 0.00 0.00 0.00 0.19 0.00 0.21 0.31 0.28 0.00 0.00 0.00 0.00 0.00
structure for emergent
situation
Cent. center, tech. technique, Dev. Development, manag. management, com. company, eqp. equipment, spec. specification, org. organization, gen. generation
31 Advanced Japanese Service Design: From Elements to Relations
569
The importance of customer values/goals was obtained with the analytic hi-
erarchy process (AHP) (Saaty 1980), which quantifies the relative importance of
elements on a subjective scale by conducting a paired comparison. In addition, to
determine the weights on the other arcs, two binary tables were prepared. In each
table, the degree of association among elements was comparatively evaluated using
the numerals 1, 3, and 5, with 5 indicating a strong association.
Service Improvement Plans and Internal Resources

Interviews and discussions revealed that the service provider had ideas to improve
its service (i.e., service improvement plans), such as “warehouse management using
IC chips” and “development of IT system to communicate with partners,” as shown
in the far-left column of Table 31.8. The influence of the identified improvement
plans on the service qualities was obtained using a binary table, where a service
provider evaluated the influence with 1, 3, and 5 scales. The right side of Table 31.8
shows the results. Meanwhile, the relationships between service improvement plans
and resource consumptions are represented with sigmoid functions. The center
and gain values of each sigmoid function were set as shown in the center part of
Table 31.8. In this application, these values are defined through discussions with the
service provider.
The degree of implementation in the improvement plans was calculated as the
product of the values determined by the sigmoid functions. When the amount of
time resources invested to implement a service improvement plan is 0, the degree
of implementation of the improvement plan will be 0, even if a high amount of
monetary resources was consumed.
Other Setting
In this application, two cases were considered. In the first case, both of the amount
of time and monetary resources to be consumed in the improvement were set at 1.0,
respectively. On the other hand, in the second case, they were set at 3.0, respectively.
Here, the first case means a service improvement where a small amount of monetary
and time resources were consumed. In the second case, the provider tried to improve
his service with a large amount of both. In this application, the total amount of
resources was represented as relative values. Moreover, the settings in the GA were
designed empirically as follows:
• Possibility of crossover: 0.7, possibility of mutation: 0.01
• Number of individuals: 200, number of generations: 10,000
• One-point crossover and elite selection were applied
Results
Figures 31.11 and 31.12 illustrate the result of optimal resource allocation.
Figure 31.11 shows the results when the total amount of resources was 1.0, and
Fig. 31.12 gives results when the total was 3.0. The horizontal axis corresponds to
the list of improvement plans in Table 31.8, and the vertical axis corresponds to the
amount of resources. The left bar denotes the monetary resource, and the right bar
indicates time.
1.6
1.4 Monetary resource
Amount of resources
1.2 Time resource
1
0.8
0.6
0.4
0.2
0
1 2 3 4 5 6 7 8
Service improvement plans
Fig. 31.11 Result of resource allocation (resource amount = 1.0)
1.6
1.4 Monetary resource
Time resource
Amount of resources
1.2
0.8
0.6
0.4
0.2
0
1 2 3 4 5 6 7 8
Service improvement plans
Fig. 31.12 Result of resource allocation (resource amount = 3.0)
The result illustrated in Fig. 31.11 shows that, in a smaller-scale service

improvement, a large amount of resources was allocated to improvement plans
“Accumulation of knowledge on work process and techniques” (No. 4) and “Prepa-
ration of a special organization structure for emergent situation” (No. 8). Mean-
while, in a larger-scale service improvement, resources were allocated for im-
provement plans such as “Development of a parts condition database” (No. 7),
“Accumulation of information on previous construction works” (No. 6), “Evaluation
and management of personal skills” (No. 5), and two improvement plans tackled
in the smaller-scale improvement. On the basis of these results, service designers
could obtain the information that these improvement plans should be preferentially
addressed in the service improvement. Therefore, it can be said that the proposed
method was useful to support designers’ decisions to plan the service improvement.
3 Summary
This chapter includes a report of the activities of Service Engineering Forum, which
is an industry-academic cooperative consortium for service engineering research;
in addition, methods to support the phases of the requirements analysis, service
conceptual design, and service detailed design are introduced. The case studies
revealed that these methods support designers to conduct activities in the service
design process and to manage these activities from the viewpoint of customers.
For the requirement analysis, the group decision-making stress method was
applied to a service to analyze various customers’ demands and prioritize them in an
effective manner. In the case study, the method was applied to the elevator renewal
service for a condominium building where its residents correspond to customers.
The residents were analyzed to extract their requirements and prioritize and quantify
them. The prioritization was carried out to minimize the overall dissatisfaction
(group decision-making stress) of the residents on the basis of their original
evaluation and priority. Additionally, this case study shows the distribution of the
residents’ requirements visually. Therefore, this method can be used to prioritize
customer requirements as well as to obtain a consensus among the customers and to
decrease customer dissatisfaction.
For the service conceptual design, the web-based database construction method
is introduced, and then it was applied to the elevator renewal service. As a result,
18 new functions were developed by the designer who takes responsibilities for the
development of elevator renewal services. Requirements extracted in this case study
were categorized into four abstract requirements: “safety,” “economic efficiency,”
“comfort and convenience,” and “reliability”; the functions were developed for each
requirement category. Therefore, this method enables designers to develop functions
from the viewpoint of customers.
For the service detailed design phase, a method to support service improvement
design with an optimum resource allocation is reported as a practical method used
in the detailed design phase. Furthermore, a case study that the method was applied
to a large-scale facilities maintenance service was explained. The notable feature of
this method is that its optimization purpose is “the maximization of the customer
satisfaction.” Namely, the optimization is not based on provider’s viewpoint such
as revenue maximization or cost minimization but strongly focused on customer’s
viewpoint, that is, customer satisfaction. Therefore, it can be said that the proposed
method enables service designers to carry out the detailed design with considering
customer viewpoint.
On the other hand in future work, topics mentioned below should be considered.
With regard to designing and evaluating a service quality, designers need to consider
its uncertainties. Quality in a service is likely to be influenced by the attributes
of service elements, such as the work performance of an employee. However, the
attributes of service elements vary in response to the situation in a service. For
example, when an employee is tired, his/her work performance declines. Compared
with physical products, the attributes of service elements easily vary, since service
elements include various human elements. In order to enhance and stabilize the
service quality, therefore, designers need to extract the attributes of service elements
that influence the service quality and cope with the variability of the attributes in the
design phase.
On the other hand, since the service elements consist of various entities, such as
employees, facilities, and infrastructure, a large amount of resources is required to
prepare, execute, and maintain a service. To maximize the cost-benefit performance
of a service, new and various types of stakeholders must be involved to realize a
collaborative service.
With regard to the uncertainty, a fundamental research to analyze the uncer-
tainty of the service quality and to simulate its variability has already launched
(Tateyama et al. 2010). With regard to the maximization of the service cost-benefit
performance, on the other hand, a design methodology for the collaborative service
is proposed (Watanabe et al. 2011). Therefore, future work includes applying
these methods to practical services and then realizing more comprehensive design
support.
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Design for Sustainability (DfS): Interface
of Sustainable Production and 32
Consumption
Joachim H. Spangenberg
Abstract
Sustainable development cannot be reached by incremental improvements; it
requires a trajectory change. This implies the need to redesign not only consumer
products and production infrastructures but also our daily behavioral routines and
consumption patterns.
Design for sustainability (DfS) goes beyond the established approach of
Design for the environment (DfE) by integrating issues of social context and
human quality of life into the design brief, in addition to environmental and –
of course – functional and economic aspects. Such a redesign of consumption
patterns need not imply a diminished quality of life, if the efficiency potentials
beyond production are systematically exploited: provision, use, and satisfaction
efficiency safeguard well-being while changing the consumption trajectories.
As guidance in this process, it is useful to distinguish human needs, almost
an anthropogenic constant, from the culture dependent satisfiers chosen to
meet those needs: a sustainable choice is one which is socially as well as
environmentally benign while equally satisfying needs.
These considerations have been used to develop SCALES, an integrative
set of design principles. It embodies existing design criteria, a wide range of
previously published criteria from the design for the environment, and design
for sustainability literature. Applying such integrative sets of design criteria is
a creativity-provoking strategy which will help designers meet the challenge of
working at the interface between sustainable production and consumption.
J.H. Spangenberg
SERI Germany e.V., UFZ Helmholtz Centre for Environment Research, Cologne, Halle, Germany
e-mail: Joachim.Spangenberg@seri.de, joachim.Spangenberg@ufz.de

DOI 10.1007/978-1-4020-8939-8 63,
576 J.H. Spangenberg
1 Introduction
Never before in contemporary human memory had so many things gone wrong at
the same time: humankind has slipped into an intertwined crisis of the natural, social
and economic systems. That makes the overwhelming complexity of the crisis and
the difficulty to find adequate and workable solutions. As a result, the problems
are larger than the solutions proposed so far; a dangerous lack of imagination
prevents the recognition of risks as well as opportunities. Sustainable production and
consumption seems to be a far cry. What does that imply for the future of design?
For instance, the social reality of climate change – scientific debate, public
discourses, policy change announcements by government and business – is altering
the conditions not only for production and consumption, but also for design. Climate
change and peak oil will require revolutionary restructuring of the systems of pro-
duction and consumption and rapidly so. Thus, the challenge to production and con-
sumption patterns is not incremental improvements but a change of the trajectory, a
U-turn in the way societies have shaped and are shaping their natural environment.
This implies that humans change their expectations on how the future of living,
working, and consuming might look like – it will surely not be an extrapolation of
past trends, just richer and better. The future is no longer what is used to be. New
ideas about the future are needed (“redesigning the future”), including new ideas
about what and how to consume. Visions of future with more sustainable products,
processes, and consumption patterns are needed by business and consumers alike.
Since the nineteenth century, mass production of objects transformed design
from an art into a stakeholder coshaping the future of industrial, and later service/
knowledge, societies. Today, answering to the responsibility this implies must
include efforts to overcome designs which through their application in mass
production have generated negative social, environmental, or institutional impacts
(“mess production” by mass production). Tomorrow’s sustainable consumption and
production requires a massive redesign of consumer goods and industrial practices,
of services, and of infrastructures. Unfortunately, so far, design is not recognized
as a relevant factor in the sustainability discourse (see chapter Sustainable
Design Engineering: Design as a Key Driver in Sustainable Product and Business
Development).
The first postmodern design manifestoes referencing ecological imperatives
emerged in the 1960s (Jencks and Kropf 1997). Green and ecological design in
the late 1980s evolved into eco-design and design for the environment (DfE), with
an emphasis on eco-efficient ways of designing. By the late 1990s, the canon moved
on as design for sustainability (DfS) and gained credence. DfS comprises a wider
spectrum of objectives, adding a social, institutional, and ethical dimension to eco-
design. Design is a code of communication in product information, a function
of growing importance with the transition from an industrial to an information
society. Design for sustainability should not create false, untruthful, and misguiding
meanings nor use unsustainable means or support unsustainable ends. On the
contrary, it should provide people with tools to express their (chosen) identity in a
sustainable fashion. Doing so requires the skills to recognize, frame, restructure, and
32 Design for Sustainability (DfS) 577
solve problems by providing better alternatives. They should build on a knowledge

base in sustainability and sustainable consumption research and on proven design
methodologies but go beyond a focus on details.
It is worth stressing that DfS does not set out to “reinvent the wheel.” The
previous ecological and sustainability imperatives of the 1960s, 1970s and 1980s
are all relevant, and each movement has added value and understanding to its basic
approach. Nonetheless, DfS, “sustainable design,” or “sustainability design,” still
lingers on the outer boundaries of design education and practice. Overcoming this
situation will not be easy, but it is possible and it will pay out:
• It is necessary to expand the scope of design education and practice beyond style
and fashion, economic issues (mainstream design), and environmental concerns
(Ecodesign) to include social and institutional issues whenever possible.
• It is possible to do so in a comprehensive fashion, using a coherent, non-eclectic
approach such as the one described in the SCALES principles developed by the
DEEDS project. (DEEDS “DEsign EDucation and Sustainability” was a project
funded by the EU Leonardo program from 2006 to 2008.)
• It pays out to apply such an ambitious approach since it indicates a way toward
future-proof design, thus offering support and not representing a threat to creative
design.
1.1 The Challenge
Sustainable development does not provide an ideological blueprint for a future

society: nobody knows what the future will look like, although we are all involved
in creating it. However, according to the Brundtland Commission, sustainability
encounters a set of guiding principles and key objectives, in particular the accep-
tance of limits, and the priority for satisfying human needs (WCED 1987). If we
accept these overriding priorities and the two normative assumptions of intra- and
intergenerational distributional justice, i.e., the need for
1. Equivalent services from the environment for future generations (intergenera-
tional justice)
2. Equitable access to the world’s resources as a kind of human right to resource
use (resources as a common heritage of humankind, intragenerational justice)
we have to broaden the set of design criteria. On the environmental side, we
must not only avoid toxics (a standard condition) and enhance eco-efficiency (a
usual intention in ecodesign, see chapter Sustainable Production: Eco-efficiency of
Manufacturing Process) but need to limit and indeed to reduce, given the damages
already visible, the entropy generation stemming from the resource throughput of
the affluent economies.
As a first, directionally safe target for criterion 1, a 50% reduction of global
resource consumption has been proposed (Schmidt-Bleek 1994). Implementing the
second criterion results in a dramatic redistribution of resource use, resulting in
a reduction need of more than 9/10 (a factor 10) for both energy and material in
industrialized countries by the end of the century (Stern 2006; IPCC 2007). For
poor countries, however, this means in average, a doubling of resource availability

compared to current levels and still being within the permissible consumption limits.
Even more complex is the social challenge of sustainability: overcoming poverty
implies enhancing the access to those goods and services needed to lead a dignified
life in the respective society. This is a challenge for design, a problem to be solved.
Affordable products, accessible services, public infrastructures, and caring for the
common goods may be part of the answers to be found; they will vary with the
social context.
2 The Eco-efficiency of Production: An Established Field
The domain of production is the better understood one in terms of the innovations
needed for a transition toward sustainability (see chapter Sustainable Production:
Eco-efficiency of Manufacturing Process). For the environmental dimension, it is
well known that all along the product chain improvements are possible (and from a
sustainability point of view, necessary. The social and institutional dimensions are
usually represented by health and safety (H&S) and workers rights (job security,
co-decision, etc.) while profitability is the core of the economic dimension. It is the
profit motive, and not the desire to satisfy human needs, which drives the production
system.
Provision and production efficiency (see Fig. 32.1) are at the heart of the
environmental dimension of sustainable production (see chapter Material Flow
Cost Accounting: Significance and Practical Approach). In the most narrow sense,
eco-efficiency refers to production efficiency. It can be significantly increased by
process, product, and organizational innovations (the latter are often underestimated
but crucial) in the secondary sector. This is where increased processing efficiency,
in-house reuse and recycling, upstream product chain management, life cycle
assessment and costing are well-established ways not only to reduce resource
Consumer satistaction
Consumption efficiency = =
Resources activated
Consumer satisfaction x Services consumed x Services generated x Products produced x Physical input
Services consumed Services generated Products produced physical input Resources activated
Satisfier efficiency Supply/use efficiency Product efficiency Production Provision efficiency

efficiency
Design for Sustain- Consumption Product-Service- Eco-efficiency Ecological
ability DfS patterns Systems PSS Backpack
Fig. 32.1 Consumption efficiency disaggregated. Traditionally, a tool is considered efficient if

it effectively fulfils its task, to the satisfaction of its users, at minimum costs. On a closer look,
efficiency is the effective, durable and convenient fulfilment of functional and symbolic needs and
wants, using a maximum of human capital (ingenuity) and a minimum of natural and economic
capital. The factor analysis in Fig. 32.1 illustrates this: Physical input is measured as material
flows; products are tools made (designed, engineered, and produced) to fulfil a function; the
fulfilment of that function is the service (humans provide services mostly by using products as
service-delivery machines), and satisfaction is a subjective term, the “psychic income” (Fisher
1906) (Source: Spangenberg et al. 2010)
consumption but also to reduce expenditures and enhance competitiveness, a typical

win–win situation.
In a broader sense, the provision efficiency, reducing the amount of activated but
unused material, the “ecological backpack,” is part of eco-efficiency. As it can be
improved, for instance, by more efficient technologies, or by finding use options
for by-products so far considered waste, it is mainly in the hand of the resource
extraction industry (primary sector plus mining).
The product efficiency increases with engineering and design improvements
(eco-design) and with product service systems PSS providing not the products
as such but the services they generate. This kind of re-thinking products offers
significant improvements and thus provides new business opportunities (see chapter
Engineering PSS (Product/Service Systems) Toward Sustainability: Review of
Research).
3 Sustainable Consumption
Max-Neef et al. (1989) distinguish human needs like subsistence, protection,

affection, creation, identity, and freedom from the means by which humans satisfy
them, the satisfiers. Whereas human needs can be considered an anthropological
constant, satisfier choice varies with factors like culture, wealth, and the products on
offer. Rather obviously, many needs are best satisfied by noncommercial services,
such as care in a family or amongst friends, and not by products. However, a focus
on commercial products and services is justified in the design context as they are
the objects of professional design. Sustainable consumption is about choosing true
satisfiers, not about neglecting needs.
3.1 The Eco-efficiency of Consumption
Less frequently discussed than the efficiency of production is supply/use efficiency,

closely related to the standard of living. Even if a product is efficient in offering
its services day and night, the use efficiency can be extremely low if most of the
time the product is not used (e.g., in Germany, a car is used in average 29 min
per day; the accumulated use time of a 12 year product life is less than 3 months
(BUND/Misereor 1996)). Seen this way, it is easy to detect possibilities for improve-
ment, sociocultural rather than technical, like improving the use intensity, e.g., by
sharing instead of owning an “autostabile” (“mobile” it isn’t most of the time).
The disaggregation in Fig. 32.1 is also helpful to understand the difference
between wealth, standard of living/affluence, and well-being/quality of life
(Fig. 32.2). Since medieval ages, the term wealth is used to describe a stock of
assets sufficient to live a decent life on them: not only the volume but also the
ownership is decisive. As opposed to that, the standard of living is a more recent
term, a notion pointing at flows of services (income, rent, interest) derived from the
stocks of wealth. What counts is the access to the flows, the right to use them at
one’s own discretion, not the ownership as such. A focus on the standard of living
satisfaction services products resource

quality of life = x x x
service product resource use consumption
wealth
standard of living
quality of life
design
engineering
Fig. 32.2 Efficiencies, their contribution to quality of life, and the contribution of design. The
influence of design is stronger closer to the consumer side as it shapes not only the product
but also the consumption behavior. Engineering is crucial for the development, functionality and
efficiency of products, including the provision efficiency. Product ownership has traditionally been
considered as material wealth, whereas the standard of living refers to the services enjoyed and can
include nonmarket services. Its environmental impact is determined by the production and product
efficiency, a focus of eco-design or, more precisely, design for the environment (DfE): parts of
eco-design have developed into the sphere of design for sustainability (DfS) which particularly
addresses satisfier and the use efficiency, adding the qualitative component and with it social and
institutional criteria (Source: Spangenberg et al. 2010)
requires a consumer identity based on access to and command over services – the
insistence on ownership is then somewhat anachronistic. Today, such a shift from
ownership to access is visible, but it is far from sure that it will indeed transform
consumption behavior; such trends flourish with confidence and optimism toward
the future and tend to be undermined by social insecurity and precarization, leading
to a retraditionalization of behavioral routines in times of crises (Kraemer 2002).
Finally, a point rarely discussed in efficiency terms, is satisfier efficiency: not
products or services as such, but satisfaction is the key to quality of life (this
concept of subjective life satisfaction is the most recent one, dating back to the
second half of the twentieth century). The level of life satisfaction (equivalent
to the quality of life, the psychic income or happiness, see Veenhoven (1983)
as an early example) is dependent on a number of object functions, including
functionality, usability, synesthesic sense functions, and the symbolic functions of
a product or service (including nonmarket goods and services, such as mutuality-
based or altruistic social relations, and public goods provided for instance by the
environment). Satisfaction in general is growing with access to goods and services
which are in line with consumers’ needs and support their individual and social
identity – such products are satisfiers. Symbolic functions often play a major role
in the formation, expression and communication of the given, chosen, or aspired
identities. Status products, distinction, and identity functions are important drivers
of current consumption. So the reputation of a certain good with the relevant peer
groups plays a decisive role.
3.2 Sustainable Consumption: Consumers’ Choice?
Unfortunately, so far, sustainability policies are based on preciously little insight

on what it takes to change consumer behavior toward sustainable consumption
of (real) material and (mediated) symbolic resources (Jackson 2006; see also
chapter Sustainable Consumption). Lifestyles are shaped by context and habit,
and changes require at least three conditions to be given:
1. The personal motivation and information
2. The ability to change given the restrictions of the social context (acceptance,
image, peer group identity, etc.)
3. The opportunity, i.e., the availability of alternatives at competitive prices
Only with social desirability and opportunity can changes of demand be expected,
making satisfier efficiency with its reference to social context a crucial but underval-
ued element of the overall eco-efficiency strategies. Different social agents dominate
each of the conditions, although their spheres of influence and thus responsibility
overlap (Spangenberg and Lorek 2002). Design plays a significant role in regulating
both material and symbolic resources through “form-giving,” raising awareness,
changing perceptions of value, and integrating these elements (Wood 2006).
Unlike in economic theory, in reality, there is no absolute “consumer
sovereignty” – individual taste and preferences are formed in a social process
involving psychological, cognitive, and economic factors. Consumer research has
generated many insights concerning the intrinsic motivations and driving forces
for household consumption (see e.g., Jackson (2006), EEB (2009), Reisch and
Røpke (2004), and for a psychoanalytical analysis, Kumar and Kumar (2008)),
but much less is known regarding the institutional setting necessary for or at least
supportive to sustainable consumption of state and households.
The symbolic value of consumer goods is frequently more important for the
willingness to consume (Røpke 1999) than their initial function as “service delivery
machines.” It provides an important contribution to the subjective quality of life,
but also fuels competitive consumption (“keeping up with the Joneses”) and
private debt. The individuals and institutions that influence the meaning of symbols
potentially hold significant sway over individual consumers and organizations.
Across Europe, condition 1 is regularly covered by information campaigns, but
condition 3 is only addressed by labeling to make existing products more easily
recognizable (reducing transaction cost), not by pressuring business to provide more
affordable sustainable products (even opportunities to do so via public procurement
are rarely exploited). The biggest deficit, however, lies in the little attention paid to
criterion 2, the social acceptance and desirability.
3.2.1 Social Acceptance and Desirability

While extrinsic factors (purchasing power, time use preferences, resource endow-
ment) and social relations (respect, admiration leading to imitation, peer pressure,
fashion, family bargaining) determine the availability of consumption options, it is
intrinsic factors that shape the choice between the alternatives available. Intrinsic
factors comprise cognitive capacities, psychological factors, spontaneous emotions,

individual interests, and philosophical, moral, or ethical norms. As both overlap
(e.g., individual preferences are shaped by social norms and relations and vice
versa), no quantitative determination of the relative importance of each one for the
resulting behavior is possible; they co-evolve. Indeed, Vihma (2002) proposed a
new semantic sign, the aesthetic sign function, to indicate the umbilical connection
between emotive cognition and cognitive emotion. For instance, the need for food
is a constant, but with societal change, eating habits, time patterns, etc., have
changed rapidly, a development made possible by increasing income and available
technology. As a result, access to a refrigerator was no option in 1900, no immediate
need in the 1950s (buying fresh products from the markets was a widespread habit),
but in 2000, it was indispensible.
One key factor determining consumption decisions is the individual assessment
if existing alternatives are supporting the desire to maintain or improve self-esteem,
social status, and acceptability (Cogoy 1999). Similar criteria apply to goods not
traded on markets but exchanged with or without equivalent compensation, like
all services from unpaid work (caring and supply, housekeeping and education,
voluntary and community activities, and so on). Exposing a certain good (privately
or collectively owned or borrowed) can symbolize the membership of a certain
group (or the aspiration to be a member), support for certain ideas, and so on;
products do not create identities, but they are indispensable tools to express them
(goods as a “projection screen” for otherwise defined identities). The demand
for identity expression by means of products is one often overlooked obstacle to
replacing products ownership by Product Service Systems PSS (see chapters The
potential of PSS and Reseach on PSS). However, this need not be the case: In the
mean time, the multiple messages products can carry (about the product, user and
company) are pretty well understood (Vihma 2002; Gotzsch 2006), as is the modern
habit of holding different identities, e.g., in the web.
A specific form of distinction is the ownership and exhibition of positional or
oligarchic, mostly paid goods. The less people can afford a certain artefact at a
given time, the smaller the group of potential owners, the higher its positional value,
and the higher the incentive for all others to strive for future ownership as well.
Then the good will no longer be positional, rendering the intended positional gain
unattainable, which is subsequently promised by another good. Although positional
goods need not be monetary, tradable or material – status is a clear positional
good and time can be one – Mainwaring (2001) suspects that, as a rule of thumb,
strongly positional goods will be more environmentally damaging than weakly
positional goods, as status is most frequently advertised by exhibiting material
goods (this does not rule out the possibility that cheap mass-produced products,
due to inefficiencies and low quality resulting in a shorter lifespan, can be even
more expensive and damaging in the long run). Indeed, house, car, and dining are
status symbols, and for centuries, extremely resource intensive satisfaction of the
demands they serve has been the privilege first of aristocrats, then of the rich: power
was always demonstrated by squandering scarce resources. It is a major challenge
to DfS to design low-impact positional goods, i.e., to make consumption efficiency
a positional value.
As societies and economies change, altering the patterns of scarcity and the
relation of capital, labor, and the environment, the failure of consumers to adapt
to changing circumstances can lead to a lock-in, to sclerotic, outdated but quasi-
sacred consumption patterns. One example is the “American way of life” which
was maintained after neoliberal politics and the burst of the dot.com bubble
undermined its economic basis. Financing it with loans, mortgages, and credit
cards contributed to the high level of private debt and was one key factor for the
meltdown of the financial system in the USA. Such sclerotic consumption patterns
inhibit the adaptation of consumption to ever-changing extrinsic conditions and thus
the evolution of societies. DfS can smoothen the way out of this trap by offering
solutions which appeal to traditional habits but satisfy demands in an innovative,
more sustainable fashion.
4 Design for Sustainability
In between production and consumption are the products (including services) and
the ways they are used. The volume of annual purchases constitutes the main
component of the GDP, and household consumption is often misinterpreted as a
measure of welfare (Stiglitz et al. 2009). However, much of the expenditure is
not voluntary: Tischner (2001) estimates (for household appliances) that although
90% of the life cycle wide energy consumption takes place in the use phase, this
consumption is up to 90% determined in the design phase. Here, the decision lays in
the hands of business managers and their “useful dwarfs,” designers and engineers,
with profits, not the satisfaction of human needs, the main driver.
It is a characteristic (and an irony) of our consumer society that the command
over certain products and services from mass production has become the means
to express individualistic identities. Design and marketing are driving this process,
but all too often, it is not satisfiers but pseudo-satisfiers (or even inhibitors) which
are advertised. Design for sustainability (DfS) must offer an alternative, providing
sustainable satisfiers and improving satisfaction effectiveness.
Unlike the impression given in much of the consumption debate, not only short-
lived goods are a reason for environmental and economic concern: the accumulation
of durables is problematic as well. The mere maintenance of long-lived goods and
infrastructures requires an increasing volume of monetary and resource expendi-
tures, without providing additional welfare. They need to be cleaned, upgraded,
repaired, or renovated to continue providing the same service while acting as a
restriction to behavioral options other than those foreseen at the time of their
construction. Furthermore, stockpiling new products on top of old ones does not
enhance the efficiency; thus, as much as innovation we need “ex-novation”, ways to
get rid of outdated, unsustainable artefacts and habits.
Being aware of the need to once buy but then maintain durables in order to
continuously yield the services they provide, already in 1906 Fisher suggested
not to count the purchases as the basis for welfare estimates, but the volume of
services yielded from the products, counting as positive what is increasing well-
being (and struggling with the difficulty of quantifying the results), while purchases
and maintenance expenditure would be written off over their lifetime (Fisher 1906).
Long before the concept of GDP was developed during WW II as a means of
describing the combatants’ potentials of generating economic output, he thus offered
a kind of accounting that much resembles the current discussion on sustainable
consumption. Still his concept of “psychic income” could serve as the theoretical
backbone of a more elaborated theory of sustainable consumption.
4.1 Delimitation
In the sustainability and sustainable consumption discourses (see chapter

Sustainable Consumption), design was traditionally and still is either ignored as
a relevant factor (Miljöverndepartementet 1995; EEB 2009) or even considered
to be part of the problem rather than a possible contribution to the solution
(Packard 1958; EEA 2005). Progress has been made on other fronts: design is
increasingly recognized as a relevant factor in business competition, and eco-design
acknowledged to be a crucial element in the race for green technology/green growth
leadership (see chapters Ecodesign Strategies: A Missing Link in Ecodesign and
and Business Development). Today, Japan is trying to recapture lost ground in
energy efficiency, the US government – after the crisis – has made green technology
leadership an investment priority, and China is determined to achieve global leader-
ship in green technologies: this is one focus of the current 5-years plan (Stigsson
2009). In Europe, besides a variety of national initiatives, the EU Commission
has established technology platforms, adopted and is implementing the Europe
2020 strategy focussing on information and resource efficiency technologies, has a
resource efficiency strategy and roadmap, and issued a Communication highlighting
the contribution of eco-design.
Such developments are not to be underestimated, but they fall short of addressing
the broader sustainable development agenda, beyond eco-efficiency. The delineation
between both is often blurred, but as a rule of thumb ecodesign can be understood
as an approach dealing mainly with environmental and economic effects (and thus
with eco-efficiency) based on a life cycle assessment of cost and impacts (life
cycle assessment LCA, life cycle costing. As opposed to that, DfS is understood to
address all dimensions of sustainability, looking at larger systems of consumption
and production. Although some eco-design practitioners have long moved into the
domain of DfS and thus distinguishing design for the environment (DfE) and design
for sustainability (DfS) might be more precise, eco-design is the term used in politics
and much of the public debate and is used here in its narrow interpretation as DfE.
The resulting difference of eco-design vs. DfS is illustrated by Fig. 32.3.
Thus, design for sustainability is asking more fundamental questions, playing its
most important role in combining the effects of satisfier efficiency with the supply
and product “efficiencies.” For engineering, the focus is quite opposite, and thus
both disciplines seem to be complementary – a fact most often overlooked by the
stakeholders involved, as due to different mentalities their mutual dependency is
often not recognized.
DfS approach
Tranformational gains ÿ Technical and social innovations

through a precautionary ÿ Questions the existence of the object itself;
approach
ÿ Seeks to re-discover other methods of satisfying the
needs addressed;
ÿ Assessment of long-term and global impacts based
on the four dimensions of sustainable development
for all stages in the life cycle of a product or service.
Ecodesign approach
Incremental gains through a ÿ Technical innovations
preventive approach ÿ Seeks to re-design products or re-organise the way
the functions of a product or service can be provided;
ÿ Assesses the short and medium term environmental
and economic impacts for all stages of the life cycle
of the product or service.
Fig. 32.3 The challenge – from design for the environment to design for sustainability. Ten years
ago, the environment was considered the main challenge to the prevailing development paradigm;
social problems were taken to be under control, as well as economic challenges, at least in the
affluent countries setting a precedent for the rest of the world. Thus, environmental modernization
was seen as the solution: based on eco-design, technology improvements, and structural change
of the economy but not requiring changes in behavior, management, attitudes, and desires. This
has been used e.g., by Cucuzzella and De Coninck Cucuzzella and De Coninck (2008) to define
the dividing line between eco-design (enhancing efficiency as the core; technology as a reliable
means for success) and the more far-reaching innovation under the DfS paradigm. For reasons
of clarity, this delineation is useful, although some practitioners perceiving themselves as “eco-
designers” have since long moved into the domain of DfS (design, designers, and their methods
are dynamically evolving)
4.2 Embedding Sustainability in Design
With its overlapping design foci on all four dimensions of sustainability (see
Fig. 32.4), DfS could and should play an important role in the transition toward
sustainable production and consumption as key components of the quality of life. As
a practice and a problem solving process in which designers include considerations
and impact assessment of the four dimensions, from the process of resource mining
to the final product and its consumption (with a focus on product, use and in
particular satisfier efficiency), DfS asks fundamental questions about consumption
Fig. 32.4 The prism of sustainability. Each dimension has its own overarching normative
imperative, representing key measures to safeguard the resilience of the environmental, social,
economic, and institutional system. For the larger system, however, the interlinkages are just as
important. For the whole meta-system to function in the long run, they have to secure that none of
the four subsystems interferes with any other in a way undermining its sustained functioning
and production (Spangenberg 2009; Design Council 2006). This encompasses

the use of the most appropriate technology, materials, and production processes
to achieve zero-carbon emissions and minimal nonrenewable resource use while
paying due attention to the impacts on human well-being (mental, physical, and
emotional). In other words, DfS aims to provide real satisfiers, to achieve the human
satisfaction the consumptions process is motivated by while minimizing the negative
and maximizing the positive impacts on nature, humans, and society. For instance,
questions of product usefulness, i.e., their value as satisfiers and their supply and
use efficiency, are typical DfS challenges (regardless whether are labeled as such or
pop up as elements of Ecodesign).
The pressure, but also the opportunities, to redirect design and innovation to
work toward system change has never been as urgent, but also not as promising,
as today. However, to overcome system and individual inertia, designers have
to be motivated to become agents of change and to claim leadership in their
field. This is why the support for developing leadership skills is also part of the
SCALES principles. “Skilling up” and “unleashing creativity” are catchwords in
this context. Unfortunately so far, despite the broad discourse among the public,
experts, and decision, the design profession at large remains disengaged, if not
ignorant.
4.3 Obstacles and Opportunities
Why is this the case? The reasons are manifold. First of all, DfS broadens the
horizon and is perceived as a challenge to established practice (including hierarchies
and reputations), and rightly so. DfS requires rethinking of established practice and
the inclusion of additional criteria into the design process. It creates an additional
level of complexity and makes solutions less clear-cut and more “blurred.” The
additional challenge of DfS as compared to eco-design has been illustrated in
Fig. 32.3, demonstrating that DfS also includes taking risks (which are inevitably
linked to leapfrogging solutions, as compared to incremental improvements).
However, defensive motivations (defending habits and status) are not the only
ones. An analysis of the motivations behind the perceived obstacles has revealed
three basic suspicions which must be addressed in order to mainstream sustainability
in the design professions (Blincoe et al. 2009):
• Sustainability will not be accepted by designer’s clients (economic partners) as it
does not pay in the market (yet).
• Sustainability is value-laden and thus perfectly fine for a specific niche, but not
acceptable for the public at large, and hence for designers in general.
• Sustainability is restrictive, a barrier to creativity.
4.3.1 Opportunities
Fortunately, on closer scrutiny, all three perceptions can be proven wrong: With
broad public debates on climate issues all over European consumer societies, the
demand for personal response options, in particular in consumption, is increasing
significantly, opening the mass market to “green” and/or low-carbon products. A
multidimensional life cycle assessment covering also social and institutional aspects
as it should be usual in the framework of DfS whenever suitable can help providing
reliable decision support at a largely reduced effort for performing the assessment.
Furthermore, as sustainability is broader than environmentalism, product DfS
also responds to issues of justice and equity as illustrated in Table 32.1, which
are also prominent in any opinion poll (thus, policies promoting sustainable
consumption seem to find more support amongst consumers than among decision
makers, resulting in limited but significant voluntary actions such as the fair trade
movement). DfS could help mainstreaming such approaches.
Sustainability is indeed normative, but not ideological, (re-)presenting some
rather general ethical values (like the responsibility for distant neighbors and future
generations) on which most citizens might, but do not have to, agree. However,
although reintroducing values into science and design education contradicts the self-
perception and values of scientific/academic thinking, it brings design closer to its
end users: moral and ethics are an indispensable element of any social fabric.
Finally, hands-on experience gained by ICIS, The International Centre for
Creativity, Innovation and Sustainability in Hornbæk, Denmark, demonstrates that
substituting traditional design briefs for sustainability-oriented instructions broad-
ened the horizon of students and experts alike and led to an outburst of creativity and
Table 32.1 Design for sustainability: from functional to experiential

Objects: form and function ! beyond the object: experience, emotion, relationship,
awareness
Product ownership ! Sharing, pooling, leasing, renting
Products ! Product Service Systems PSS, services, experiences
Products ! Pay-per-use/ Pay-per-result/ Pay-per-time/ Pay-per-
experience
Products ! Dematerialized services
Buying products ! Making them
Short product lives ! Extended product lives
Sterile products ! Fertile products
Materialized products ! Intangible goods
Source: Fuad-Luke 2008
originality. DfS requires “thinking out of the box,” overcoming traditional habits,
and this is a significant creativity stimulus.
Even more challenging, this creativity stimulating function of DfS is not
restricted to designers but involves consumers as well (as indicated in Fig. 32.3).
Products are to be “fertile,” having development and adaptation potentials, involve
consumers in designing the final shape and function. DfS emphasizes ‘buy-in” over
“buy it,” psychological ownership feelings (identification) over legal and economic
ownership. While being effective satisfiers, DfS results provide choices for con-
sumers’ self-determination instead of intending to determine consumer behavior
(consumer empowerment). They offer new opportunities to express identities – and
their change over time and (social) context.
Given the current diffuse but widespread aspirations of change, being prepared
requires design not for current markets but for “conceptual markets” of the future
responding to these attitudes.
5 SCALES
For obvious reasons, there is a tension between strict rules and creative solutions.
Thus, instead of such rules, DfS is built upon normative sustainability principles
(as, e.g., the imperatives in Fig. 32.4), which in each case has to be interpreted
according to the circumstances and the agents involved.
Probably, the most comprehensive set of such principles is SCALES (Blincoe
et al. 2009); when compared with other systematiques for ecological and sustainable
design published since 1968, SCALES turned out to cover almost all of the criteria
they suggest while adding substance derived from the multidimensional perspective
it is built upon. The comparison revealed that the foci for manifestoes up to 1992
were largely around a holistic approach, awareness of system and context, and
eco-efficient production and resource use. Post-1992, more emphasis was given
to ethical responsibilities, ideas of learning together and synergy and co-creation.
The SCALES principles embraced additional focal areas – the importance of
communication and leadership, user empowerment, social aspects, and the creation
of change agents – and appear to be the most comprehensive set of guiding

principles addressing the challenge of designing for a sustainable future.
Given their integrative character, the SCALES principles (see Table 32.2) have
been suggested as a suitable basis and guidance for DfS practice and education.
They are grouped, three each, constituting a structure of themes which is rather
generic, i.e., which would apply in diverse cultural and economic contexts. The
principles themselves, however, are more specific and might thus be fitting more or
less in different contexts (the version in Table 32.2 is characterized by a balance
between vagueness and specifity and should be applicable all over the Western
world); beyond the European culture and its derivates, they may require adjustment
to the prevailing circumstances. The formulation offers a “representative diversity”
(O’Connor and Spangenberg 2008), a stand-in for the options to be selected. Some
of the principles are well known to any designer as they are part of their professional
qualification, but others are rather new. SCALES offers an inspiring but challenging
range of new approaches, derived from a multidimensional approach to sustainable
development.
SCALES is a set of 24 mutually complementary principles dealing with:
• S kills (S – nine principles D 3 3 principles)
• C reating change agents (C – three principles)
• Awareness – systemic and context (A – three principles)
• Learning together (L – three principles)
• Ethical responsibilities (E – three principles)
• S ynergy and co-creating (S – three principles).
5.1 Special Skills: The Holistic Approach
Vital for the DfS process is the context, the interrelatedness of the different levels
and aspects of the design problem and processes. It is important therefore to define
and analyse problems from multiple perspectives including the four dimensions:
economic, social, institutional, and environmental.
Special skills relate to eco-efficient and eco-effective production and resource
use, from developing technological, LCT, LCA, and cradle-to-cradle skills to be-
coming familiar with dematerialization, zero carbon concepts, new and sustainable
materials, and innovative waste issues (such as “designing high-quality waste” as the
basis for recycling and upcycling processes). Of equal importance is the integration
of efficient service provision by designing Product-Service-Systems (PSS) and
maximizing consumer satisfaction by appropriate material/dematerialized option
that expands user experience, emotion, relation, pride, self-esteem, and awareness.
Finally, special skills related to communication issues, as well as leadership, are
vital for the advancement and integration of sustainability practices in societies.
Designers have to become leaders, capable of communicating and presenting the
contexts, the considerations, and the pros and cons and working with clients,
customers, and other relevant disciplines such as engineers or economists. Making
a real impact requires understanding the context and culture of the stakeholders and
demonstrating and communicating the importance and advantages of sustainability.
Table 32.2 The SCALES principles

Special skills – holistic approach
S1 Develop new skills for recognizing, framing (looking for systemic connections) and
solving problems
S2 Define problems holistically by systems and Life Cycle Thinking (LCT), combined with
appropriate technical and social innovation
S3 Analyse problems from multiple perspectives, including the four sustainability dimen-
sions – economic, human/social, societal/institutional, and environmental – including the
full richness of the human dimensions (mental, physical, emotional, and spiritual)
Special skills – eco-efficient production and resource usage
S4 Develop LCT, LCA, and “cradle to cradle” skills, be familiar with technology know-
how and appropriate application of lightweighting (materials reduction), renewables/new
materials, extended product lives, reusability and recyclability (designing “quality waste”),
waste avoidance, energy issues, and dematerialization (moving from products to demateri-
alized services)
S5 Integrate efficient service provision in design solutions, by designing product-service
systems (PSS), products suitable for sharing and pooling, pay-per-use or -per-experience
S6 Maximize consumer satisfaction per service enjoyed by addressing human needs:
consider different material and immaterial options to do so and choose the most sustainable
one; design fertile products offering users experience, emotion, relation, pride, self-esteem,
and awareness
Special skills – communication and leadership
S7 Lead the agenda – develop leadership skills
S8 Tell engaging stories – develop presentation, narrative, and scenario-setting skills
S9 Forge new visions of enterprize – understand economic thinking without adopting it
(know the language, but do not have the mindset of business)
Creating change agents
C1 Expand your context – be aware that the sustainability context expands the design context
in thinking and practice
C2 Change perceptions – by making use of the diversity of “value-added” outcomes of DfS
C3 Set new aspirations – practice DfS approaches that provide significant, immediate,
and visible benefits to encourage consumers to aspire to a new, sustainable cultural
representation of the “good life”
Awareness – systemic and context
A1 Be aware of context and connections (people, planet, prosperity: key drivers and
timeframes)
A2 Be aware of positive and negative impacts, feedback loops, and side effects in this
context
A3 Be aware of choice and responsibility under these circumstances
Learning together
L1 Seek to work with other disciplines – practice inter- and transdisciplinary thinking and
practice
L2 Be a teacher–learner – practice mutual learning, creativity and team working understand
sharing ideas as a way to stimulate creativity
L3 Participate with your peers – practice teaching and learning through participation,
involving an extended peer community of relevant stakeholders
Ethical responsibilities
E1 Develop design that does no harm (responsible design, with integrity) but contributes to a
sustainable way of a “good life,” long term and globally, also if applied in mass production
(continued)

Ethical responsibilities
E2 Create genuine consumer empowerment – offer design that enhances personal standing
and acceptance, and thus social sustainability and encourages user involvement (consumer
empowerment)
E3 Focus on experiences not objects – develop practical, functional, and fun design that
deepens life experiences and strengthens personal and social cohesion
Synergy and co-creating
S1 Activate through participation – promote the development of teams, communities and
networks
S2 Engage in synergistic clusters of competence
S3 Practice collaboration, sharing and partnering, and the involvement of stakeholders in
the problem definition and the solution design process.
5.2 Creating Change Agents
This principle encompasses the understanding of the expanded field of design and
its processes when implementing sustainability. The designer, in particular by using
the networks he or she commands and by fully understanding and communicating
the value-added outcomes of DfS, becomes a change agent and equips the client
to become a change agent too, yielding first-mover benefits. This can be achieved
by using approaches which provide significant, immediate, and visible benefits for
the client and consumers/society through Corporate Social Responsibility (CSR),
ethical consumer behavior, cost cutting, competitive edge, waste, and energy
reduction.
5.3 Awareness: Systemic and Context
Awareness is step one in DfS. Conscious choices how to redesign concepts,

production processes, materials’ choice, energy usage, generation of waste, and end-
of-life scenarios are the first real steps a designer can take. To design in context, be
aware of connections and consequences is a precondition for providing maximum
consumer satisfaction with a minimum of negative environmental impacts (even in
mass production) and a positive balance of social effects. For this behalf, positive
and negative impacts, feedback loops, and side effects must be taken into account.
5.4 Learning Together
Sustainable design is based on co-creation, co-design, and synergistic learning.

Social innovation practiced and promoted more and more by designers is only
possible through mutual learning, team working, and inter- and transdisciplinary
thinking and practice.
Reciprocity, T&L through participation involving stakeholders, form the foun-
dation of sustainable solutions. More and more design companies engage in this
way of designing, where the designer becomes the facilitator rather than the creator
of design solutions – a challenge to design’s collaboration and communication
capabilities.
5.5 Ethical Responsibilities
An ethical design company creates design solutions that do no harm (responsible

design, with integrity) but contribute to a sustainable way of a “good life.” An
ethical design company offers design that enhances personal standing and accep-
tance and thus social sustainability and encourages user involvement (consumer
empowerment). It develops practical, functional, and fun design (experiences, not
objects).
The ethically responsible design company is no longer a figment of the imag-
ination of design visionaries but a concept which design companies will have to
decide to embark on sooner rather than later. As CSR is becoming an integral part of
company’s culture and business in general, the design company will have to follow
suit in more than wording or could loose potential clients/market.
The professional design associations have the opportunity to promote sustainable
design practice through their individual members across Europe. Indeed, there is
evidence that some are already incorporating sustainability criteria as a requirement
of membership, and it is hoped that this trend will continue to grow.
5.6 Synergy and Co-creating
The imperative is to engage in synergistic collaboration. Competence clusters are

practiced with great success by a number of companies in the EU. Partnerships,
collaboration, and sharing and including stakeholders in development of design
solutions are essential elements in the implementation of sustainability and DfS.
Therefore, it is necessary to engage the client, the suppliers, the consumers, and the
community.
SCALES offers a most comprehensive set of criteria that:

• Embraces the scope of previous criteria yet adds new ones found to be essential
when understanding DfS as a broader challenge than DfE
• Can be easily adapted and “owned” by an individual or a group, initiating a
process of learning by doing
• Can form a reference point to demonstrate how case studies embed the principles
• Allows for each principle to become the basis of a teaching module and/or an
example case study
• Provide a philosophical and practical foundation for a pluralistic approach to
developing DfS teaching and learning pedagogy and practical tools serving as a
benchmark.
6 Outlook
6.1 The Open Future of Design on the Road Toward

Sustainability
Designers have limited power, but they are responsible for what they do with the
cards they have been dealt. Acknowledging this, which are the contributions design
can offer, what is the potential of design as a concept, an ideology (i.e., a means-
ends relation), a profession? What is the specific strength of designers in the process
of rethinking problems, reinventing the present, and rebuilding the future? What are
their competencies unmatched by other professions?
Designers will not be invited to provide solutions, but – in the best of cases – to
contribute to the process: are they team players enough to engage in this challenge?
Do they work with engineers, ecologists, economists, and consumers in an extended
codesign?
This question also implies that what designers suggest has to be workable in
policy terms, not only in economic ones: can they escape the Babylonian detention
to economic thinking, the fetter of design briefs – and could they do without? Can
they change their role from useful dwarfs of marketing to collaborators in problem
solving? Which skills are needed for that, are they provided by design education and
practice? If one challenge is a general overhaul of our social and economic systems
(including taxing not the goods but the bads, or, for climate, tax what we burn, not
what we earn), what has design to say about the ways to achieve this?
Only if designers learn to formulate what they have to offer in the language of
their putative partners (beyond colleagues and clients), will they be heard, and calls
for design policies beyond the national level will be perceived as a contribution to
betterment, not only as expressions of partisan self-interest. What do designers have
to offer to improve intercultural global cooperation networks – and how does that
justify the call for a networked design policy?
Or, in the end, will design as a profession remain restricted to limited fields
of application (but more than beautifying luxury products for the rich and scrap
for the poor)? This might not even be a bad solution, provided that the skills
of designing proper solutions are infiltrating those other professions with current
deficits (including politics). Which are those skills? Creativity comes in many forms
in almost all professions, but what is specific for design? From an outsider’s point
of view, it may be two things: an artistic mode of analysis, and a dedication to
visualize results. The latter is an indispensable skill in times when new concepts and
worldviews need to be communicated (in particular if the visualization is designed
to appeal not only to designers).
Design as applied arts, combining criteria of functionality (applied) with aesthet-
ics (art) to find not only new solutions, but innovative problem definitions may be the
key strength as well as the key problem of design in collaboration with other groups
of society. It is a problem, as the way of understanding a problem (let alone defining
it) is not as systematic as in other professional cultures, often more freewheeling,
turning problems around, even dancing around them, looking at them from different
angles, drafting and dumping analyses with a kind of a gaming attitude, following
associative rather than deductive lines of thought and argumentation. Little wonder
then that they drive engineers and planners into desperation (intercultural learning
seems to be necessary on all sides). However, in particular in a time when old
explanations fail and established routines turn into dead end streets, this may
be the kind of creative unrest so urgently needed in all corners of our sclerotic
establishments.
Thus, inserting more design skills, attitudes, and thinking into policy and plan-
ning, into management and engineering may be better than condemning designers to
work in all these domains. Then the design profession might be best off by doing –
design, but design attitudes and skills should – if at all possible – spread through
other professions. Who could design such a process?
The future role of design, designers, and the design profession seems pretty
undefined. Designers should have a voice in defining it. However, they would be
well advised not to forget it is but one voice in a chorus, and what is to them a sweet
they offer may be a bitter pill to those who have to swallow it – and vice versa.
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Engineering PSS (Product/Service
Systems) Toward Sustainability: 33
Review of Research
Tomohiko Sakao
Abstract
This chapter gives a review of research on PSS (product/service system) and
its relation to environmental sustainability. The focus of this chapter is on
engineering, especially design, of PSS. It first explains why PSS gains attention
from the sustainability and business viewpoints and then moves on to what PSS
is. One definition of PSS is “a marketable set of products and services capable
of jointly fulfilling a user’s needs.” Importantly, from the engineering viewpoint,
service is beginning to be increasingly incorporated into the design space, an area
which has been traditionally dominated by physical products in manufacturing
industries.
In relation to environmental sustainability, PSS is argued to have potential for
decreasing environmental impacts in many cases. Among others, the “functional
result” type is regarded as the most promising. However, PSS is not always
environmentally superior to its reference offering based on product sales.
From the viewpoint of design, introduced are three dimensions of PSS design:
the offering, the provider, and the customer/user dimensions. In principle, any
PSS design is supposed to address at least part of all the three dimensions since
service includes the activities of customers and providers. Then, this chapter will
guide readers to the works on modeling, designing, and evaluating PSS with
emphasis on the differences to traditional product design. In sum, PSS design
is design toward value of stakeholders by utilizing various alternatives – either
product or service. This means that PSS design provides designers with new
degrees of freedom and covers an earlier phase of design that is not addressed
in design of pure physical product. The latter further implies the importance of
information to be available in design about product usage or service delivery.
T. Sakao
Environmental Technology and Management, Department of Management and Engineering,
Linköping University, Linköping, Sweden
e-mail: tomohiko.sakao@liu.se

DOI 10.1007/978-1-4020-8939-8 66,
598 T. Sakao
For modeling and design, some examples of methods for supporting PSS design
are introduced.
In the end, the author’s recognition of important industrial challenges and
research issues about PSS are described based on the experiences of the author’s
group. They are from various areas such as business model development,
marketing and sales, R&D and PSS development, (re)manufacturing, service
delivery, supply chain management, organizational and managerial topic, and
energy and material consumption.
1 Introduction
Environmental sustainability is a challenge for people on our planet. Soon, in

2012, the United Nations Conference on Sustainable Development, Rio+20, is
going to be held. Since “Our Common Future,” also known as the Brundtland
report, was published, international organizations such as the United Nations have
recognized the need to tackle this issue. As a result, the “Agenda 21” (United
Nations General Assembly 1992) was developed at the Rio Earth Summit, with
an objective “to promote patterns of consumption and production that reduce
environmental stress and will meet the basic needs of humanity.” In 1994, the
Oslo Symposium (Norwegian Minister of Environment 1994) pointed out the
necessity to link production to consumption with a working definition of sustainable
consumption which is used by many researchers and organizations including OECD
(OECD 1997, 2002). However, very few industrial activities are practiced in a
form of sustainable production linked with sustainable consumption. One of the
greatest barriers preventing producers and consumers (or customers, users) to go for
it is obviously just that producers are business organizations pursuing profits and
consumers demand based on their needs. Many of successful eco-efficient services
are regarded driven not necessarily by environmental considerations. The problem
cannot be solved unless commercial activities between the supply and demand sides
are somehow changed.
Looking at manufacturing industries in pursuing environmental sustainability,
they have traditionally in most of the cases focused on improving the performances
of their physical products without addressing their commercial activities for the last
two decades. A number of producers’ activities can be actually seen as successful
sustainable production if the supply side alone is focused. A number of methods and
tools for Ecodesign (environmentally conscious design) of physical products have
been developed. The Ecodesign manual by UNEP (UNEP 1997) is such a good
example, and there are several other good textbooks (e.g., Fiksel 1996; Abele et al.
2005). In addition, a lot of Ecodesign products are released on the market. However,
very few of those methods and tools have succeeded in addressing properly the
commercial activities, the business aspect. Consequently, ecodesigned products
are not necessarily accepted by consumers at present. The case where producers
succeed in releasing eco-products that are well accepted by consumers, in contrast,
often ends up with “more consumption of sustainable products.” So-called “win
33 Engineering PSS (Product/Service Systems) Toward Sustainability 599
(producer) – win (consumer) – win (environment)” has not been realized. Namely,
the present sustainable production in many cases does not accelerate sustainable
consumption. Producers should be more careful of their business aspect if they
pursue profitable activities through sustainable consumption.
To tackle this challenge, the concept of value is among the crucial pieces because
value is the interface between consumers and producers. Value can be defined
“what consumers (customers, users) get for what they give” according to classical
marketing literature (Zeithaml 1988). Then, what do they get? Much literature has
pointed out it is not a physical product per se but the result or performance of the
product in many cases (see, e.g., Stahel 1994). Therefore, there should be support
for companies to develop their offerings based on this idea. This type of support is,
however, a point that conventional Ecodesign methods/tools lack. What is another
weapon of manufacturers to create the result of a physical product than the product
itself? – Service. Manufacturers especially in developed countries today regard
service activities as increasingly important. Some manufacturing firms are even
shifting strategically from a “product seller” toward a “service provider.” Service
in this chapter includes operation, maintenance, repair, upgrade, take back, and
consultation. This combination of sustainability and business seems to be observed
background for how the concept product/service system (PSS) has gained high
attention for more than a decade. One definition of PSS is “a marketable set of
products and services capable of jointly fulfilling a user’s needs” (Goedkoop et al.
1999). In addition to this definition, Tukker and Tischner (Tukker and Tischner
2006) regard PSS as a value proposition, including its network and infrastructure.
What kind of discipline do PSS providers call for? A much bigger framework
is obviously needed than for Ecodesign because a business manner must be
changed ultimately. It may be impossible to tackle this problem by only one of
those disciplines such as engineering, marketing, and management. This is truly a
multidisciplinary subject. Especially, PSS design lies in a domain differing from
that of a product, and the research community has not yet established commonly
agreed methodologies. This chapter aims at guiding you to learn about this relatively
young but crucial concept of PSS in relation to sustainability from the engineering,
especially design, viewpoint.
2 Why and What of PSS
This section gives you why PSS gains attention from the business viewpoint and
then moves on to what it is. First, especially in the developed countries, the
competition with hardware manufacturers in low-wage countries is severe, and
companies find services as critical measure for value added. Another reason from the
demand side is servicification of customers’ activities, which in some cases means a
shift from customers’ owning physical products to getting access to the functionality
of products.
According to a recent “white paper” on industrial PSS (Meier et al. 2010),
“In 10 years the following statements will be relevant: Result oriented business
600 T. Sakao
models evolve as an industry standard. Complex development processes are sim-

plified by automatic [:::] configuration by Plug and Play of product and service
modules. Service will be provided globally by service supply chains based on
modularized service processes.” As implied by this future picture, a lot of research
needs to be carried out in this subject.
PSS consists of “tangible products and services designed and combined to
jointly fulfill specific customer needs” and is also a value proposition, which
includes the network and infrastructure (Tukker and Tischner 2006). There are
other closely related concepts such as industrial product-service system (IPS2 ),
integrated solutions, integrated product service offering (IPSO), and functional sales
found in not only theoretical but also practical fields in industries. In common
to those concepts, they comprise combinations of hardware and support services.
Other concepts such as service engineering and life cycle design (LCD) referring
to engineering activities on both products and services are also closely related
to PSS.
Importantly from the engineering viewpoint, service activity is beginning to be
increasingly incorporated into the design space, an area which has been traditionally
dominated by physical products in manufacturing industries (see, e.g., a classic
textbook for engineering design by Pahl and Beitz 1996). This has a great impact
on the business in such companies. Fulfilling PSS design is a complex task and may
force companies to change development process, organizational structure, and their
mind-sets along with PSS design. PSS design addresses the customer value, while
the functions of physical products and provider’s activities are measures that create
effects. The provider’s activities, such as maintenance services, are included in the
usage process, and customer evaluation is paramount. This issue is also relevant to
service industries, as they often have power to influence on the characteristics of
hardware utilized in their business offerings, and developing a good combination of
hardware and services can be a key in those cases.
3 Contribution of PSS Toward Sustainability
Through PSS, companies could attempt holistic optimization from the environmen-
tal and economic perspectives in a better way throughout the life cycle. In addition,
PSS would be more effective when products and services have been developed in
parallel and are mutually adapted to operate well together. This contrasts with the
traditional product sale, where the provider transfers control and responsibility to the
customer at the point of sales. PSS often creates close contact between the supplier
and customer, leading, for example, to offers being customized and improved to
better suit the customer. In many cases, the PSS provider retains responsibility for
the physical products in the PSS during the use phase. One example is when a client
does not own the machines installed by the supplier, but only uses them and pays for
the manufactured volumes; then, when the customer does not need them anymore,
the supplier takes back the machines. Such cases increase the provider’s interest to
Fig. 33.1 Tentative (environmental) sustainability characteristics of different PSS types (Original
source: Business Strategy and the Environment, vol. 13, (Tukker 2004) c Wiley and ERP
Environment)
ensure that the customer uses machines installed as long as possible and that any
disturbances, such as the need for repairs, are reduced. The increased responsibility
by the PSS supplier also potentially facilitates improvements identified and imple-
mented in comparison to traditional sales. This could lead to a product lifetime
extension.
You might think that PSS is automatically environmentally superior to its
reference offering based on product sales – it is not true. According to Tukker
(2004), PSS is in many types argued to have potential for decreasing environmental
impacts (see Fig. 33.1). Among others, the “functional result” type is the most
promising. On the other hand, the “product lease” type can be worse, because the
fact that the user does not own a product could even lead to negative effects, such
as a careless use, shortening its useful life span. Thus far, the relation between PSS
types and their influence on environmental impact has not been analyzed thoroughly,
though some works have been initiated (Lingegård et al. 2011).
4 Three Dimensions of PSS Design
Approaches to PSS design involve changes in the traditional design procedures,

delivering processes, and engineer mind-sets. Therefore, it has a lot of influence
on a provider. Introduced here are three dimensions of PSS design: the offering,
the provider, and the customer/user dimensions based on (Sakao et al. 2009c) as
depicted by Fig. 33.2. The first one refers to both “product” and “service” elements
of PSS. In addition, the other two, that is, the provider and the receiver, are
indispensable to address PSS.
602 T. Sakao
Fig. 33.2 The three dimensions of PSS design (Original source: J. Manufacturing Technology
Management, Emerald, vol. 20, 2009 (Sakao et al. 2009c))
The offering dimension addresses the elements and activities in the life cycle.
It includes the lives of physical products that are part of the PSS, as well as service
activities. Successful design of PSS depends on a thorough understanding of the
solution life cycle and active design of beneficial linkages with the heterogeneous
systems involved.
The provider dimension addresses the evolution of product/service providers’
organizations and operations. This covers such issues as the setup of development
projects, organizational streamlining of the company for service delivery, and the
identification of partnerships needed for successful operation of services.
The customer/user dimension addresses the evolving needs of service receivers.
It is crucial for the provider of services and products to anticipate receivers’ reaction
to new offerings.
In principle, any PSS design is supposed to address at least part of all three
dimensions, since service includes the activities of customers and providers, and
because products are included. This characteristic of service is represented by the
term “co-creation.” As such, the three dimensions are fundamental to PSS design.
In addition, anticipating and utilizing the dynamics along each dimension is crucial.
This implies that the essence of PSS design, especially when compared to traditional
engineering design, lies in the utilization of the dynamics of and between offer,
provider, and customer. Figure 33.2 illustrates the links of some of the research
topics to the three dimensions.
5 Designing PSS: What Is Different to Product Design?
Thus far, there has been relatively more work on PSS with the analytical approach
(see mostly analytical and not synthetic approaches in, e.g., Mont and Tukker 2006).
For instance, researchers in the EU-funded Suspronet project (Tukker and Tischner
2006) have contributed extensively to PSS research: They mainly take an analytical
view, which is indicated by their result of analysis in Fig. 33.1 (Tukker 2004). On
the other hand, the engineering approach on PSS is relatively new. The rest of
this section will guide you to the works on modeling, designing, and evaluating
PSS. Note that the first two, that is, modeling and designing, are basic targets of
engineering activities.
5.1 Modeling PSS
There are different approaches to modeling PSS. Two modeling methods are intro-
duced here from suggestion by the International PSS Design Research Community
(Web site). One of them especially allows designers to evaluate an intermediate
solution mathematically during PSS design (Sakao et al. 2009d) based on the QFD
(Quality Function Deployment (Akao 1990)) technique. This method models ser-
vices as service receivers’ transition of status, called the “receiver state parameter.”
Importantly, providing a product is also modeled as a service by this method and,
therefore, so is providing PSS. Then, it further allows a designer to model why
the state transition has value, concerned actors (provider and receiver), and how to
provide the value as shown in Table 33.1. Here, a service is defined as an activity
that a provider causes, usually with consideration (i.e., commercial transactions),
in which a receiver changes from an existing state to a new state that the receiver
desires in which contents and a channel are the means to realize the state change
(based on Tomiyama 2001). Service contents are provided by a service provider
and delivered through a service channel. Physical products and service activities
are either the service contents or the service channel. This provides designers with
a flexible modeling scheme by beginning with a receiver’s state transition so that
PSS can be modeled as well. Using this model, a computerized tool named Service
Explorer is also developed.
The other approach is called PSS Layer Method (Müller et al. 2009). This
aims at providing a framework to describe a PSS and is partly motivated by
the need to establish a common set of terminologies for PSS. This motivation
is linked to standardization on PSS design: For instance, the German DIN PAS
1094 (Public Available Specification) about hybrid value creation has been set
up by German researchers and has been released (DIN working group 2009).
PSS Layer Method assumes that nine dimensions can be defined that cover
most of the important PSS aspects – (1) customer need, (2) customer value, (3)
deliverables, (4) life cycle activities, (5) actors, (6) core products, (7) periphery,
(8) contract, and (9) revenue. These dimensions have relations to each other:
604 T. Sakao
Table 33.1 Information modeled by the method (Based on: Computer-Aided Design, Elsevier,
vol. 41, 2009 (Sakao et al. 2009d))
Information Modeling scheme
What Provided value/cost Receiver state parameter
Why Reasons for value to be Scenario model
effective • State transition of a service receiver
• Persona model of a service receiver
Who Provider and receiver Flow/scope model
How Measures to provide value View model
• Functions of physical products and service
activities
• Physical products and service personnel as
entities
Customer needs (dim. 1) are satisfied by customer value (dim. 2), which a customer
perceives. Such value is generated by deliverables (dim. 3) for a customer. The
deliverables are results of delivery processes, that is, life cycle activities (dim. 4).
To implement a life cycle activity, chain resources are needed. Actors (dim. 5),
core products (dim. 6), and periphery (like IT infrastructure or public transport
systems) (dim. 7) are such resources. Contracts (dim. 8) frame the entire value
creation process, including billing (dim. 9), offerings, and finally the entire business
model. This is a simple manner especially for multidisciplinary team members,
who have different focuses, to share the information of a PSS and discuss it during
design.
5.2 Designing PSS
PSS designed is design toward value of stakeholders by utilizing various alternatives

– either product or service. This means that PSS design provides designers with
new degrees of freedom and covers an earlier phase of design that is not addressed
in design of pure physical product. The latter further implies the importance of
information to be available in design about product usage or service delivery.
To design a PSS, a new method is required to support those who engineer a PSS
effectively and efficiently. Note that a method to support physical product design
is not suitable, because of the wider range of parameters to be designed and the
multidiscipline of PSS design.
Figure 33.3 compares a present Ecodesign of service (i.e., PSS design) that is
wished to be realized with a typical Ecodesign of product. A typical Ecodesign of
products (a) targets the environmental burden while fulfilling a requested function
of a physical product without changing the provider’s process during the usage
phase. The consumers’ behaviors are not the main focus. On the contrary, a present
Ecodesign of service (b) targets the “state changes” of a consumer (or customer,
user) while the functions of physical products and provider’s activities are media.
For instance, consider a customer (or consumer) who wants to get meat for food.
material prod. production product usage reuse recycle
function
producer’s world
a typical ecodesign of product
b consumer’s world
consumer's consumer's
action
previous state following state
material prod. production product usage reuse recycle
function
producer’s world
the presented ecodesign of service
Legend
shaping colouring : product/function relation

: information flow
: process : untouched by designers
: physical flow
: object : required for designers to fulfil
: state : determined by designers : state transition
Fig. 33.3 Differences between a typical Ecodesign of product and of PSS. (a) A typical ecodesign
of product. (b) The presented ecodesign of service (Original source: J. Cleaner Production,
Elsevier, vol. 15, 2007 (Sakao and Shimomura 2007)). Note: “service” in this figure means PSS.
The product function is realized during usage but is drawn on this figure with simplicity
This state change (from not having meat) can be realized by meat delivery service
just on time or by keeping meat purchased from a supermarket in a freezer. A typical
Ecodesign of products tends to focus on the function of a freezer (i.e., product)
without exploring other possibilities of services such as delivery service.
Figure 33.4 compares the phases for PSS design supported by existing CAD for
products and by CAD required for PSS, so as to show PSS design is different from
traditional product design. The two steps in the last half of this design flow are
relatively well covered by existing CAD. However, the first two steps, for analyzing
customers and then identifying functions, are insufficient. Existing CAD systems
can only cover a part of the second step (e.g., QFD (Quality Function Deployment)).
Virtually no CAD system supports design with targeting value by means of functions
of products or service activities. In addition, the first step for identifying value
through customer analysis is not covered either.
606 T. Sakao
Customer Segment
Conceptual Design in SPE
Analyzing Customers
Value Required Service CAD

Existing CAD systems for Systems
Functions of Products Functional Design
Functions
Embodiment Design
Existing CAD systems for
Physical Characteristics of Structure
Products
Detailed Design
Product
Flow of Service Design
Fig. 33.4 Different stages for PSS design (Original source: Computer-Aided Design, Elsevier,
vol. 41, 2009 (Sakao et al. 2009d)). Note: SPE stands for service/product engineering, meaning
engineering of PSS. “Service” in this figure means PSS
5.3 Methods for Supporting Design of PSS
This part introduces some examples of methods for supporting PSS design. An
example addressing development issues is a methodology for product-service
systems (MEPSS) for companies to develop and implement a successful and
sustainable PSS (van Halen et al. 2005). MEPSS is a procedure for analyzing the
company systems, based on workshop sessions and supported by various tools.
Thus, it represents a strong practical approach to PSS development.
Two more methods are introduced here also from the International PSS Design
Research Community (Web site). One method is a structured and comprehensive
PSS design method now called SPIPS (toward solution provider – through integrated
product and service development) (Sakao et al. 2009a). The method addresses both
service activities and physical products as measures creating value for different
stakeholders and adopts a design-object model which represents critical concepts
such as value, costs (sacrifice), functions either of products or of service activities,
and entities introduced above (Sakao et al. 2009d). SPIPS realizes the idea men-
tioned above, new degrees of freedom for designers and an earlier phase of design
addressed. SPIPS has been validated with some empirical results obtained from
designing a PSS with companies – from both manufacturing industry and service
industry. It is at present being implemented at a large manufacturer of investment
machines.
As depicted in Fig. 33.5, SPIPS consists of seven steps (from 0 to 6), so that they
fit well with the information assets of a given company. If customers’ requirements
0. Qualitative analysis 1. Customer segmentation

of customers
Customer segments
Information
of customer 2. Extracting customer value/costs
value/costs
Customer value/costs
Importance/
3. Quantitative analysis satisfaction
of value/costs
Opportunities
Information of
Customers
services
4. Translation to design parameters
Information of
products
Design focuses
Company/supplier
employees Existing services
5. Brain storming
in other fields
Possible solutions
6. Investigation of economy
Feasible solutions
Legend
Input to Step
Step
Output from Step
Fig. 33.5 Procedure of SPIPS (Original source: Int. J. Internet Manufacturing and Services,
vol. 2, 2009. dx.doi.org/10.1504/IJSTM.2009.022379 c Inderscience Enterprises Ltd. (Sakao
et al. 2009a))
on their value and costs already exist, Step 0 will be omitted. Step 3 adopts the
method to identify opportunities by Ulwick (2002), while Step 4 utilizes a method
to evaluate intermediate solutions by Arai and Shimomura (2005) as is explained
below. Step 4, named “translation to design parameters,” is among the core steps.
It uses the information from customers and specialists from the provider’s side.
The former information is represented by quantitative importance/satisfaction on the
given customer value/cost and can be collected by a simple questionnaire. The latter
is either about services or products provided by the company and can be gathered
using matrices similar to those used in QFD.
Once the design focuses are obtained from Step 4, brainstorming with employees
with specific knowledge and responsibility will be held as Step 5. This is followed
by Step 6, which is investigation of economic feasibility of possible solutions
generated from Step 5. Finally, feasible solutions are produced. Since some steps,
especially Steps 1, 5, and 6, are quite familiar to companies in general, the new
essence of these working steps exists in Steps 2, 3, and, particularly, 4. Thus, these
steps have proper contrivance; while they are familiar to widespread ways of
working in companies in general, they are adapted to addressing PSS.
608 T. Sakao
Fig. 33.6 Illustration of potential areas for providing services (Original source: Int. J. Services
Technology and Management, vol. 11, 2009. dx.doi.org/10.1504/IJSTM.2009.022379 c Inder-
science Enterprises Ltd. (Panshef et al. 2009))
Other methods are available to support PSS design (see, e.g., Sakao and
Lindahl 2009b; it provides methods from different disciplines such as engineering,
marketing, and innovation), one of which aims at identifying user activities and
reveals business opportunities for new services (Panshef et al. 2009). This method
has been applied to PSS design with companies successfully. Figure 33.6 depicts
the adopted profile, representing a structured view of the targets (x-axis: where),
resources (y-axis: who), and contents (z-axis: what) of the service activities.
As a way of using this profile, a 2D profile named taxonomy table is derived,
as shown Fig. 33.7 in a case for print production processes: prepress, press, post-
press, and logistics. The 2D profile allows designers to explore the consequences
resulting from uncertainty during the user process and enables the improvement of
existing service content (even removing the current service content and provider)
by recognizing and understanding the less significant service capability. On the
y-axis, all the possible levels of service escalation are derived. In this example,
three escalation fields have been defined: the user’s own resources; secondly, the
resources of the device manufacturer or the local service provider; and thirdly, the
resources of other service providers. In this case, a high concentration of the reactive
services was observed for the areas of press and post-press, and thus a new business
opportunity can be identified by the design of new service contents with focus on
the prepress area. For instance, in order to improve the reactive service contents in
the area of prepress, new service contents for “data handling” can be created and
provided by the “Central Service Network of the Manufacturer.”
33 Engineering PSS (Product/Service Systems) Toward Sustainability
Fig. 33.7 “Taxonomy table for value-chain-oriented service development” of the sub-model for print production, “reactive (Tier I)” (Original source: Int.
J. Services Technology and Management, vol. 11, 2009. dx.doi.org/10.1504/IJSTM.2009.022379 c Inderscience Enterprises Ltd. (Panshef et al. 2009))
609
610 T. Sakao
6 Evaluating PSS
Thus far, more research addresses PSS modeling and PSS design, while very little
addresses evaluation of PSS potential or consequences. This implies that there exist
research opportunities for this topic. In PSS research in general, the environmental
potential of PSS has been among the largest concerns. Furthermore, the potential of
not only environmental but also economic aspects is still a hot research issue. Social
effects of PSS are not researched intensively, so far.
7 Other Issues
Other than design which has been overviewed in this chapter, two issues related to
engineering are organizational structure and mindset (Sakao et al. 2009c).
7.1 Organizational Structure
The organizational structure also needs to change in a company. More specifically,

how to organize the company according to the services offered is one area
where more research can be performed. Part of this is the competence profile of
the company, which needs to shift when moving into services (for example,
more service technicians or more business and service developers would likely
be needed). A logistic system and a remanufacturing system may also need to be
developed.
7.2 Mind-set
Companies need to undergo major changes in their mind-set. Companies that have
a strong culture and pride in their products also have to build trust, and their
employees need to believe in their services. Services also need to have a high status
and be incorporated into the company. The importance of mindset and how it can be
built up in line with new company values will be an interesting research area.
8 Summary
As an ending, this section describes the recognition of important industrial chal-

lenges and research issues about PSS by the author’s group: Linköping University’s
Center for Service Research in Manufacturing Industry (ManuServ) based on
its own experiences (Sakao et al. 2011). ManuServ’s goal is advancing service
knowledge acquisition and exploitation, thereby increasing the competitiveness of
manufacturing firms. Integration of services with products is among the most crucial
issues in ManuServ, where PSS is naturally a central topic.
The following is a list of topics and challenges:
1. Business model development: Identification and implementation of service-
based business model, structuring development process, building relationships
with customers, adapting to changing customer needs, and new mindset
2. Marketing and sales: Pricing of PSS, value visualization, top management
commitment, appropriate incentive system, and appropriate KPI used
3. R&D and PSS development: Service development, integrated development of
PSS, integration of PSS development and customer value management, and
evaluating R&D projects toward customer value
4. (Re)manufacturing: Adapting to return items with various types of uncertainty,
setting up remanufacturing, and setting up fleet management
5. Service delivery: Building service delivery organization with new competencies,
handling profit/cost center, building up service network, and lack of internal data
management
6. Supply chain management: Establishing reverse logistics to use return items
(return network, connection to forward network, and sorting) and balancing
returns and demands for them
7. Organizational and managerial topic: Understanding organizational changes
needed, increasing cooperation between service and product organizations,
reframing of the firm’s purpose, what to outsource, and working in an internal/
external network
8. Energy and material consumption: How to integrate/promote energy services and
product need modification for material efficiency
These challenges and research issues highlight the importance of the holistic view
to avoid local optimization within a firm or a group of companies within the same
value chain. In order to deal with one challenge, several other interdependent ones
frequently need to be coped with. For example, organizational and managerial
challenges often need to be overcome in order to succeed with new marketing and
sales practices, supply chain management, PSS and business model development,
etc. Likewise, PSS development and design processes and routines, marketing and
sales metrics, etc. may need to be revised in order to successfully implement
organizational changes. In other words, changes in one will affect the other, and
it ought to be possible to balance different parameters from different areas between
them. A PSS company cannot simply focus on one area to be successful – they need
to balance and modify parameters from all the described areas. The author’s group
believes that PSS research would be more successful with a more integrated and
holistic approach.
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Eco-business Planning: Idea Generation
Method 34
Shinsuke Kondoh and Hitoshi Komoto
Abstract
From the point of view of sustainability as well as an economic perspective,
business planning, monitoring, evaluation, and communication with customers
and a wide variety of other stakeholders are becoming more and more important.
In this context, a growing number of methods and tools for sustainable product
and business design are proposed. Examples include design for environment
(DfE), product service system (PSS), industrial product service system (IPSS),
servicizing, function selling, service engineering, life cycle assessment (LCA),
and life cycle simulation (LCS) methods.
However, it is often difficult to determine business activities that actually
contribute to or harm the sustainability of the earth due to complexity of the
cause-effect chains observed in business activities among stakeholders. Rebound
effects typically show such indirect causality; for instance, the development of
fuel-efficient vehicles may contribute to the reduction of energy consumption
from a systemic perspective. However, the development sometimes increases
energy consumption, because users of these vehicles may be less aware of
the environmental loads of driving activities and drive more in consequence.
Furthermore, governmental subsidies that stimulate the market introduction of
these vehicles may result in the purchasing power of the potential owners in a
long term.
In such a case, it is crucial to configure the business economically and
environmentally feasible in a long term by introducing new activities (e.g.,
introduction of a user incentive scheme regarding the reduction of energy
consumption) accompanied with energy-efficient technologies. Consideration
of such direct and indirect influences of the development of energy-efficient
S. Kondoh () H. Komoto

e-mail: kondou-shinsuke@aist.go.jp; h.komoto@aist.go.jp

DOI 10.1007/978-1-4020-8939-8 61,
616 S. Kondoh and H. Komoto
technology on business activities in multiple time scales, and vice versa, is

indispensable for idea generation of eco-business.
Although LCS and LCA can analyze both direct and indirect influences of
business activities in a long term if they are appropriately represented in the
numerical models, they are not sufficient for idea generation of eco-business. To
support the idea generation of eco-business, study on modeling methods dealing
with indirect causalities in a systematic and comprehensive manner is inevitable.
Collection of a variety of cause-effect patterns observed in the existing eco-
business cases and utilization of these patterns at the idea generation process
is a basis of such study.
The objective of this chapter is to propose an idea generation method for
eco-business planning that handles complex relations among business activities
among stakeholders from multiple time scales. Firstly, cause-effect patterns in a
successful eco-business models and cases, including IPSS and function selling,
are identified and formulated into cause-effect pattern library focusing on the
gaps between the condition of each successful case and those of conventional
businesses. Causal-loop diagram (CLD), which is a kind of system dynamics
tool, is utilized to describe the gaps. Then, using information contained in
the library, an idea generation procedure of eco-business is illustrated with
a simplified “EcoFleet” business. Finally, future development needs of the
proposed method are also discussed.
This chapter is prepared for all business planners and product designers who
wish to make their product and service more environmentally friendly. Any
specific knowledge in engineering design are not necessary to read through this
chapter.
1 Introduction
Sustainable development (SD) has become a critical issue due to growing concern
about environmental problems in recent years, and firms are obliged to justify their
presence in society more than ever before (Karl-Henrik 2000). In this context, a
number of methods and tools for sustainable product and business design (Umeda
et al. 2009; Meier et al. 2010; Kobayashi and Kumazawa 2005; UNEP 1997; Umeda
et al. 2000; Wimmer et al. 2004; Hauschild et al. 1999; Lindahl and Olundh 2001)
are being proposed.
However, it is often difficult to determine business activities that actually
contribute to (or harm) the sustainability of the earth due to the highly complex
nature of the environmental and economic systems of society. As shown in the
abstract, rebound effects are typical examples showing such complexity. In order
to handle such complexity in a systematic and comprehensive manner in designing
eco-businesses, business planners (and product designers) need to explicitly deal
with cause-effect chains in the businesses and consider indirect influences as well
as direct ones in their decision-making and communication processes. To support
34 Eco-business Planning: Idea Generation Method 617
such upstream thinking, collecting a wide variety of cause-effect chains based on

existing eco-business cases holds considerable promise.
This chapter proposes an idea generation method for eco-business planning
by using a cause-effect pattern library. Firstly, cause-effect patterns in various
successful eco-businesses, including Industrial Product Service Systems (Meier
et al. 2010), are identified and formulated into a cause-effect pattern library. Then,
the library is used by business planners (and product designers) to generate practical
eco-business ideas in the planning procedure. For the illustration of the procedure,
the chapter provides readers with a simplified example of “EcoFleet” business.
This chapter first gives a brief summary of eco-business and discusses its
prerequisites and characterizes its ideal state using a causal-loop diagram (CLD)
(Sterman 2000). Then, the chapter classifies the gaps between ideal eco-business
(IEB) and conventional ones into five categories and explains the construction of a
cause-effect pattern library focusing on the gaps. Finally, the chapter proposes an
idea generation method for eco-businesses using the library and discusses future
necessary developments.
2 Eco-Business in Industry
Eco-business is regarded as the business that directly or indirectly reduces envi-

ronmental loads of society while maintaining the benefits of companies and users.
Examples include product (e.g., car and loading space) sharing, reuse and recycling
of components and materials (e.g., closed loop manufacturing of photocopiers and
single-use cameras) and remarketing of secondhand products (e.g., home electric
appliances).
In car-sharing business, a car club provides its members (generally, on a local
basis) with access to vehicles. In this business the driving costs of each member
become less than the car ownership costs especially in congested urban areas with
very high driving and parking costs. From the viewpoint of society, this business
potentially reduces the number of consumer cars and their resulting environmental
load. In addition, some car clubs use electric vehicles of which mileage is better
than that of conventional vehicles. Thus, car sharing can reduce the environmental
load of society while maintaining the benefit of a car club and its users.
Sharing of underutilized loading space of trucks in return trips is also a promising
eco-business, because it decreases both environmental loads and transportation
costs. Ecologicom (2012), which is a loading space exchange service via the
internet, is a typical example of the business. By joining the service, users (both
businesses and consumers) can significantly reduce their transportation costs and
environmental loads.
Reuse and recycling of post-use products, components, and materials sometimes
play an important role in reduction of environmental impacts. The closed loop
manufacturing of products such as photocopiers and single-use cameras which
effectively utilizes the post-use components and materials to make new products
is a promising eco-business because it can significantly reduce the costs and

environmental loads at the production stage without deteriorating the quality of new
products.
Remarketing of waste home appliances can be regarded as an eco-business to
some extent. In Japan, it is necessary for consumers to pay recycling fees when
discarding TVs, air conditioners, refrigerators, washing machines, and personal
computers. Therefore, the secondhand use of waste home appliances is beneficial
for their first and second users (sometimes in developing countries); the former can
reduce discarding costs, and the latter can obtain home appliances at low cost. The
secondhand use of waste home appliances has some potential to reduce environ-
mental loads by extending their life span. However, the business sometimes hinders
the diffusion of more energy-efficient and environmentally conscious products. In
addition, when they are exported to developing countries, their improper treatment
causes significant environmental pollution in destination countries (Puckett et al.
2002). Thus, consideration of indirect influences of secondhand use is crucial for
the assessment of the business from environmental and economic perspectives.
3 Idea Generation Method for Eco-Business
3.1 Causal-Loop Diagram (CLD)
In order to represent complex cause-effect chains among the activities in a business,

this chapter introduces a causal-loop diagram (CLD). A CLD is a kind of system
dynamics (SD) (Sterman 2000) tool. The idea behind SD is that every action triggers
a reaction. This reaction is called feedback, and the behavior of a system is expressed
by a set of circles of causality. This set of circles is called a causal-loop diagram
(CLD). CLDs contain two types of feedback, namely, (1) reinforcing feedback (R)
and (2) balancing feedback (B). Reinforcing feedback accelerates the existing trend
of a process. In contrast, balancing feedback counteracts and opposes the change.
Figure 34.1 shows examples of CLDs. The arrows indicate causal relationships.
The C or sign at the arrowhead indicates whether the effect relates positively or
negatively to the cause, i.e., whether an increase in the cause leads an increase or
decrease in the result. Dotted arrows represent delays in the processes. As shown on
the left in Fig. 34.1, if a firm lowers its price to gain market share, its competitors
also lower their prices and force the firm to lower its price again. Thus, the price
becomes much lower. This is an example of the reinforcing feedback. As shown on
the right in Fig. 34.1, the higher the price of a commodity becomes, the lower the
demand becomes and the more the stock increases. This leads to pressure to lower
the price of the commodity and the price will fall. This is an example of balancing
feedback. In some cases, a feedback or reaction does not occur immediately, so
delays in processes should also be identified. Note that the loop with even number
of negative links (as shown in the left of Fig. 34.1) and the one with odd number
of negative links (as shown in the right of Fig. 34.1) are a reinforcing loop and a
balancing loop, respectively.
a b
−
B’s share − A’s price
+
A’s share
B’s price
−
− Stock of A
R B
A’s price
B’s share −
+
−
Demand for A
A’s share −
+
Positive influence
− Negative influence
Delayed influence
Fig. 34.1 Examples of CLD (a) Reinforcing feedback (b) Balancing feedback (Modified from
Kondoh and Mishima (2011))
3.2 Representation of and Prerequisites for Eco-Business
3.2.1 CLD of Eco-Businesses

Since all businesses are driven by profit, causality among business activity, user
value (UV), and profit should first be considered. In addition, the analysis of 130
Japanese eco-businesses (Kondoh et al. 2006) has identified four kinds of UV:
(1) improvement of service quality, (2) reduction of user’s cost, (3) avoidance of
user’s risks, and (4) improvement in user’s eco-image from society and market.
Therefore, causality among business activity, UV, profit, life cycle environmental
load (LCE), and life cycle cost (LCC) should be taken into account in the process
of planning eco-businesses.
There exist 20 possible causal links (i.e., a complete graph with five nodes)
among these nodes. This chapter especially focuses on the following seven causal
links: CAE , between business activity and LCE; CEP , between LCE and profit; CAC ,
between business activity and LCC; CCP , between LCC and profit; CAV , between
business activity and user value; CVP , between user value and profit; and CPA ,
between profit and business activity, as shown in the middle part of Fig. 34.2,
because an eco-business can be driven by the reduction in LCC and LCE, as well
as the improvement in UV. These links can form three feedback loops of business
activity: LAEP , consisting of CAE , CEP , and CPA ; and LACP , consisting of CAC , CCP ,
and CPA ; LAVP , consisting of CAV , CVP , and CPA . Each can be either a reinforcing or
a balancing (immediate or delayed) feedback loop.
3.2.2 Requirements and Ideal Causality Configuration of

Eco-Businesses
Theoretically, there exist 37 causality configuration patterns because there are
three possibilities, no influence, positive influence, and negative influence, for each
causal link. In practice, however, the numbers of configuration patterns describing
conventional businesses and eco-businesses are much smaller.
The requirement for the success of a conventional business is to form a
reinforcing feedback loop including business activity, UV, and profit (i.e., LAVP ) as
shown in the upper part of Fig. 34.2, because a conventional business does not care
about LCE and LCC of society. As UV, it provides increases through its business
activity, profit and investment in business activity generally increase; thus, CAV , CVP ,
and CPA are positive influences.
a CVP
+ User Value +
LAVP Profit
CAV R
Business activity
+ CPA
CLD of a conventional business
b LAEP Lall
CEP
LCE LACP R
CCP
− LCC − or 0
LAVP − or 0
+, −, or 0 User Value
+
+
CAC CAV CVP Profit
CAE
Business activity
+ CPA
CLD of an eco-business
c LAEP
CEP Lall
LCE R LACP C
−
CP
LAVP R
− −
LCC
R User Value +
−
CAE CAC CAV + CVP Profit
Business activity R
+ CPA
CLD of an ideal eco-business (IEB)

− or 0 + Positive influence
Negative or no influence
+, −, or 0 Positive, negative or no
− Negative influence
influence
Fig. 34.2 CLD for an eco-business (a) CLD of a conventional business (b) CLD of an eco-
business (c) CLD of an ideal eco-business (IEB) (Modified from Kondoh and Mishima (2011))
Since eco-businesses are defined as businesses that, directly or indirectly, lead to

a reduction in environmental load through their business activities, their causality
configuration patterns are identified as follows: First, the overall causality trend Lall ,
which is the resultant of LAEP , LACP , and LAVP , should form a reinforcing feedback
loop to accelerate the business activity, even though LACP is balancing feedback
loop. Second, CAE (i.e., the causal link between business activity and LCE) should
be negative influence.
Some eco-businesses such as product sharing can reduce both of environmental
load and cost to society (i.e., both LAEP and LACP are reinforcing feedback loops)
and others such as provision of cleaner treatment service of hazardous materials
than legally required might incur additional cost (i.e., LACP is balancing feedback
loop). Eco-businesses can take multiple configuration patterns.
Among them, the ideal eco-business (IEB) is identified as the one for which
the LAEP , LACP , and LAVP loops are reinforcing loops while CAE and CAC have
negative influence as shown in the lower part of Fig. 34.2. This model shows that
an IEB increases user value and decreases both societal environmental load and
cost simultaneously, and all of these effects increase profit, which may promote
investment in the business’ activities.
Note that an eco-business designer does not always have to design IEB. IEB is
introduced as a reference model that screens out all possible gaps between ideal
state of eco-business and those of conventional businesses.
Causality configuration patterns for conventional businesses, eco-businesses, and
IEB are summarized as shown in Table 34.1. Characters C, , 0, R, and B in
each cell of the table denote positive influence, negative influence, no influence
(or no feedback loop), reinforcing feedback loop, and balancing feedback loop,
respectively. Shaded cells in the first, second, and third rows in the table give the
requirement for the success of conventional businesses, eco-businesses, and ideal
eco-business, respectively.
3.3 Structuring Cause-Effect Pattern Library
As mentioned in the introduction section, a cause-effect pattern library should be

structured focusing on how each successful case overcomes the gaps between the
conditions for IEB and conventional businesses. The gaps are classified into five
types as shown in Fig. 34.2:
(a) Insufficient or no CAE
Since every business pursues profit, its activity does not necessarily reduce
society’s LCE. Therefore, the first gap to overcome is CAE , which should be
negative influence.
(b) Insufficient or no CAC
Every business activity does not necessarily reduce LCC of products or services.
For example, businesses have no incentive to reduce EOL treatment cost of
their products unless they are responsible for that. Thus, CAC can be the gap
to overcome, which should be negative influence.
622
Table 34.1 Causality configuration pattern of sustainable and conventional businesses

Causal links Feedback loops
Row
Business case User UV
No. CAE CEP CAC CCP CAV CVP CPA LAEP LACP LAVP Lall
Requirements for
1 + + + R
conventional business
Requirements for
2 − − or 0 +,−, or 0 − or 0 + + + R, B, or 0 R, B, or 0 R R
eco-business
Conditions of Ideal
3 − − − − + + + R R R R
Eco-Business (IEB)
Factory, office Reduction in energy cost

4 ESCO business − 0 − − + + + 0 R R R
building without initial investment
Improvement of user's eco-

Direct green
5 image from society with − R B R
electricity user
reasonable electricity price
Green electricity
certificate business − + − + + + R
Improvement of eco-image
People who buy
from society by envi-
6 green electricity − R B R
ronmental impact reduction
certificate
certificate
S. Kondoh and H. Komoto
(c) Insufficient or no CEP

Even if a business reduces the LCE of its products, the reduction does not neces-
sarily increase the firm’s profit. Green consumers might accept environmentally
conscious products, but their market segment is not generally large enough to
insure success. Therefore, how to relate societal LCE reduction to profit is an
important issue for eco-business planning.
(d) Insufficient or no CCP
Even if a business reduces the LCC of its products, the reduction does not
necessarily increase the firm’s profit unless it is properly shared by the firm,
users, and society. Therefore, how to relate societal LCC reduction to profit is
also an important issue for eco-business planning.
(e) Insufficient drivers
As in conventional businesses, in order to drive eco-businesses, the overall
causality trend Lall should form a reinforcing loop even if the businesses incur
additional costs to reduce their societal LCE through actions such as providing
cleaner end-of-life treatment for their products.
A cause-effect pattern library is constructed based on an analysis of 130
eco-business cases in Japan (Kondoh et al. 2006). Table 34.2 summarizes typical
examples. Taken from these examples, Fig. 34.3 depicts a CLD of ESCO business
(Association for ESCO Business Introduction in Japan 1998), which solves a com-
mon problem pattern where adoption of energy-efficient but expensive technology
causes a delay in CAC . This problem can be categorized as a gap of the second type,
insufficient CAC .
Introduction of more energy-efficient technology like photovoltaic electricity and
hybrid vehicles promises to reduce both users’ and society’s LCE and LCC. How-
ever, energy-efficient products are sometimes more expensive than conventional
ones which hinders their diffusion. This problem is represented in the CLD as shown
in Fig. 34.3; adoption of energy-efficient technology may increase the initial cost
(price) for users (causal link (iii) in Fig. 34.3) although it may reduce the LCE and
LCC for society (two pairs of causal links: (x) and (xii) and (i) and (ii) in Fig. 34.3).
Thus, UV in the case is cost reduction, and the delay in CAC (causal links (i) and (ii)),
which causes the delay in CAV (causal links (i), (ii), and (vi)), is the gap to overcome.
In ESCO business, the business provides energy-saving service based on a long-term
performance contract so that the user need not invest in necessary equipment at the
beginning, thus overcoming the delay in CAC (and CAV ) as summarized in the fourth
row in Table 34.1. This means that ESCO satisfies the requirements for eco-business
but not for IEB in terms of CEP and LAEP .
Figure 34.4 depicts the green electricity certification business (Green Power
Certification Council 2001). As shown in this figure and the fifth and the sixth rows
of Table 34.1, this business solves the problem: insufficient CEP .
Green electricity generated by hydro and wind turbine has a potential to reduce
LCE of society. UV of the business is improvement of environmental image of
users from society, by using environmentally conscious electricity. However, its
power generation cost is more expensive than those of conventional ones, and this
hinders the diffusion of green electricity (LACP , which includes business activity,
Table 34.2 Examples from a cause-effect pattern library

Sustainable business Explanation of solution
case pattern The gaps overcome
Gaps between Car sharing, Product sharing (lease, CAE and CAC
ISB conditions household rental for rental, product pooling) can
and conventional students, etc. reduce the production
business volume over the whole
society by improving the
utilization rate of
under-utilized products
Proper treatment of Proper management and CAE
EOL products that control of product life cycle
contain hazardous can reduce societal LCE
materials (e.g., and LCC
fluorescent lamps)
ESCO, air Improvement of CAE and CAC
conditioner with environmental performance
heat pump, etc. of products and services can
reduce societal LCE and
LCC
Reuse of toner Reutilization of waste CAE
cartridges, etc. materials and energy can
reduce societal LCE and
LCC
Eco-drive training Consultation and receipt of CAE and CAC
service for advice on proper product
automobiles, etc. usage can reduce societal
LCE and LCC
Zero emission Cooperation among CAE , CAC , and CCP
factory, etc. different business sectors
can sometimes contribute to
societal reduction of LCE
and LCC
Carbon tax, etc. Proper legislation, taxation, CEP
and subsidy can increase
the profit from the reduction
in societal LCE and LCC
Green power Enlargement of the green CEP
certification market size is effective for
business, etc. strengthening CEP
Carbon offset Proper combination of Lall
products, selling various user value
automobiles with (improvement of service
maintenance quality, cost reduction,
contracts, etc. improvement of image, and
avoidance of risks) can
make the overall causalities
of the business into a
reinforcing loop
(i)-(xiii) No. of causal link

+ Positive influence
ESCO − Negative influence
Provide energy saving service based
on long term performance contracts Delayed influence
<-No need for investment 7. UV
(vi) − (Cost reduction)
Delay in CAC 6. LCC to the (vii)
+ business provider (viii)
4. LCC
(v)
+
+ 5. Environmental (xi) +
load at production 8. LCE
(iv) +
(ii) + (xii) − +
3. Price (ix) 10. Profit
9. Environmental
CAC
+ (x) − load at use stage
(iii)
2. Cost at − 1.Energy-efficient
(xiii)
use
3 stage (i)
technology +
CAC consists of two sets of links; (iii)

CCP consists of (v) and (viii).
and (iv), and (i) and (ii).
CVP is (vii).
CAE consists of two sets of links;
(ix) and (xi), and (x) and (xii). CPA is (xiii).
There are no CEA.

CAV consists of (i), (ii), and (vi).
Fig. 34.3 CLD of ESCO business (Modified from Kondoh and Mishima (2011))
LCC, and profit, is balancing loop). Although some users prefer green electricity
and are willing to pay more money for it, the volume of the users is insufficient to
compensate the increase in the power generation cost because only limited users
who live near from the plant can buy the green electricity. The CEP (causal links;
(vii) and (x)) is not strong enough to introduce green electricity. To solve this
problem, green electricity certificates organization, which is a different organization
from the power company, calculates the LCE reduction potential, divides LCE
reduction certificate into small pieces, and sells them to the other people and
companies who are willing to do something good for environment (causal links:
(v), (vi), and (viii)). The revenue is used to compensate the cost for green electricity.
By that way, CEP is strengthened in this example. This means that green electricity
certification business satisfies the requirements for eco-business but not for IEB in
terms of CAC and LACP .
(i)-(xi) No. of causal link

Divide E.L reduction certificate + Positive influence
into small pieces and sells them − Negative influence
to the consumer who cannot
directly buy green electricity Delayed influence
CEP is strengthen by
3. LCC adding other customers.
+ (vi)
(v) 6. Certification of
− green power 7. UV (Satisfaction of the
5. LCE consumer who cannot
+ directly buy green electricity)
+ (viii)
(iv)
(vii) (ix)
(ii)
4. Environmental − 8. UV (Satisfaction of (x)
green electricity user) + +
load at generation
−
− 9.Profit
(iii)
1.Green power
+ (xi)
2. Power (Hydro and wind
generation cost + (i) electricity etc.)
CAC consists of (i) and (ii). CCP is (ix)
CAE consists of (iii) and (iv). CVP are (viii) and (x)
CAV consists of two sets of causal CPA is (xi)

links; (iii), (iv), and (vii), and (iii),
(iv), (v), and (vi).
CEP consists of two sets of causal

links; (vii) and (x), and (v), (vi), and
(viii).
Fig. 34.4 CLD of green power certification business (Modified from Kondoh and Mishima
(2011))
3.4 Eco-Business Design and Communication Procedure
The procedure by which the cause-effect pattern library is used to design eco-
businesses and to communicate the design with pertinent stakeholders is summa-
rized as follows:
• Step 1: Identification of current business environment
First, the business designer identifies a set of key parameters that describe the
given business environment in terms of UV, LCE, LCC, and profit, with causality
among these parameters and describes the situation using a CLD, so that he/she
can decide the types of causality among the seven causal links and identify
the gaps between the conditions necessary for an IEB and his/her business
environment.
• Step 2: Idea generation for an eco-business

The next step is to generate the ideas that overcome the gaps identified in step
1. By referring to the cause-effect pattern library, which is structured based on
the gaps, as discussed in Sect. 3.3, a designer can easily find adequate solution
patterns for his/her problems. Note that the similarity of the case is evaluated
focusing on the gaps rather than those of target products themselves. By this
way, the library can provide a wide variety of the cases over multiple business
sectors.
• Step 3: Validation of CLD through communication with stakeholders
Since the business model developed in step 2 may contain a variety of techno-
logical, economical, and social causalities, its validity and feasibility should be
evaluated through discussion with multiple experts in various fields. In addition,
in order to implement the business model, negotiation among all the business’
stakeholders is indispensable. Thus, the model should be simplified for this
purpose after evaluating its validity and feasibility.
• Step 4: Assessment of business ideas
After evaluating the CLD of the business model, the performance of the business
should finally be assessed. In order to calculate the LCE, LCC, and profit of the
business, the CLD of the business model should be interpreted as a life cycle
model (LCM) for its products, defining all material and energy flows related to
them. Based on the LCM, the LCE and LCC of the products are calculated by
using conventional life cycle assessment (LCA) and life cycle costing (LCC)
methods. Chapter Product LCA and PCF describes how to calculate LCE based
on LCA methods.
4 Case Study: EcoFleet
In order to illustrate how to use the library to come up with eco-business ideas
(steps 1 and 2 in Sect. 3.4), this section presents a case study of an energy-efficient
vehicles business (EcoFleet). First, the designer identifies his/her customers, their
user value, and causal links among business activities, UV, LCE, LCC, and profit
as shown in the upper part of Fig. 34.5. Although energy-efficient vehicles such
as electric vehicles and hybrids have the possibility to reduce LCE and LCC in
many cases, they are more expensive than conventional vehicles. In addition, there
are no negative causal link between LCE and profit; environmental load reduction
itself makes no profit at all. Thus, the gaps to overcome in this case are insufficient
CAC and insufficient CEP . Referring to the cause-effect pattern library, the designer
finds two cases (ESCO businesses and a green power certification business) that
overcome these respective gaps. The business idea they arrive at by applying the
solution patterns from the successful businesses to this case is summarized as shown
in the lower part of Fig. 34.5.
The “EcoFleet” business provides a fleet management service to carriers based
on a long-term performance contract similar to those used by ESCO businesses.
First, EcoFleet determines the best mix of multiple types of vehicles based on the
a
Delay in CAC − 5. UV
(Carrier’s cost reduction) (viii)
4.LCC (v)
+ + ᧧
6. Environmental load (ix) +
(iv) 8. LCE
at production
(ii) (x) + No CEP +
3. Price
(vi) +
7.Environmental load
+ 9.Profit
2. Cost at − at use stage
(vii)
use stage (iii)
1. Sales of energy-
− (i) efficient vehicles + (xi)
CAE consists of two sets of links; CVP is (viii).
(vii) and (x) and (vi) and (ix). CCP consists of (v) and (viii).
CAV consists of (i), (ii), and (v). CPA is (xi)
CAC consists of two sets of links; (i) and There are no CEP.
(ii) and (iii) and (iv).
CLD of energy efficient vehicle business
b
6.UV CEP is strengthened
(viii) by selling green
Delay in CAC is (v) − (Carrier’s cost reduction)
covered by the electricity certificates
business provider + 13. LCC to the
(xii) business provider
+ 5.LCC + 9. LCE (xiii)
᧧ (ix) (xiv)
(ii) + (iv)+ 7.Environmental + −
+ load at production +
(x) ᧩of
10.Certification −
4.Initial (vi) green electricity + 12.Profit
cost 8.Environmental + (xv)
−
load at use stage 11.UV (xvi)
3. Cost at + (vii) −
(Other customers’
use stage satisfaction)
(iii) (xviii) 2. Utilization of green
−
᧩ energy to charge
electric vehicles + (xvii)
(i)
1.Provides fleet +
(xi)
management service
CAE consists of three sets of links; CVP are (viii) and (xvi).
(vii) and (x), (vi) and (ix), and (xviii) CCP consists of (xii) and (xiii). (i)-(xviii) No. of causal link
and (x). Gaps to overcome
CPA are (xvii) and (xi).
CAV consists of three sets of links; ᧧ Positive influence
(i), (ii), and (v), (vi), (ix), (xiv), and CEP consists of (xiv), (xv), and ᧩ Negative influence
(xv), and (xviii), (x), (xiv), and (xv). (xvi)
Delayed influence
CAC consists of two sets of links; (i)
and (ii) and (iii) and (iv).
CLD of EcoFleet business
Fig. 34.5 CLD of EcoFleet business (a) CLD of energy efficient vehicle business (b) CLD of
EcoFleet business (Modified from Kondoh and Mishima (2011))
customer’s fleet usage pattern and replaces some of them with electric vehicles and
plug-in hybrid vehicles to reduce the fleet’s gasoline consumption. The investment
required for replacement is covered by reduced gasoline consumption, and there is
no need for initial investment by the customer. In addition, to enhance the profit from
the reduction of environmental load, green electricity such as solar or wind power
is used to charge the batteries of electric and plug-in hybrid vehicles. Selling green
electricity certificates to the people or companies who are willing to do something
good for environment increases the profit that can be earned from the environmental
impact reduction.
5 Architecuture of the Eco-business Design Support System
To support a case-based design of eco-businesses, it is considered effective to imple-

ment the design method as a software system. Figure 34.6 shows the architecture of
the system. The system consists of three sub modules, namely, CLD editor (CLDE),
life cycle modeler (LCM), and eco-business evaluator (EBE). CLDE is the module
that directly supports the design flow described in Sect. 3.4.
CLDE provides a designer with a CLD template of eco-business, which includes
seven causal links among business activity, LCE, LCC, and profit, and the designer
CLD editor (CLDE)
Life Cycle Modeler

(LCM)
Sustainable
business
case base Eco-business evaluator
(EBE)
Global
statics DB Total Discrete event Multi Agent
Performance simulator Simulator
Analyzer (TPA) (DES) (MAS)
Life Cycle
Inventory DB
Cost DB
Fig. 34.6 Architecture of the case-based design support system for eco-businesses (Modified
from Kondoh and Mishima (2011))
can modify the template so that the modified template can represent the environment
of the eco-business designed by the designer. The designer uses the modified
template in order to identify the gaps between IEB and the business environment.
The gaps are then used to identify a set of eco-business cases that can potentially
overcome them. The designer generates an idea of eco-business referring to the
identified eco-business cases and describes it in the form of a CLD. On LCM, the
designer models the eco-business in terms of activities defined in the life cycle
of products, which are used in the business. The model on LCM also includes
material, energy, and monetary flows caused by these activities. The model on LCM
helps the designer interpret the corresponding CLD from the perspective of life
cycles of products included in the business. EBE helps the designer evaluate the
environmental and economic performance of the eco-business modeled on LCM.
To provide such an evaluation feature, EBE includes three different tools, the total
performance analyzer (TPA) (Kondoh et al. 2008), a discrete event simulator (DES),
and a multi agent simulator (MAS). TPA, which has been developed by authors
group, is used for the evaluation of environmental and economic performance of
the business modeled on LCM. TPA provides the quantitative evaluation methods
of UV based on the multi-attribute utility theory (MAUT) as well as the LCE and
LCC based on the static life cycle of products. DES imports the activities defined
on LCM and simulates the dynamics of the business in terms of energy, material,
and monetary flows among the stakeholders. Chapter Life Cycle Simulation
for Sustainable Product Service Systems illustrates how to use DES for this
purpose. MAS is used to detail the interactions of stakeholders during the life
cycle of products. For example, the literature (Kondoh et al. 2009) represented the
variations in the preference for and purchasing behavior of personal computers and
investigated the environmentally and economically feasible reuse strategy for each
individual user considering the interaction among them, by using MAS. EBE is
also connected to a set of database including global statistics (e.g., gloss domestic
product and population), life cycle inventory of energy and materials, and cost.
6 Summary
This chapter proposed an idea generation method for eco-business planning by

using a cause-effect pattern library of existing eco-businesses. The chapter first
explained a method to describe various eco-businesses with CLD and structured
the eco-business library focusing on the gaps between the conditions of IEB and
conventional businesses. Then, the chapter explained a procedure to generate eco-
business with the library and discussed the architecture of a software system, on
which the procedure is implemented. Future development includes the following
topics:
• Collection and analysis of existing cases:
Collection and analysis of various exiting cases are required to build a
useful library. Environmental (or sustainability) reports of the businesses in
various industrial sectors can become also sources for the library. In addition
to the business cases, macro level causality patterns (e.g., market reaction to the
environmental legislation or taxation and causal description of rebound effect)
are also indispensable for the method.
• Structuring the library in more detail:
As the number of the cases increases in the library, screening out the
adequate cases from the library becomes more crucial. To this end, more detailed
structuring is indispensable. It will be quite promising to identify the key
elements of problem-solution patterns such that most of the successful cases are
explained as their combination.
• Implementation of the system:
Implementation of the system is also included in the future work of this study.
In addition to TPA, eco-business case base, and MAS, which have already been
partially implemented, CLDE and LCM should be implemented and integrated
into the overall framework of the proposed system.
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Life Cycle Simulation for Sustainable
Product Service Systems 35
Hitoshi Komoto and Nozomu Mishima
Abstract
Design of sustainable product service system (PSS) is a means for the
manufacturing industry to develop business models for sustainable production
and consumption through collaborations among the stakeholders involved in
them. Life cycle simulation (LCS) is a crucial tool to evaluate the monetary
flows among the stakeholders and material and product flows during the life
cycles of products. This chapter presents LCS used for the design and analysis
of sustainable PSS. This chapter presents the usefulness of LCS for the design
and analysis of business models in the manufacturing industry regarding the
profit of both manufacturers and product users. This chapter first explains PSS
design process and computational support employed in the process. As a part
of computational support, the chapter explains LCS focusing on the simulation
mechanism, theoretical background, and applications. Finally, the chapter applies
LCS to the evaluation and comparison of seven business models of a manufac-
turer of machine tools for mold component production. The business models
include service-oriented business model, functional sales, and shared services,
which are discussed in related PSS study as well as the traditional sales-based
business model.
H. Komoto ()
e-mail: h.komoto@aist.go.jp
N. Mishima
Graduate School of Engineering and Resource Science, Akita University, Akita, Akita, Japan

DOI 10.1007/978-1-4020-8939-8 75,
634 H. Komoto and N. Mishima
Abbreviations
PSS product service system

LCS life cycle simulation
ISCL integrated service CAD with life cycle simulation
1 Introduction
Product service system (PSS) is a system of products and services that satisfies
the needs and wishes of product users in a comprehensive manner (Mont 2002).
For instance, public transportation systems consisting of various stakeholders and
mobility channels are regarded as PSS. In the PSS, trains, cars, and bicycles
are regarded as service channels that directly provide mobility to customers.
Stakeholders of the PSS are not only the manufacturers of these service channels.
Effective collaboration among the involved stakeholders (e.g., supermarkets, adver-
tisement agencies, and end users) improves the quality of mobility and creates added
value in terms of various quality criteria (e.g., convenience and entertainment). Such
effective collaboration among the stakeholders and product users in PSS is crucial
for system-level innovation leading to environmentally friendly society (Ehrenfeld
2001). The degree of reduction of environmental loads realized by PSS is considered
larger than the degree realized by individual product and service innovation (Brezet
et al. 2001; Maxwell and van der Vorstb 2004).
For the manufacturing industry, PSS is crucial to develop their business with
focus on their services (Tomiyama 1997, 2001; Meier et al. 2010). Figure 35.1
shows the difference between the traditional business at the age of mass production
and PSS toward sustainable society. In the traditional business, the profit of manu-
facturers is determined by the number of products sold in the market. In other words,
the ownership transfer of products is the activity triggering the monetary flows.
In PSS, products are regarded as service channels to deliver not only function of
products but also service contents perceived from various aspects (e.g., convenience,
safety, and comfort). This is why production and ownership of products become less
dominant factors characterizing the profit of manufacturers.
PSS design is concerned with the design of such a system focusing on adaptation
of (often existing) products and services to economic, environmental, cultural, and
social contexts specified by stakeholders such as manufacturers, service providers,
and product users (Tukker and Tischner 2006). For instance, public transportation
systems adapt themselves to mobility users regarding their characteristics such
as age, purpose, and family structure. These characteristics specify the type of
mobility means and added value delivered to them. The design processes start with
the development of a qualitative business concept (conceptual design) followed by
the refinement of the business concept with consideration of quantitative aspects
(detail design). The research of service engineering has developed a variety of
computational tools to support both conceptual and detail PSS design stages.
35 Life Cycle Simulation for Sustainable Product Service Systems 635
Fig. 35.1 Development of sustainable PSS through servicification
Service CAD systems (Arai and Shimomura 2004, 2005; Sakao and Shimomura
2007, 2009; Komoto and Tomiyama 2009a) have been proposed so that they can
support the design of sustainable PSS at the conceptual PSS design stage, while
life cycle simulation (LCS) (Umeda et al. 2000) supports quantitative evaluation of
sustainable product service systems, which becomes crucial in the detail PSS design
stage.
The objective of this chapter is to provide an introduction to LCS in context of
sustainable PSS design. The chapter helps designers of sustainable PSS understand
the concept, mechanism, and applications of LCS and employ LCS for their own
PSS design processes in practice.
The structure of this chapter is as follows. First, it briefly explains PSS design
process and computational support employed in the process. Then it explains LCS in
terms of simulation mechanism, theoretical background, and applications. Finally,
the chapter evaluates and compares seven business models of a manufacturer
using LCS. The models include business models discussed in PSS study such as
service-oriented business model, functional sales, and shared services as well as the
traditional sales-based business model.
2 PSS Design Processes and Computational Support
PSS design is concerned with the design of products and services that satisfy the
needs and wishes of customers as a whole, while considering business, environmen-
tal, cultural, and social contexts specified by stakeholders such as manufacturers,
service providers, and product users (Tukker and Tischner 2006). In the design
Fig. 35.2 PSS design processes
processes, designers gradually refine the attributes of products and services and their
interrelations in parallel with decomposition of the needs and wishes of product
users. The refinement and decomposition processes are similar to product design
processes traditionally studied in the field of engineering design (Pahl and Beitz
1996). Similar to traditional product design processes, PSS design processes start
with the development of a qualitative PSS concept (conceptual design) followed
by the refinement of the concept with consideration of quantitative aspects (detail
design).
The main tasks of designers in PSS design processes are shown in Fig. 35.2.
At the conceptual (qualitative) stage of PSS design, activities, stakeholders, and
service channels to satisfy the needs and wishes of product users are identified as
elements of a PSS concept followed by the identification of such needs and wishes.
Concretely, the characteristics of stakeholders, service channels, and users are
identified in parallel with development of the scenario of users. Quantitative analysis
of a PSS concept becomes crucial with the progress of PSS design processes,
because economic and environmental feasibility of a designed PSS concept cannot
be judged solely by the concept (without discussing quantitative configuration of
parameters in the concept) (Bartolomeo et al. 2002). For instance, in designing a
public transportation system, designers have to consider the quantitative aspects of
the system such as the frequency and capacity of trains, the number and size of rental
cars and bicycles and their parking areas, the number of qualified service engineers,
the price of each service included in the concept, and so on. Without consideration of
such quantitative aspects, even well-designed PSS concepts are not only inferior to
other alternative concepts delivering the same service contents but also suffer from
shortage and excess of service providers and channels to meet the corresponding
requirements.
In PSS design processes, designers perform quantitative analysis on PSS con-

cepts mainly regarding the following criteria:
• Balance between the demand and supply of service contents specified by product
users and delivered by service providers with service channels
• Quantitative performances representing the value perceived by product users
from business, environmental, social, and cultural perspectives
The first criterion is analyzed for the identification of shortage and excess of service
contents delivered from service providers to service receivers with service channels.
The analysis should be performed in a long term. In PSS design processes, shortage
and excess of service contents are absorbed by not only configuring the number
of service providers and service channels but also configuring contracts between
service providers and receivers regarding the ownership and usage of service
channels (e.g., sharing and functional sales). The second criterion is analyzed for the
optimization of designed PSS concepts regarding these performances. The type of
analyzed performances, for example, includes life cycle costs, return of investment,
break-even points, environmental impacts, resource efficiency, and so on. For the
analysis, these performances should be measurable. In PSS design processes,
quantitative configuration of parameters of service channels (i.e., product design)
and service providers as well as their activities (services) is a means to improve the
performance.
In order to support PSS design processes, various computational design support
tools have been proposed. Most of these tools have been proposed by the researchers
of design engineering focusing on service and life cycle related issues. Such
computational support is considered as a means to the successful transfer of design
concepts for PSS (Cook et al. 2006). For instance, service CAD systems have been
proposed, on one hand, so that they support PSS design at the conceptual design
stage. The system has been used for the identification of stakeholders and service
channels and included in PSS based on the requirements of customers (Arai and
Shimomura 2004, 2005; Sakao and Shimomura 2007, 2009; Hara et al. 2008) and
synthesis of activities (services) provided by identified stakeholders and service
channels (Komoto and Tomiyama 2009a). On the other hand, life cycle simulation
(LCS) has been used to support the aforementioned quantitative analysis of designed
PSS concept at the latter stages in PSS design processes, which will be explained
later in the chapter.
The type of computational design support used in PSS design processes is an
analogy of computational tools for product design. As shown in Fig. 35.3, the above-
mentioned Service CAD systems are regarded as CAD tools used for the definition
of design objects of PSS such as geometric CAD systems for product design. LCS is
regarded as computer-aided engineering (CAE) method to analyze the performance
of defined design objects such as finite element analysis of geometric objects.
Integrated service CAD with life cycle simulation, or ISCL, (Komoto and Tomiyama
2008) has been developed as an integrated CAD/CAD tool for PSS design based on
this analogy.
Fig. 35.3 Computational support for PSS design in analogy of product design support
3 Life Cycle Simulation
Life cycle simulation (LCS) (Umeda et al. 2000) is a technique to evaluate the
performances of life cycles (e.g., life cycle costs and environmental impacts) using
discrete event simulation. LCS simulates physical and functional deterioration of
individual products in a market. LCS also simulates execution of technical services
and activities performed by manufacturers and other service providers at the use
and end-of-life stages. These services and activities include maintenance, upgrade,
collection, trade-in, remanufacturing, reuse, and recycling activities. Simulation of
these services and activities enables PSS designers to consider relations among
them.
3.1 Simulation Mechanism
Figure 35.4 illustrates the simulation mechanism of LCS. LCS model consists of
entities and events. Entities represent products in a life cycle. The state of entities
is defined by a set of attribute values. The state of an entity is defined by its
lifetime, location, owner, the type of contract, and its performance from various
(e.g., functional, physical, and environmental) aspects considering its deterioration
(due to usage) and recovery (as a result of maintenance and upgrade services).
Events assign (and change) the state of entities and causes generation and disposal
of entities. In Fig. 35.5, for instance, Manufacture creates products (i.e., entities)
Fig. 35.4 Life cycle simulation mechanism
Fig. 35.5 The behavior of products in LCS
and Dispose deletes them. Use and Repair/Maintenance change the state of entities
such as functional and physical performances. The state changes considering the
stochastic properties of processes are realized with random number generation.
LCS is useful to predict the timing and number of event executions based on the
temporal state transition (e.g., deterioration mechanism) of products. For instance,
in a given market size, LCS can calculate the timing and number of Manufacture and
Transport of the next generation products considering Reuse of the first generation
products (see Fig. 35.4). According to the state of products, they are collected,
reused, disassembled, and recycled with the corresponding events. The state of all
entities and history of event executions are collected. The collected information is
used to generate statistical figures of the life cycle and visualized for users of LCS
to understand the behavior of products in the product life cycle.
3.2 Theoretical Background
LCS is used to understand the effects of services and end-of-life treatments

introduced in product life cycles considering their deterioration behavior. Such
an understanding helps life cycle design and service design. LCS simulates the
deterioration behavior by evaluating the occurrence of failure of each product com-
ponent at a simulation step. The deterioration behavior of products is often modeled
as a stochastic event derived from the failure rate of components with respect to
time (Shu et al. 1996). Failure rates of components are obtained with experiments,
which has been used as a primitive element for the calculation of reliability of a
product made of the component. LCS deals with the processes at the end-of-life
phase of the life cycle of products such as reuse, remanufacturing, and recycling
(Sundin and Bras 2005). These processes are introduced with consideration of the
deterioration behavior. Furthermore, LCS deals with the services within the life
cycle of products such as maintenance and upgrading services. Such services control
the deterioration behavior with consideration of the functional value of products
perceived by users.
Simulation of the behavior of a large number of products is useful to understand
the behavior of products using statistical figures (e.g., average and standard
deviation), which cannot be obtained by the simulation of the behavior of a product.
For instance, Fig. 35.5 shows the model of a product (an individual) and the average
of 500 products with focus on the performance (the vertical axis) with respect
to simulation history (the horizontal axis). As shown in Fig. 35.5, the behavior
of a product clarifies the gradual deterioration of product performance and the
occurrences of repair/maintenance services during the lifespan, which is useful
for validation of the simulation model. On the other hand, the overall behavior of
products in the life cycle is useful to provide quantitative and statistical guidance in
PSS design. For instance, the capacity of remanufacturing plants and the number of
required service engineers are estimated with the simulated average demands and
deviations. Life cycle assessment (LCA) cannot provide such guidance, because
LCA employs an average life cycle scenario alone.
The model of products in LCS needs to deal with more complex behavior of
products, which is derived from the effect of services such as maintenance and repair
operations and decision-making of product users and manufacturers in the use and
end-of-life stages (such as condition of inspection, retirement, and disposal). This
is why analytical models (e.g., differential equations) cannot explain the behavior.
Material flow analysis (MFA) has been mainly used for the analysis of dynamics
of material flows and logistic issues in product life cycles (Van Schaik et al. 2002).
LCS is different from MFA in that MFA treats products in a market as identical
objects, while LCS treats them as objects with unique states.
Lack of analytical models indicates lack of analytical solutions to optimize the

behavior. This is why heuristic optimization methods such as genetic algorithm
(Goldberg 1989) and simulated annealing (Kirkpatrick et al. 1983) are used to
optimize the behavior of products in LCS.
3.3 Applications
Various LCS tools have been developed and applied to life cycle design such as
design of modular structure and product family of such white goods as refrigerators
and fax machines (Johansen et al. 1997; Umeda et al. 2000; Fujimoto et al. 2003).
They are reviewed in Komoto and Tomiyama (2009b). Among them, some focused
on the design of technical services during the use stage of products, which is
considered as examples of PSS design. For instance, LCS has been applied to design
of reuse business of personal computers (Kumazawa and Kobayashi 2006) and
shared business of washing machines (Komoto et al. 2005). In these studies, LCS
has been useful to deal with market segments with different needs, while considering
competitions regarding service offerings among producers and third-party service
providers. Furthermore, LCS has been applied to resource flow analysis considering
reuse and remanufacturing processes. The resource was not only material and
energy described as mass but also reusable parts in different physical conditions. The
tools developed in these studies are useful to analyze balance between the demand
and supply of reusable parts (Kondoh et al. 2005). The actual resource flow data of
reusable parts has been collected for the verification and rigorous analysis of using
these tools (Takata and Kimura 2003).
4 PSS Business Model Evaluation with LCS
This subsection evaluates and compares seven illustrative business models of a

machine tool producer with LCS. Each model consists of the producer and a 100
mold component producers, who use the machine tools (i.e., machine tool users).
Each model is unique in terms of the contracts among the producer and users,
although the same type of machine tools is used in the model. Some of the business
models are called PSS business models compared with the sales-based business
model. Figure 35.6 shows the business models A–G discussed in the subsection.
The detail of each model will be explained later. Although the business models as
a whole do not represent all of the possible business models, they are sufficient in
explaining the variations in business models considered in the study of PSS.
Three activities, tool production, tool usage, and tool repair, trigger the monetary
flows in the business models. The triggered monetary flows are shown in Fig. 35.7.
• Tool Production: Machine tools are produced based on the order of potential
tool users and sold to them. The price and production costs of the machine tool
pT and cT are 6,000,000 JPY and 4,000,000 JPY, respectively. Business models
A–D assume the monetary flow at the activity, while business models E–G do
not assume the flow (i.e., pT = 0 JPY).
A
No Included in
Repair Service the tool price B
Provided
Yes Yes Repair fee Rare C
Repair
Excluded in
occurrence
Ownership the tool price
Frequent D
Tool repair E
No
Money flow No F
activities
Shared use
Tool usage G
Yes
Fig. 35.6 Business models evaluated and compared in the subsection
Fig. 35.7 Monetary flows in the business models
• Tool Usage: The activity includes the production of mold components by

machine tool users and the delivery of mold components to end customers.
The production volume of mold components for a machine tool user VC is
100 units/week. The price of a mold component pC is 2,000 JPY/unit. This means
that the total sales of a machine tool user per week are 200,000 JPY/week.
In comparison, the production costs of a mold component (e.g., material,
consumable, and energy costs) cC are 1,500 JPY/unit. The total production costs
are 150,000 JPY/week. Therefore, the return of investment of the machine tool is
120 weeks (i.e., 200,000 JPY/week150,000 JPY/week)*120 = 6,000,000 JPY).
The production costs are calculated without consideration of the deterioration of
machine tools introduced later. Business models F and G assume the monetary
Fig. 35.8 Calculation procedure of the efficiency of a machine tool
flow between the producer and machine tool users at the activity. The tool usage
charge uT is paid by machine tool users to the producer per mold component
production (i.e., pay-per-function).
• Tool Repair: Repair service is necessary to deal with the deterioration of machine
tools. The service is triggered when the efficiency of machine tools reach a
threshold value, which will be explained later. Among the business models B–G,
which includes the activity, business models C–E assume the monetary flow at
the activity. In business models C–E, the repair fee and repair costs of a machine
tool, sT and rT , are 500,000 JPY and 400,000 JPY, respectively.
The deterioration of a machine tool is defined by decreases in the efficiency of
the machine tool eT in mold component production. The efficiency is owned by
individual machine tools. The efficiency of machine tools before deterioration (i.e.,
new machines) is 100%. As shown in Fig. 35.7, the efficiency of a machine tool is
partly included in the monetary flows, which indicates that the efficiency influences
the production costs of mold components with the tool cC /eT and the repair costs of
the tool rT /eT . For instance, a machine tool with eT = 50% doubles the production
costs of mold components with the tool and the repair costs of the tool.
Figure 35.8 describes the calculation procedure of the efficiency of a machine
tool. This example assumes that the efficiency depends on three parameters, fr1 ,
fr2 , and fr3 , which characterize the physical deterioration of a machine tool. These
parameters constitute the probability of a failure occurrence per single tool usage.
The probability is constant fr1 until the elapsed life time elt reaches the specific
period fr2 , and it linearly increases after the period (the time derivative of the failure
rate is fr3 / until the probability reaches 1. When a failure occurs, the efficiency
decreases by 1%. Since machine tools are used multiple times (100 times per
week in this example), failures can occur multiple times at a single simulation step
(i.e., a week). The probability characterized with these parameters is often called
the bathtub curve without the initial screening phase.
The occurrence of service is defined by the service request level SRL (%),
which is the minimum efficiency of machine tool guaranteed by the machine tool
manufacturer. In other words, the repair services are offered when the efficiency
Table 35.1 Parameters of business models

Parameter Values Unit Meaning
A B C D E F G
pT 6,000,000 0 JPY Price of a machine tool
cT 4,000,000 JPY Production costs of a machine tool
pc 2,000 JPY Price of a mold component
cc 1,500 JPY Production costs of a mold component
uT − 300 JPY Usage charge of a machine tool
sT − 0 500,000 0 JPY Repair fee of a machine tool
rT − 400,000 JPY Repair costs of a machine tool
fr1 0.001 1
Parameters characterizing the deterioration
fr2 300 Week behavior of machine tools
fr3 0.0001 1/Week
SRL − 75 75 90 99 89 89 % Service request level
of machine tools reaches the service request level. The service request level is
constrained by the other values characterizing the monetary flow model in the
simulation, which will be described in the explanation of each business model
discussed below.
Table 35.1 summarizes the values of the parameters of the business models
explained below. The parameters characterize the monetary flows occurred to at
the aforementioned activities and the occurrence of the repair service.
4.1 Sales-Based Business Model (A)
In this traditional business model, the monetary flow between the machine tool
producer and users occurs at the delivery of the ownership of machine tools. No
repair services are considered in the model. Figure 35.9a shows the profit of the
machine tool producer per machine tool user (it is called the normalized profit in the
subsection) and the profit of tool users on average. Figure 35.9b shows the efficiency
of machine tools on average. As shown in Fig. 35.9, the maximum profit of tool
users on average reaches at et = 75%. It is because the production costs of a mold
component considering the deterioration of the tools do not exceed its sales price
(1,500 JPY/2,000 JPY = 0.75). The value is used as the minimum of the service
request level SRL in the other business models including the tool repair activity.
For the tool users, the optimal life time of the tool is 239 weeks on average, while the
a b
Profit [1,000 JPY] Efficiency [%]
10,000 100
90 Machine tool user
8,000 Machine tool producer
(normalized) 80 (average)
6,000 70
Machine tool user
4,000 (average) 60
2,000 50
40
0
30
−2,000 20
−4,000 10
−6,000 0
1 101 201 301 401 1 101 201 301 401
Elapsed life time [week] Elapsed life time [week]
Fig. 35.9 Sales-based business model
economically feasible life time is between 177 and 297 weeks. The simulated return
of investment (177 weeks) is larger than 120 weeks, which is assumed without the
deterioration of the tools.
4.2 Sales-Based Business Model with Free Repair Service (B)
In this business model, the machine tool producer provides repair services to tool
users free of charge. The repair services are offered when the efficiency of machine
tools reaches SRL = 75%. The simulated profit and the efficiency in the business
model are shown in Fig. 35.10a, b. The profit of tool users becomes larger than the
sales-based business type (A), because the efficiency of machine tools is maintained
by the machine tool producer. The return of investment of tool users on average
becomes 142 weeks. In return, the costs of the machine tool producer increase as
the repair services are provided. The simulation result in Fig. 35.10a indicates that
the cumulative repair costs reach the total sales at 416 weeks, when the tool producer
loses the profit gained at the sales of the machine tools. In Fig. 35.10c, the number
of the occurrences of repair services is shown. The number increases, as the failure
rate of machine tools increases with the increase in the elapsed life time.
4.3 Sales and Service-Based Business Models (C, D)
In the business models C and D, the machine tool producer offers the repair services
as independent services, which require the payment of repair fees. The number of
repair services depends on service request level SRL. Figures 35.11 and 35.12 shows
the simulation results of the business models with variations in SRL (75% in C,
90% in D). As shown in Figs. 35.11b and 35.12b, the efficiency of machine tools
a b
10000 Machine tool user 100
Machine tool producer (average)
8000 (normalized) 90
80
6000
70
4000 60 Machine tool user
(average)
2000 50
0 40
30
−2000
20
−4000 10
−6000 0
1 101 201 301 401 1 101 201 301 401
c
Number of repair service occurrences [1]
80
70
60
50
40
30
20
10
0
1 101 201 301 401
Elapsed life time [week]
Fig. 35.10 Sales-based business model with free repair service
on average converges 87.5% and 95%, respectively. The repair services occur in the
model D more frequent than those in the model C. As shown in Figs. 35.11c and
35.12c, the number of the occurrences of repair services increases, as the elapsed life
time of machine tools increase. The number in the model D is larger than the number
in the model C. The occurrences of the repair services influence the long term profit
of the producer and users. In comparison between Figs. 35.11a and 35.12a, it is
evident that the tool producer increases its profit by increasing the number of the
occurrence of repair services (i.e., by increasing SRL). However, the side effect of
the increase in the profit of the tool producer appears at the profit of the tool users.
4.4 Service-Based Business Model (E)
The business model E treats the tool producer as a repair service provider.
The producer first provides machine tools to users free of charge. Then, the producer
a b
10000 100
Machine tool producer
8000 (normalized) 90
80
6000
70
4000 60 Machine tool user
(average)
2000 50
0 40
30
−2000
20
−4000 Machine tool user
10
(average)
−6000 0
1 101 201 301 401 1 101 201 301 401
c
80
70
60
50
40
30
20
10
0
1 101 201 301 401
Fig. 35.11 Sales and service-based business model (SRL = 75%)
gains the profit by providing the repair services during the life cycle of machine
tools. The profit of the producer increases with increase in the occurrences of
the repair services. For this reason, in order to evaluate the maximum profit of the
producer obtained with the model E, SRL is set to 99%. This means that machine
tools are repaired immediately after the decrease in the efficiency is observed at the
weekly tool inspections.
This model requires the evaluation of the return of investment of the tool
producer. The simulation result in Fig. 35.13a shows that the producer should
continue the contract with the users regarding the service more than 410 weeks,
while the profit of the tool users on average reaches maximum at the 310 week.
This means that the model E is not feasible, because the users would terminate the
contract with the producer at the 310 week before the producer gains the profit in
the business. One of the possible modifications of the business model, which makes
the business model feasible, is to introduce variations in the repair fees with respect
to the use time.
a b
Machine tool user
10,000 (average) 100
8,000 (normalized) 90
80
6,000
70
4,000 60 Machine tool user
(average)
2,000 50
0 40
30
−2,000
20
−4,000 10
−6,000 0
1 101 201 301 401 1 101 201 301 401
c
80
70
60
50
40
30
20
10
0
1 101 201 301 401
Fig. 35.12 Sales and service-based business model (SRL = 90%)
4.5 Pay-per-Function Business Model (F) with Machine Tool

Sharing (G)
The business models F introduces a tool usage charge in the contract between the
tool producer and users. In the model, the producer has the ownership of machine
tools and provides the repair services free of charge. The service request level (SRL)
in the model is constrained by the tool usage charge uT and the price and production
costs of mold components pC and cC . Since the tool users need to gain profit at the
production and sales of mold components, SRL should be bigger than cC /(pC uT ).
Numerically, if the tool usage charge is 300 JPY, SRL should be bigger than 1,500
JPY/(2,000 JPY300 JPY) = 88.24% (SRL = 89% is used in the simulation). As the
simulated result in Fig. 35.14a shows, the return of investment of the producer is
147 week. The profit of the producer reaches its maximum at 374 week. The tool
users gain the profit as far as the efficiency is maintained above SRL. The profits
a b
Profit [1,000 JPY] Machine tool user Efficiency [%]
(average) 100
10,000
90
8,000
80
6,000 70
4,000 60 Machine tool user
50 (average)
2,000
40
0
30
−2,000 20
−4,000 10
0
−6,000 (normalized)
1 101 201 301 401
1 101 201 301 401
c
80
70
60
50
40
30
20
10
0
1 101 201 301 401
Fig. 35.13 Service-based business model
of individual tool users are slightly different because of the differences in the
production costs of mold components considering the machine tool deterioration.
The business model G introduces the sharing of machine tools among the users,
who have the pay-per-function contract based on the business model F. In the model
G, a machine tool is shared by two users. Consequently, 50 machine tools are
produced for 100 machine users, and each machine tool is used two times (i.e.,
production of 200 mold components per week). In Fig. 35.14b, the curve indicating
the profit of the producer per user is in parallel with the similar curve shown in
Fig. 35.14a. It is because the production costs of machine tools per user, which
are the initial costs of the producer, become 2,000,000 JPY per user (instead of
4,000,000 JPY per user) and that the weekly profit of the producer is as same as that
of the model F. As a result, the return of investment of the producer in the model G
is 73 week. Based on the simulation result, the business model G is better than the
business model F for the producer regardless of the benefit of the users. It is because
the business model G does not consider inconvenience for the users due to sharing
of the machine tools.
a b
Profit [1,000 JPY] Profit [1,000 JPY]
10,000 10,000
8,000 8,000
6,000 6,000
4,000 4,000
2,000 2,000
Machine tool user
Machine tool user
0 0 (average)
(average)
−2,000 −2,000
Machine tool producer Machine tool producer
−4,000 (normalized) −4,000 (normalized)
−6,000 −6,000
1 101 201 301 401 1 101 201 301 401
Fig. 35.14 Pay-per-function business model (left) and its integration with shared service (right)
5 Summary
The chapter has explained the role of LCS in context of the overall PSS design pro-
cesses. Among the computational support for PSS design, LCS provides designers
with quantitative guidance in the detail stage of PSS design processes. The chapter
has explained the mechanism and theoretical background of LCS, and applications
of LCS to service and life cycle design, which are sufficient for the readers to
understand the concept of LCS in designing sustainable PSS.
This chapter has shown how LCS is used for the evaluation and comparison
of business models of a machine tool producer. The simulated business models
have been classified in terms of the contracts among the machine tool producer
and users, which determines the monetary flows at the delivery of the ownership of
machine tools, and the usage and repair of machine tools. The simulation results
have quantified the progress of the profits of the tool producer and users in each
business model and the dependency of the profits on the service request level to
determine the condition to offer the repair service.
Although the chapter has emphasized the use of LCS in the quantitative analysis
of business models in the design phase of sustainable PSS, LCS is used at the
conceptual design phase by providing quantitative answers to “what-if” questions
regarding the types of contacts among the stakeholders. LCS can be used at the
implementation and management phases of sustainable PSS, where the quantitative
analysis of sustainable PSS and the comparison among the alternative business
models become more important than the conceptual design of sustainable PSS.
LCS used at these phases will support decision making of the developers and
managers of sustainable PSS regarding the introduction of new stakeholders that
further decrease the resource usage and consumption in sustainable PSS.
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Modeling Services and Service-Centered
PSS Design 36
Yoshiki Shimomura and Kentaro Watanabe
Abstract
In recent years, manufacturers have dealt with various requirements of customers
and serious environmental problems. As an effective approach to deal with
those problems, the concept of product-service systems has attracted attention.
The authors have been conducting research on Service Engineering for effective
and efficient service design and development in an engineering manner. In this
chapter, the authors explain the service-centered design approach and concrete
design methods for product-service systems in Service Engineering. In addition,
the authors introduce a computer-aided design system of services based on these
design methods.
1 Introduction
As society ages, services and knowledge have become more important in many
industries (Tomiyama 1997). As the term “servitization” indicates (Vandermerwe
and Rada 1988), a service and knowledge provided through a product are regarded
as more important elements than the product itself even in the manufacturing
industry. Under such circumstances, “product-service systems (PSSs)” that create
value by coupling a product and a service have been attracting attention (Goedkoop
et al. 1999). For the effective and efficient design of PSS, the introduction of
engineering methods is considered as a promising approach. However, compared
Y. Shimomura ()
Graduate School of System Design, Tokyo Metropolitan University, Tokyo, Japan
e-mail: yoshiki-shimomura@center.tmu.ac.jp
K. Watanabe
Graduate School of System Design, Tokyo Metropolitan University (Currently: Center for Service
Research, National Institute of Advanced Industrial Science and Technology), Tokyo, Japan
e-mail: watanabe-kentaro@sd.tmu.ac.jp

DOI 10.1007/978-1-4020-8939-8 70,
654 Y. Shimomura and K. Watanabe
with research on product design, there have been fewer studies on the design of
services from the engineering viewpoint (Shostack 1981; Aurich et al. 2004; Tukker
2004).
To correct this situation, several researchers have started to conduct Service
Engineering research (e.g., Shimomura and Tomiyama 2002). The aim of Service
Engineering is to provide a fundamental understanding of a service as well as
concrete engineering methods to design and develop it. In this chapter, the authors
first explain a concept of service and its design approach in Service Engineering.
Based on the concept and the approach, the authors introduce several service models
and design methods used in each service design phase. In addition, the authors
introduce a computer-aided design (CAD) system based on the proposed design
methods.
2 Limitations of Product-Centered Manufacturing Approach
Nowadays, it is commonly agreed that product functionality is just a part of a

product’s value, and services coupled with a product have taken an important role
to satisfy customers. An attractive service is considered as a major success factor
in business even in the manufacturing industry. On the other hand, there have
been few innovative and successful PSS cases. Most of the current PSSs are the
combination of traditional product-related services, such as rental and maintenance,
and conventional products. One of the reasons is that a service is still considered as
a supplemental element of a product and the design of services is performed based
on the result of conventional product design. To realize high value for customers,
an approach to the concurrent design products and services is crucial. This concept
can be explained by using the metaphor shown in Fig. 36.1. The current problem is
that many manufacturers still focus excessively on the design of physical products.
A box filled with water in Fig. 36.1 describes a design object, and two jacks
under the box represent the axes of a product and a service, which are regarded
as important components of PSSs. The fish in the water represents the value level
produced by a combination of a product and a service. If a manufacturer wants
to design a valuable PSS and design products and services individually, the total
value is not considerably increased (see Operations 1 and 2). By designing a
product-and-service set as an overall system, the total value can increase. As can
be seen, products and services according to customer’s value should be designed
concurrently for success in the PSS business.
To realize such a concurrent design of PSSs, the design methods of a service take
an important role. In conventional product design, a variety of engineering methods
and tools have been developed for the design of highly functional products, and
many of them have been utilized in actual product design processes. Though many
methods dealing with services have been proposed, especially in the marketing
research field (Ramaswamy 1996; Shostack 1981), engineering approaches to
design services are scarce. Under these circumstances, Service Engineering research
to design and improve services in the engineering manner started.
36 Modeling Services and Service-Centered PSS Design 655
Higher Value
Design Object
Lower Value
Product Service
Operation 1 Operation 2 Operation 3
Fig. 36.1 Design operations with constraint between product and service
3 PSS and Service Research
Before focusing on the design methods, the authors explain the overview of
PSS and service research. Research on services and PSSs ranges over numerous
subjects. Meier et al. summarized the PSS and service research (Meier et al. 2010).
Figure 36.2 shows the categories and concrete methods on PSSs according to their
classification. In this chapter, the authors mainly introduce the concept and methods
in the category “design and development,” including service modeling, design
methods, and a design process. Although the financial and management topics in
the category “business models, risk evaluation, and management” are important to
continue a service as business, they are not the target of this chapter. The analysis
and control methods in the category “delivery and use” are also beyond the present
focus. The utilization of design knowledge in the category “knowledge management
and life cycle issues” is partially discussed in this chapter.
4 Service Design
Traditionally, service design often means just the determination of the behavior of
service staff, even when some products are strongly related to service contents.
In the traditional design process of a service, products and service activities are
Business models, risk evaluation, and management

Business model, classification and qualitative analysis, cost analysis,
design of contracts, partnership, risk analysis, pricing
Design and development Delivery and use

Design process, function/ Delivery process modeling,
process modeling, requirement organization, delivery control,
analysis, architecture and quality management
modularization, process
simulation
Knowledge management and life cycle issues

Knowledge generation, ontology, failure analysis, usage data
analysis, life cycle analysis
Fig. 36.2 Research categories on PSSs and services
separately designed, and the design actors of products and services are separated.
This causes insufficient fulfillment of customer requirements and inefficiency of
PSS design.
The service-centered design approach is a holistic approach to determine the
specification of service activities and products required for providing PSSs and
even pure services. For example, Aurich et al. propose integrated product-and-
service design processes (Aurich et al. 2004). The authors also have been developing
the integrated design methodology of service activities and products based on the
service-centered design approach, so that a single actor can carry out the core
processes of service design. In the context of the service-centered design approach,
“service” means not only intangible human activities to provide value to customers
but also the total performance of PSSs including products. In addition, “service
design” in the service-centered design approach is a designing activity to create such
expanded services. In this context, the authors explain required engineering methods
for service design, including service modeling methods, service design phases, and
related design methods.
5 Modeling Method
5.1 Definition of a Service
In recent research on services, service is commonly considered as an activity to

provide certain value (Goedkoop et al. 1999; Spohrer et al. 2008; Shimomura and
Tomiyama 2002). For example, the authors defined a service as an activity by a
service provider to change the state of a service receiver (Shimomura and Tomiyama
2002). In this definition, a service is delivered by means of service contents
and service channels. Service contents such as materials, energy, and information
directly change the receiver’s state. A service channel transfers, amplifies, and
Fig. 36.3 Definition of service
controls service contents and indirectly influences the state change of a service
receiver (see Fig. 36.3). Service contents and channels configure the realization
structure of a service.
Based on the abovementioned definition, the representation scheme of the state
change of a service receiver, contents, and a channel has been proposed (Shimomura
and Tomiyama 2002). This method expresses a service as the combination of
parameters and their relationships, and it provides three kinds of parameters,
namely, receiver state parameters (RSPs), content parameters (CoPs), and channel
parameters (ChPs). A set of RSPs represents a receiver’s state. Any RSP can be
defined if it describes a receiver’s state. However, for meaningful service design,
RSPs must be observable and related to the needs of a service receiver. The
adequate representation of a service receiver’s demands with RSPs is one of the
most important processes in service design. CoPs express contents, and ChPs which
express a channel affect CoPs and indirectly influence RSPs.
5.2 Service Models
Developing models is an important step to understand and develop a target object

or system. Especially in the early phase of the PSS research, developing business
models suitable for PSSs was an important topic (Tucker and Tischner 2005). Some
researchers tried to analyze the ecological and economic aspects of PSS by means
of their models (Tukker 2004).
On the other hand, a service contains various aspects. When designing services,
the viewpoints to describe those aspects are important. As an example of the design
models of services, the authors explain the model consisting of the following three
types of models that describe such viewpoints.
1. Stakeholder model
For a service provider, the most important stakeholder is a service receiver.
As explained above, the requirements and state change of service receivers are
described with RSPs. For the extraction of the RSPs of service receivers, the
stakeholder model employs the persona method, which is used primarily for
software interface design to provide a simplified description of a customer and
Provider
Flow Model
View Model
RSP
Receiver
Scope Model
Intermediate
Agent
Scope Model
Scope Model
Fig. 36.4 Structure models
works as a compass in the design process (Cooper 1999). Meanwhile, a service

receiver’s activity should be also analyzed to identify his or her unstated needs.
In addition to the persona method, various researchers have suggested a type of
scenario analysis to clarify a customer’s activities. For example, the authors have
proposed a method to describe a scenario in a graph form to represent scene
transitions (Shimomura et al. 2007). For each described scene, a service designer
describes the receiver’s state with RSPs based on the scenario information.
2. Service structure models
Service structure models describe realization structures to provide services.
Service structures can be described from various aspects and at various levels
of abstraction. In this chapter, the authors introduce the service structure model
consisting of three submodels (Shimomura and Tomiyama 2002). Figure 36.4 is
the overview of this model.
– View model
A view model describes a functional structure that can be used to realize a
change in an RSP. Here, the functional structure is described as functional
relations among the RSP, CoP, and ChP. The view model expresses a part of
Legend
Time to move to a destination
RSP (Receiver
Lend a bike State Parameter)
Rate of usable bikes Speed of bikes Function
parameter
Hire workers Prepare a rental place Prepare bikes Attribute
Treating Size of Size of parameter
time rental places bikes Relation between
parameters
Performance Size Size Function
Store staff Rental place Bike Speed
Entity
Fig. 36.5 An example of view model
the realization structure of a service through the relationship between the RSP
and the functional structure. Figure 36.5 is a description of the view model.
The functions of channels and contents are expressed by function names
as lexical expressions and function parameters (FPs) as target parameters
of functions. Each function is related to another. The FPs that are directly
related to RSPs are recognized as CoPs, and those indirectly influencing
RSPs are ChPs. The most important role of service design is to clarify the
realization structure of a service represented through the relationships among
the parameters reported above (RSP, ChP, and CoP). In addition, by relating
the realization structure composed of CoPs and ChPs to artifacts, called
entities, the roles of actual entities in a service, as a channel or contents, can
be determined.
– Scope model
Since an actual service is composed of complicated mutual relationships
among providers and receivers, it is necessary to specify the active target range
in the design of the service (Shimomura and Tomiyama 2002). A scope model
expresses the target range of a service. A scope model is represented as a set
of RSPs specified by a designer and view models that are related to them.
– Flow model
As reported above, many services form complex structures consisting of
many stakeholders. Between a final receiver and a provider, there may be
many intermediate agents, since it is generally inefficient to provide a service
without the support of these intermediate agents. Since intermediate agents
also evaluate services as service receivers, values for intermediate agents must
also be designed.
The flow model describes stakeholder relationships (Shimomura and
Tomiyama 2002). The flow model consists of stakeholders, called agents, and
one-to-one relationships among them. The scope model depicts a one-to-one
relationship between two agents in a flow model. A service designer needs to

integrate the evaluation of multiple receivers to increase the value of a service.
3. Service process models
A service process can be considered as a sequence of activities to provide
a service. Compared to the aforementioned structure models which describe
components of a service and their functions, a service process model describes
their actual activities, behaviors, and interactions among them. For example,
the order of stakeholders’ activities and the timing of their interactions can
be described only with the service process model. To describe those activities,
several modeling methods have been proposed.
The extended service blueprint is one of the modeling methods to describe a
service process (Shimomura et al. 2009). The origin of its concept is the service
blueprint, which is commonly used in the service marketing field to describe ser-
vice activities undertaken by a customer and a service provider (Shostack 1981).
However, a service blueprint is not available to describe the role of products in a
service process. Thus, the extended service blueprint was developed to describe
both human activities and product behaviors. The notation of an extended service
blueprint is based on Business Process Modeling Notation (BPMN) for the de-
scription of business processes (Havey 2005). BPMN is one of common notations
to describe business processes and suitable to describe both human activities
and product behaviors. Figure 36.6 shows an example of the extended service
blueprint. The extended service blueprint describes a service process which
consists of sequences of human activities and product behaviors, and their inter-
actions with nodes and arrows. Activities which can or cannot be seen from the
customer and detailed behaviors of product parts can be described explicitly, also.
Legend
Customer
Start
Ask for a Receive a Paddle a event
bike bike bike
Activity /
behavior
Pool
Invisible Visible
Receive a
Store staff
Pass a bike
request
Sequence
flow
Unlock a
bike
Message
flow
Lock
Unlock
Bikes
Pedal
Rotate
Fig. 36.6 An example of extended service blueprint

6 Service Design Phases and Methods
The design activities of services can be categorized into three design phases, i.e.,
value analysis, embodiment, and evaluation. A variety of design methods to realize
and support the design activities is proposed in each phase.
1. Value analysis
In the phase of value analysis, a service designer specifies the stakeholders of
a service and analyzes their requirements and values. For that, the persona and
scenario models are effective. To simplify the process of value analysis, the value
analysis template has been proposed (Akasaka et al. 2009).
The persona and scenario models use a form of representation based on natural
language. Thus, it requires a certain amount of training, given the diversity of
vocabulary selection and the difficulty of determining synonymy. Therefore,
to describe these models simply, a design template has been proposed. This
template is a set of five subtemplates used to describe personas, scenarios,
and RSPs:
– Persona template
Persona template is to describe a persona with its demographic data and
psychological data.
– Character/intent template
Character/intent template is to configure characters and intents of the designed
persona with the prepared vocabulary list.
– Script template
Script template is to describe detailed activities of the designed persona to
identify his or her needs.
– Keyword template
Keyword template is to convert the script to keywords which are unified
lexical expressions.
– RPS extraction template
RSP extraction template is to determine RSPs by correlating them with the
keywords.
By filling these templates in order, a service designer can determine RSPs
easily.
2. Embodiment
According to the analyzed values of stakeholders, a service designer embodies
a service process and its realization structure. To extract and determine their
elements, the modeling methods reported above have been proposed.
In addition, several design support methods have been suggested to embody
a service. Applying the method for product design to service design has become
one of the typical approaches. Here, the authors introduce the following two
methods:
– Abduction-based creative design
Abduction is a reasoning method that generates the hypothetical knowl-
edge needed to explain a certain fact and is realized by analogy in many
cases (Takeda et al. 2003). Abduction by analogy has been applied to
the creative design of not only products but also services by integrat-
ing knowledge from different domains (Oki et al. 2010). By using this
technique, a service designer can extract possible design ideas for service
design.
– Conflict detection and resolution
In the designed service models, there may be some conflicts. To avoid
them, a conflict-detection method has been proposed by analyzing objects
and predicates of functional expressions with a lexical expression database
(Shimomura and Hara 2010). To resolve such conflicts, TRIZ is commonly
used in product design (Mann 2002). TRIZ is a well-known methodology
for the detection and resolution of conflicts by means of the principles
and knowledge based on patent analysis. In several service studies, a part
of the TRIZ methodology is applied for service design. For example, a
list of inventive principles is used to solve the conflict (Shimomura and
Hara 2010).
3. Evaluation
After embodying a service, a designer evaluates and verifies it. Several methods
have been proposed to evaluate the efficiency and effectiveness of designed
services.
– Simulation
To evaluate the designed services, various simulation methods have been
proposed. For example, Komoto and Tomiyama applied a life cycle simulation
method for the evaluation of service processes (Komoto and Tomiyama
2008) (see chapter Life Cycle Simulation for Sustainable Product Ser-
vice Systems). In addition, a simulation method with a scene transition
net (STN) has been applied to service design (Tateyama et al. 2009).
STN is a graphic modeling method for discrete-continuous hybrid sys-
tems. It is suitable for a service process simulation, since it can describe
both the discrete-event transition and the state change of each stakeholder
simultaneously.
– Structure analysis
For the improvement of a designed structure model, a structure analy-
sis is also an effective approach. For example, a method to analyze the
importance of a design structure and parameters by means of QFD and
AHP is proposed (Shimomura et al. 2008). Quality function deployment
(QFD) is a systematic analysis method to translate customer needs into the
requirements and specifications of a design object (Akao 1990). Meanwhile,
the Analytical Hierarchy Process (AHP) (Saaty 1980) is used to compute
the importance of RSPs numerically according to bilateral comparisons
among parameters. By creating an importance matrix of a designed service
structure, essential points of the service structure can be identified for
improvement.
Figure 36.7 is an overview of the service design methods and processes
described above. As is evident, Service Engineering and its methods are based
on various existing approaches.
Design phases
Step.1 Step.2 Step.3
Value analysis Embodiment Evaluation
Design models / Requirement Engineering Design Engineering Operations Research

methods Process simulation
Persona / Scenario View/Scope/Flow model
(discrete / continuous)
Value analysis Extended service Life Cycle Engineering
template blueprint
Life Cycle Simulation
Abduction-based
creative design Design Engineering
: Modeling method
Conflict detection QFD+AHP
: Other design method
Fig. 36.7 Service design phases and methods
7 Service CAD
7.1 Components of a Service CAD
The solution space of service design tends to be much broader than that of the
conventional product design. It makes the derivation of design solutions difficult. To
provide computerized support for service design, the authors have been developing
a CAD system for service design called a Service CAD.
The quality of design solutions and the efficiency of the design process depend
largely on the designer’s knowledge and design methods. Such issues on design
management have been discussed in various fields, such as the research on
knowledge-based CAD (Tomiyama et al. 1996). The existing design study regards
design knowledge as an important element to derive a creative design solution. By
providing design knowledge based on existing service cases and realizing a partially
automated design operation, Service CAD can support the design of a new solution.
7.2 Structures and Functions of Service CAD
Figure 36.8 shows a conceptual scheme of a Service CAD, which consists of the
following components:
1. Service case base
A database of existing service cases
2. Persona database
A database of personas and their detailed information
3. Function database
A database to store function prototypes related to their realization structures
4. Design rule base
A database of operational rules for service design
5. Reasoning engines
Service Concept Service

Organizer Rudder Evaluator
Service Reasoning
Case Engine 1
Service Design Working Space

Base
Reasoning
Persona Engine 2
Database
Reasoning
Engine 3
Function
Database
Reasoning
Engine 4
Design
Rule
Base
Interface
Fig. 36.8 Conceptual scheme of Service CAD
Modules to derive new solutions by correlating a service in design to other

service cases from various aspects, such as their similarity. The pluggable
mechanism that allows service designers to select the effective reasoning engine
to derive new service ideas based on the designer’s request is adopted.
6. Service organizer
A module to support service design processes based on a specific design
methodology by means of other components
7. Concept rudder
A module to manage the stored knowledge in the abovementioned databases
8. Service evaluator
A module to evaluate a service design solution
The Service CAD is designed to collect existing service cases. In addition, the
Service CAD provides service designers with a reusable form of knowledge, such as
function prototypes, personas, and design rules derived from the design procedures
of existing service design cases. Those prototypes and rules can be utilized to
embody other services. By applying them to service design in a partially automated
manner, the efficiency of service design can be improved. For that purpose, a
reasoning mechanism using service case databases and several reasoning engines
Fig. 36.9 Designed service in Service Explorer
to realize various design operations is implemented as a fundamental element of the

Service CAD.
The authors have developed a prototype system of the Service CAD, called
Service Explorer. Figure 36.9 shows a screen image of Service Explorer, currently
under development.
This system has the following five functions:
1. To provide a design environment to input and edit a service model
This is the most fundamental function of Service Explorer. In order to input
information for efficient service design, an easy-to-use graphical interface to
describe a service model is prepared.
2. To display focused components of a designed service
Service Explorer can display the components of a service in design according to
the designer’s operation. Even a service designer who is new to the target service
can understand the structure of the service by browsing its service components.
3. To register service cases in the service database
Designed service models can be stored in the service database attached to Service
Explorer. Whole design data can be stored in the service case base, and extracted
components, such as functions and personas, are stored in the function case base
or the persona database.
4. To search for a useful design knowledge in the service database
In Service Explorer, a search function is implemented to look up the service

database according to the designer’s requests. Service designers can search for
service models as reference information by inputting related keywords.
5. To reuse service model data stored in the service database
Service Explorer provides not only a function just to search for a service model
with a keyword but also one to reuse the structure of service models stored in
the service database. For example, the function “clean floors” and its realization
structure in a restaurant service can be used for the design of a hotel service.
Various reasoning engines can be used for that purpose.
7.3 Application Cases
Service Explorer and service design methods have been applied to various service
cases. Figure 36.9 shows the result of the functional design of an elevator main-
tenance service in the Service CAD. By decomposing a specific requirement of a
service receiver into detailed functions, the concrete realization structure to embody
a service can be described. Designed functions and their realization structures can
be used for the design of other services.
After describing the service structure, a service designer can evaluate the service
model in the Service CAD. Figure 36.10 shows the result of the importance analysis
method of a service model. The set of numbers in the left-hand area in Fig. 36.10
Fig. 36.10 Service evaluation in Service Explorer

shows the importance values of function parameters. They have been derived by
means of the abovementioned importance analysis method. By visualizing the result
of evaluation in the form of graphs in Service Explorer, a service designer can
determine which part of a service structure should be modified.
Including the abovementioned design case, several projects of service design
have been performed. One of the projects is Project ReCSeEn (Research Con-
sortium on Service Engineering). This project was carried out by the Research
Consortium on Service Engineering, which is comprised of four companies and
three universities, in Japan in 2007/2008. In this project, the value analysis template
was developed and applied to four case studies.
8 Summary
In this chapter, the authors explained the service-centered design approach and its
effectiveness. To realize service-centered design, the authors introduced various
design methods for each service design phase: value analysis, embodiment, and
evaluation. In addition, the concept of Service CAD for creative and efficient service
design and its prototype were explained.
9 Cross-References
Life Cycle Simulation for Sustainable Product Service Systems
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Product Design Considerations for
Improved Integrated Product/Service 37
Offerings
Mattias Lindahl and Erik Sundin
Abstract
In society today, there is increased awareness about escalating environmental
problems, for example, climate change and pollution. The main reasons for these
problems are tied to society’s use of products. During the last two decades,
industry and academia have proposed and tried to implement a large number of
potential strategies and solutions to reduce these problems. One such promising
concept that has emerged is the Integrated Product/Service Offering (IPSO) (also
known as Product/Service System (PSS)). This concept is based on research from
several areas such as business economics, engineering design, and environmental
technology. An IPSO is “an offering that consists of a combination of products
and services that, based on a life cycle perspective, have been integrated to fit
targeted customer needs.” The focus is on providing a function, not a product
or service; this means that the provider can put more focus on optimizing the
total life cycle cost (both from the provider and customer perspectives). In many
cases, the service provider retains responsibility for the physical products in the
IPSO during the use phase.
The objective of this chapter is to introduce product design considerations
to consider when developing an IPSO. The chapter begins by providing insight
on why IPSOs require a new design mindset, followed by the presentation of
useful guidelines for developing IPSOs. These guidelines are illustrated with
three industry examples.
M. Lindahl ()
Department of Management and Engineering, Environmental Technology and Management,
Linköping University, Sweden
e-mail: mattias.lindahl@liu.se
E. Sundin
Department of Management and Engineering, Division of Manufacturing Engineering, Linköping
University, Linköping, Sweden
e-mail: erik.sundin@liu.se

DOI 10.1007/978-1-4020-8939-8 62,
670 M. Lindahl and E. Sundin
This chapter is based on studies by the authors but also draws from studies
found in the literature. While the focus is on business-to-business IPSOs, several
of the proposed guidelines could also be valid for business-to-customer IPSOs.
1 Introduction
In society today, there is increased awareness about escalating environmental

problems, for example, climate change and pollution. This, in combination with
a concern about the shortage of natural resources, has resulted in increased pressure
to find innovative solutions and strategies that can tackle these problems. The main
reasons for these problems are tied to society’s use of products and are in general
caused by:
• The number of products used – The growing population requires a constantly
increasing number of products. The number of products per capita increases at
the same time as the average active use time per product decreases.
• The time products are used – The average time a product is used before it is
scrapped decreases. The reasons are several, such as poor quality and changed
needs.
• The way material and energy in products are used – The material and energy
invested in a product is, in general, not reused or used in an inefficient way.
This implies that, in principal, a solution and strategy for managing and reducing
these problems needs to consider and manage the three reasons listed above, as well
as their underlying root causes. An additional challenge, given the sharp increase
in these problems, is that the effect of the desired strategies and solutions must be
significant compared with the existing situation.
During the last decades, a large number of potential strategies and solutions have
been proposed, and some have been implemented; however, the impact from these
has in general been minor. One promising concept that has emerged is the Integrated
Product/Service Offering (IPSO) (also known as Product/Service System (PSS)).
This concept is based on research from several areas such as business economics,
engineering design, and environmental technology. An IPSO is “an offering that
consists of a combination of products and services that, based on a life cycle
perspective, have been integrated to fit targeted customer needs.” The focus is on
providing a function, not a product or service; this means that the provider can
put more focus on optimizing the total life cycle cost (both from the provider and
customer perspectives). IPSOs often create close contact between the supplier and
customer (Östlin et al. 2008), leading, for example, to offers being customized and
improved to better suit the customer. In many cases, the service provider retains
responsibility for the physical products in the IPSO during the use phase.
In parallel with the environmentally related issues, today’s increasingly global
world forces manufacturers, especially in developed countries, to rethink their
traditional business models in order to increase their profits and profit margins.
Examples of factors that push this development are increasing raw material and
energy prices, increasing competition among manufacturers, saturating markets,
37 Product Design Considerations 671
low labor cost competition from developing countries, increasing environmental

regulations, and, not the least, changed customer requirements and behaviors. In
general, today’s customers want more than just a physical artifact; they also want a
solution/offering that fulfils their needs.
The objective of this chapter is to provide an introduction to product design
considerations that should be considered when developing an IPSO. The chapter
begins with insight as to why an IPSO requires a new design mindset, followed
by five guidelines useful when developing an IPSO. These five guidelines are also
illustrated with three practical examples from industry. In addition, it is important to
note that even though this chapter focuses on the design of the products, the product
design is still linked and discussed in relation to the design of the service content,
as also mentioned by Weissenberger-Eibl and Biege (2009).
2 Integrated Product/Service Offerings
Representatives from academia have advocated that one way to overcome the above
challenges is for providers (companies) to take greater responsibility for their
products’ value chain, especially during the use phase and end-of-life. This will
also enable them to earn more profit along the value chain, and specifically during
the offering’s use phase (e.g., by services), and to use ingoing artifacts in a more
efficient and effective way, for example, by reusing and reducing the need for those
artifacts. The possibility to earn more money implies that an increasing number
of manufacturers, especially in developed countries, must transform their physical
artifact-focused production philosophies toward philosophies that incorporate ser-
vice content from a life cycle perspective.
Integrated Product/Service Offering (IPSO) is a concept which can be used to
obtain a larger share of the market and control a larger share of the offering’s value
chain. The focus is on providing the function, not a product or a service; this means
that the provider can put more focus on optimizing the total life cycle cost (both from
the provider and customer perspectives). An IPSO is “an offering that consists of a
combination of products and services that, based on a life cycle perspective, have
been integrated to fit targeted customer needs.” IPSOs often create close contact
between the supplier and customer, leading, for example, to offers being customized
and improved to better suit the customer. In many cases, the service provider retains
responsibility for the physical products in the IPSO during the use phase.
When developing an IPSO, it is important to, as the name indicates, do so with
an integrated approach or in other words develop the offering’s physical product and
service content in parallel. However, this is a challenge for many manufacturers that
have been traditionally focused on producing artifacts for as low a cost as possible
and with little or no contact with the final customer. In addition, they normally have
little or no experience with developing service content. In industry, there is a need
for support of ISPO design including concept selection; however, very little support
exists (Meier 2004; Aurich et al. 2006; Sakao et al. 2009; Sakao and Lindahl 2009).
This chapter is an attempt to contribute to this support, with the objective to first
describe and illustrate some of the principle engineering-related reasons why it is
important to rethink the development of the physical products and services used for
IPSOs. These reasons create the foundation for some general guidelines that are
described and later illustrated with industry examples. It is important to note that
even though this chapter focuses on the design of the products, the product design is
still linked and discussed in relation to the design of the service content, something
also mentioned by Weissenberger-Eibl and Biege (2009).
3 Integrated Product/Service Offerings Requires a New

Design Mindset
This section describes the main engineering-related reasons why it is important for
IPSO providers to rethink their way of developing ingoing physical products and
services.
3.1 Traditional Product Development
All companies have some sort of product development within their operations
that could have various levels of formality and regularity. Product development
has been defined by ENDREA (2001) as: “all activities in a company aiming at
bringing a new product to the market. It normally involves design, marketing and
manufacturing functions in the company.” Even though the word “product” is stated
in this definition, a product in this context can be both physical and nonphysical.
When developing new products, designers normally follow a procedure/model
(sequence of activities) that can be more or less defined, a so-called product
development model. Those procedures often describe when and how to perform
design, marketing, and manufacturing activities. The literature is full of various
forms of product development models (see, e.g., Ulrich and Eppinger 2000; Ullman
2002).
Today’s product development models are, for the most part, adapted to the current
predominant business model in the industrialized world. In other words, they are
based on the concept that the customer should buy the product (and pay for it
up front) and be responsible for the product’s use phase. This implies that the
focus in product development is normally on reducing costs for the manufacturing
company, for example, cutting down the cost of manufacturing and delivery in order
to get a competitive price for the customer. At the same time, this implies that
manufacturers pay little attention to the later phases of the product’s life cycle, for
example, the use phase (with activities such as use of energy and consumables,
service and maintenance, and upgrading) and end-of-life (with activities such as
material recycling, product and component remanufacturing).
From a customer perspective, however, this focus on the product development
process is often negative. Life cycle cost studies and life cycle assessments have
Influence on the Environmental impact

environmental impact
100%
Phases
Design Production Delivery Use End-of-life
Fig. 37.1 Example of the environmental impact accumulation over a product’s different life cycle
phases and the possibility to influence that environmental impact
shown that, for many products, the major costs and environmental impact for the
product occur during the use phase (in reality, often the longest phase of a product’s
life) and its related activities. Figure 37.1 shows, in a simplified way (different
products have different profiles), the environmental impact accumulation over the
product’s life cycle and the chance to influence that environmental impact.
3.2 The Life Cycle Perspective
When developing an IPSO, the basic principle is to consider all life cycle phases in
order to optimize the offering from a life cycle perspective, something which implies
new conditions for the development process. The main objective is no longer to
simply achieve the lowest total cost for the product or service but rather to achieve
the lowest cost for the total offering (the combination of products and service).
When the focus is expanded to cover more life cycle phases, for example, the use
phase, this implies that the number of potential offering solutions increases. This
is a possible challenge from a development perspective. At the same time, from
an optimization perspective, the increased number of solutions is positive since it
results in a greater possibility to optimize the total life cycle cost/environmental
impact of the offering. Costs are often associated with the use of materials and
energy, which in turn provide a negative environmental impact, implying that more
cost-optimized products usually have less environmental impact.
Figure 37.1 not only illustrates the different phases’ impact on the total environ-
mental impact but also the possibility to influence that environmental impact. The
greatest influence potential is during the design phase, especially the early part of it.
This is at the same time logical, since it is in the early phases of product development
that the product specification is set and the parameters that must/should be focused
on are determined. As mentioned earlier, since in general the predominate way
of earning money is by selling products to customers, many manufacturers’ main
concern in their specifications is often how to optimize and improve the production
of their products and how to develop products that are not too durable (so their
customers will come back for new ones).
3.3 The Freedom of Action: The Design Paradox
The initial product specification sets up boundaries for potential actions in the later
phases. Therefore, it is important to consider them thoroughly in order to avoid
unwanted lock-in effects. This boundary effect in the design process is often referred
to as the “design paradox,” a well-known fact for people working with product
development. The challenge is that when a new design project begins, very little
is known about the final product, especially if the product is a new one for the
designers. However, as the work on the product progresses, knowledge is increased;
at the same time, the scope of freedom of action decreases for every product decision
step taken, since time and cost drive most projects. This implies that costs for later
changes increase rapidly, since earlier work must be redone. Altogether, this forms
the paradox – when the general design information is needed, it is not accessible,
and when it is accessible, the information is usually not needed.
Figure 37.2 shows the principal relation between freedom of action, product
knowledge, and modification cost (Lindahl 2000). The figure is the author’s further
development of three figures: the design paradox (Ullman 2002), costs allocated
100
Freedom Product
of action knowledge
80
Percentage
60
40
Modification
20 cost
0
Timescale
Fig. 37.2 The relation between “freedom of action,” “product knowledge,” and “modification
cost” is shown (Lindahl 2000)
early but used late in the project (Andreasen and Hein 1987), and the cost for design
changes as a function of time during the planning and production process (Bergman
and Klefsjö 2003).
3.4 Increased Time Pressure and Competition
The rate of technological and market changes has accelerated in the past decade,
with today’s companies facing increasing competition. In order to survive and de-
velop their business, they need to be proactive in rapidly responding to fluctuations
in demand (Collaine et al. 2002). A cornerstone to their competitive success is their
capability to develop new products (Gonzalez and Palacios 2002); improve, further
develop and optimize old products; and do so faster than competitors (Stalk and
Hout 1990). This puts pressure on designers to develop and proceed more rapidly,
while at the same time satisfying an increasing number of product demands.
One concept now commonly used in industry for managing these challenges is
Integrated Product Development (IPD). The basic idea behind IPD is to increase
efficiency in product development by more parallel activities and a higher degree
of cooperation between functions, levels, and individuals in an enterprise (Olsson
1976; Andreasen 1980). More parallel and concurrent product development pro-
vides opportunities to, for example, shorten the calendar time (from start to stop).
Norell (1999) characterizes the performance of IPD as follows: parallel activities,
cross-functional collaboration by multifunctional teams, structured processes, and
front-loaded development. The four characteristics above are in line with what
Wheelwright and Clark (1992), Wilson et al. (1995), and Cooper et al. (1998) regard
as important features for successful product development.
As highlighted earlier, in “traditional” product sales, there is a need to constantly
introduce new models and/or features, and do so at an increased speed to keep
competitors out and at the same time sell new products to both new and existing
customers. In order to provide a constant introduction of new models and/of features
companies generally do not want to include all potential technical improvements at
once in a new product but rather split them up over several versions to be able to sell
more products over time.
However, when developing an IPSO, this mindset is normally changed and
so are the conditions for the development process. The reason for this is that
when providing IPSOs, the focus is not usually on selling products but rather
on providing functionality to the customer. Added to that, the provider is also
often responsible (owns or controls) for the offering’s ingoing products during
the use phase. Furthermore, the payment is often based on the functionality and
performance during the use phase. For example, if the ISPO is not working, the
provider gets no payment; at the same time, the provider incurs a cost for getting
the IPSO into operation, for example, through service or maintenance.
Altogether, this implies that providers start to incorporate other issues and
considerations when developing their offerings. For example, once an IPSO is
sold to a customer, the provider wants the customer to use it for as long as it is
economically interesting for the provider and wants the IPSO to require little service
and maintenance during the use phase. The longer the IPSO’s ingoing products are
used, the lower the initial investment cost for those products in relation to the cost for
the use phase. This increases the potential to earn money if the IPSO’s functionality
and performance are kept equal or close to its initial status.
This also triggers companies to implement their best technology at once instead
of taking it in steps. For example, if a company has a technology that can cut
down energy consumption during use, it will implement that in order to avoid the
customer coming back and asking for a new solution or abandoning the provider for
a competitor’s solution. Rather than spending time on developing different versions
of a product, with an IPSO, the company has, in principle, more time for developing
increasingly optimized offerings that are more cost-efficient and effective and thus
result in a reduced negative environmental impact. Nevertheless, it will still be
relevant for shortening the calendar time (from start to stop).
3.5 Real Integrated Product and Service Development
To summarize, Figs. 37.1 and 37.2 illustrate the importance of the design phase
as well as setting relevant requirements as early as possible in the development
process. It also shows the problem with traditional product development. Often,
little care is taken in product development (and in its specification) for future service,
maintenance, and end-of-life treatment (Sundin et al. 2009). Traditionally, the initial
focus is on developing the physical product; once that is done, a possible service
(intangible product) is developed, but this is hindered by the limitations set up from
the physical product. When developing an IPSO, the development is accomplished
in an integrated and parallel approach, as illustrated in Fig. 37.3 (Lindahl et al.
2006).
Economic issues
End-of-life treatment phase
Manufacturing issues
Production phase
Quality issues
Use phase
Environmental issues
Design issues
Marketing issues
Et cetera
Fig. 37.3 An integrated and parallel approach for developing an IPSO (Lindahl et al. 2006)
4 Guidelines for Developing Integrated Product/Service

Offerings
Based on the previous section, as well as adaptation of previous theory on IPSO

development (Lindahl et al. 2007, 2009; Sakao and Lindahl 2009; Sundin 2009a, b;
Sundin et al. 2009; Öhrwall Rönnbäck et al. 2009; Lingegård et al. 2010, 2011), this
section describes a number of engineering-related implications and some general
design guidelines that can be useful when developing an IPSO’s ingoing products
and services.
4.1 Manage Service and Product-Related Requirements in an

Integrated Way
When identifying requirements, this should not be done with a product or a service-
focused mindset but instead with a total offering-focused mindset (the mix between
products and services in the final offering solution should be set later). This implies
that the focus should be on what value the potential offering should provide and not
on what value its ingoing components, in the form of products and services, should
have.
4.2 Identify Requirement with a Life Cycle Approach
Since the ISPO provider in many cases retains responsibility for the physical
products in the IPSO during the use phase(s) as well as during the end-of-life
treatment, this requires a life cycle approach when identifying requirements. In
traditional sales, the main source for requirements is the potential buyer (customer).
In relation to the above, however, it is crucial in the identification process to identify
all important actors in the offering’s life cycle that might have an influence on, or be
influenced by, the potential offering. It is important to identify their requirements,
perceived value, and willingness to pay for the IPSO. This also implies, for example,
that instead of viewing a customer company as a customer, it is important to see the
actors within that company. For example, the most important actor might be the
production manager or sales staff at the “traditional” customer company; it could
also be the customer’s production manager or in some cases, authorities or trade
associations that have set up certain rules that affect the “customers” business in an
IPSO-favorable way.
4.3 Develop and Evaluate Integrated Offering Concepts
Traditionally, many companies first develop their physical products and then add on
service. When developing IPSOs, however, this should be an integrated process as
the name indicates, begin in the concept development process, and be based on the
identified actors’ requirements.
When the requirements have been translated into functions that the IPSO needs
to fulfill, various potential solutions are developed. Those solutions could either
require physical products or services or, more likely, a combination of both. Then, as
in traditional product development, the aim is to evaluate and find the most suitable
solution that can be further developed into a complete IPSO.
When the solution (combination of physical products and services) to be further
developed is set, it is possible to accomplish this with traditional development
methods and tools. The requirements on each component (product or service) are
then set in the end, combined to the complete IPSO.
4.4 Develop Offerings to Facilitate Service and Maintenance
When developing and later evaluating a potential IPSO, the focus should be on
finding those that, from a life cycle perspective, result in the lowest environmental
and economic impact and at the same time, fulfill the set requirements. This implies
a changed mindset regarding, for example, the cost of production and how to handle
spare parts and maintenance. As mentioned above, in developing successful IPSOs,
one must have a life cycle perspective for both physical artifacts and the service
systems used during and between the customer contract periods.
In practice, this may imply that in order to reduce the need for service or spare
parts during the use phase, a decision is made to develop and produce an artifact
that is slightly more durable and costly. This could also imply that, instead of
incrementally introducing new technologies in order to be able to come out with
constantly new products, a more leapfrog, or in other words radical approach, is
taken. In contradiction to traditional selling, the IPSO provider is more concerned
that the artifact does not break down during use because it would lead to higher
costs when the artifact is not performing at the customer, resulting in paying for
the customer’s downtime and needing to provide them with repairs and spare parts
(Lindahl et al. 2005). With traditional selling, the customer was responsible for
most of these costs that also used to be lucrative for the manufacturer. The IPSO
concept, however, changes the manner in which the manufacturer/IPSO provider
earns money; with IPSO, previous revenues from the aftermarket are collected from
day one, when selling the IPSO. The IPSO provider can facilitate the maintenance,
repair, and service by addressing the following aspects:
• Design artifacts that are easy to service. For example, to ease the access of
service and disassembly points, use material and joining methods that do not
break down during service, and use standardized components that are easy to
store and do not need special tools to be disassembled.
• Design a service system that can respond rapidly and accurately. For example,
integrate “smart” applications in the artifacts that can warn when malfunction
is about to occur, monitor the artifacts during use, and schedule preventive
maintenance; include more resources to perform preventive maintenance rather
than unplanned maintenance, which would cost the IPSO provider more; and
make service manuals accessible through the internet with clear and easy-to-
follow instructions.
The artifacts can be adapted in several ways for the product life cycle according to
existing design-for-x methodologies (DfX), for example, design for service, design
for repair, design for remanufacturing, and design for recycling (Huang 1996). In
the same manner, the service part of an IPSO and the surrounding support system
can facilitate the life cycle phases of the IPSO in order to make it work well from
both the IPSO provider’s and customer’s perspectives.
4.5 Develop Offerings to Facilitate End-of-Life
In traditional sales, since companies normally have no ownership, they generally

have little interest in what happens with their product in its end-of-life treatment.
However, when providing IPSOs, companies often retain ownership or control over
their products throughout their life cycle, for example, in order to be able to reuse
them. In addition, substantial legislation at the European Union level strives to
increase the recycling and remanufacturing of products, components, and materials,
for example, the End-of-Life Vehicles (ELV) and Waste of Electric and Electronic
Equipment (WEEE) directives (European Union 2000, 2003).
In order to facilitate the take back of artifacts, or in other words the three
“return flows” shown in Fig. 37.4, there must be an efficient system in place
for these reverse logistic flows. In addition, an economically and environmentally
efficient manner of taking care of these artifacts after use by customers is also
required. This could be a combination of end-of-life processes, for example, product
remanufacturing, component remanufacturing, and material recycling. From a
material resource perspective, it is preferable to let as much of the artifact be
remanufactured and reused in the next IPSO. This means that no new artifact needs
to be manufactured to provide the next customer with the IPSO. This is common for
the rental and remanufacturing schemes of Toyota Material Handling (see Sundin
and Bras 2005). It has been shown in environmental research that remanufacturing is
Raw
Parts Products
Materials
Product Assembly/
Part Manufacture Use
Remanufacture
Disposal:
Incineration,
Re-use
Landfill or
Storage
Recycling of parts
Recycling of material
Fig. 37.4 The physical product (artifact) life cycle (Sundin 2004)
an environmentally preferable option in comparison with the manufacturing of new

products (Sundin and Lee 2011). The IPSO provider can facilitate the take back,
end-of-life, and remanufacturing by addressing the following aspects:
• Design artifacts that are easy to conduct end-of-life processes on. For example,
ease the access to cleaning, disassembly, and testing points; use material and
joining methods that do not break down during the end-of-life processes; use
standardized components that are easy to store and do not need special tools
to disassemble; and make the components easy to reassemble and perform
functional tests on before being reused as an IPSO artifact or component in an
IPSO artifact (Sundin et al. 2009).
• Design the take back system and end-of-life processes to match the IPSO. For
example, implement an efficient take back system within the IPSO-providing
service organization; install an IT system which alerts the remanufacturing and
material recycling facilities when the used artifact is arriving at their facility
and in what condition (this information speeds up the decision process of what
to do with the returned artifact); implement a good communication system
between designers and remanufacturers so that remanufacturers can plan a
remanufacturing process that works well for the artifacts entering the market (this
reduces the need for reverse engineering at the remanufacturing facilities); etc.
4.6 Guidelines
To summarize the above, IPSO developers need to consider the following five
general guidelines:
1. Manage service and product-related requirements in an integrated way.
2. Identify requirements with a life cycle approach.
3. Develop and evaluate integrated offering concepts.
4. Develop offerings to facilitate service and maintenance.
5. Develop offerings to facilitate end-of-life.
5 Practical Examples
This section describes three cases and how the five general guidelines above have
been considered in those cases.
5.1 Core Plugs for Paper Mills
Polyplank AB has developed a process to transform plastic waste and wood

fibers into a cheap, recyclable, and moisture-resistant composite material used in
different system solutions, one of which are the core plugs used by paper mills
(Larsson 2009; Sundin et al. 2010). Paper mills use them to plug the cores on which
paper is rolled up; thus, the core plugs follow the roll out to the customer. Through
Fig. 37.5 Core plugs for the paper mill industry
selling through the concept of functional sales, Polyplank collaborates closely with
their customer and the paper mill and can thus take advantage of the core plugs
when the paper mill’s customers send them back to the paper mill. Normally, the
core plugs go back and forth three times between the paper mill and their customers
before the plugs return to Polyplank. When a core plug is returned from the paper
mill’s customer, they are washed and checked before reuse, as seen in Fig. 37.5.
There are three main scenarios for the paper mill’s customers’ used core plugs:
• Disposal by the paper mill’s customer – In some cases, used core plugs at the
paper mill customer disappear or are discarded. This quantity is very small.
• Reuse by the paper mill (sent out to new customers) – The most common scenario
is when core plugs, after a period out at the paper mill customer, are returned to
the paper mill; after washing and quality control, these core plugs can be reused
for new customers. If the core plug is worn out, it is returned to Polyplank where
it is recycled. Normally, the core plug is reused several times. Because of its
business model, Polyplank aims to achieve a level of quality that will enable their
core plugs to be reused several times. Even the paper mill’s customers benefit
from this approach; instead of the cost and handling associated with discarding
core plugs, they can easily send them back.
• Recycling by Polyplank – When core plugs are finally discarded, they are
returned to Polyplank where they are grinded down and sent to injection molding
in order to become new core plugs. In practice, almost 100% of all incoming
used core plugs become new core plugs.
When Polyplank developed their IPSO, they worked very closely with their
main customer to identify, from a life cycle perspective, the requirements that were
important for the IPSO as a whole. One consideration was the fact that some of the
ISPOs are actually delivered by the customer (e.g., the take back system of used
Fig. 37.6 Left – First version of the core plug. Right – Final version of the core plug
core plugs from the paper mill’s customer, cleaning of used core plugs and control).
Examples of identified requirements were that core plugs must be easy to clean and
check and that they must not crack, resulting in a loss of paper. Another was to
develop a core plug with an optimal life cycle.
The first version of the core plug (Fig. 37.6) was not optimal, as it was designed
based on the paper mill’s initial requirements for single-use core plugs. After some
discussions with the paper mill company, Polyplank managed to convince them that
another design would be more suitable. Even though Polyplank creates their IPSOs
based on recycled material, they prefer to use as little material as possible in their
offerings. Polyplank had performed advanced finite element method analysis to find
a design that could improve the core plugs’ durability while also making the core
plug easier to wash, produce, and transport. The result was a core plug that was 35%
more durable and at the same time 30% lighter. The higher durability implied more
loops between the paper mill and their customers, and the reduced weight meant
less transportation and production costs since less material needs to be managed in
the production process, for example, in the injection molding used for producing the
core plug.
Since the material used in the core plugs is reusable, Polyplank has focused on
designing an IPSO that takes into account a high degree of used core plugs coming
back to them. If not used for new core plugs, Polyplank can reuse the material for
other products.
To conclude, Polyplank’s material has several environmental benefits; in or-
der to verify their claims, they have conducted a life cycle assessment (LCA)
and a life cycle cost (LCC) study. In comparison with a single-use core plug
of virgin plastic, Polyplank’s business model/solution results in approximately
80–90% less environmental impact, and their cost for providing the core plug is also
approximately 80–90% less. The largest gain with core plugs based on Polyplank’s
material is the use of recycled compared to virgin plastics, resulting in a significantly
reduced overall environmental impact. The more times the plug’s material can be
reused, the less the environmental impact. Polyplank’s business model has increased
their ability to take full advantage of their material. Since the Polyplank core plug
can be reused, the overall environmental impact per use is decreased; however,
reusability puts greater requirements on quality with regard to durability. It has been
confirmed that the core plug that Polyplank manufactures has sufficient quality to
withstand at least five reuses, which helps reduce the overall environmental impact.
5.2 Soil Compactors for Construction Firms
Swepac International AB is a Swedish manufacturer of soil compactors. The

company offers various types of soil compactors to its customers, which for the most
part consist of construction firms. The company aims to produce soil compactors
that can withstand tough conditions in difficult environments, as shown in Fig. 37.7.
Swepac’s designers have tried to reduce the cost for spare parts and maintenance.
The company provides its customers with a fast supply of spare parts, technical
service, and support, as well as offering pure service agreements where customers
have a list of service levels to choose from.
In order to prolong the technical and economic lifetimes of its soil com-
pactors, Swepac also conducts remanufacturing. This could also be included in
the customers’ service agreement. The remanufacturing process generates costs for
Swepac, which they are trying to reduce; Swepac’s designers, for example, are
working to reduce maintenance and remanufacturing costs by choosing a smart
design for their products. The plan for Swepac is to develop soil compactors which
Fig. 37.7 Soil compactors for construction sites

Fig. 37.8 Left – First version of the soil compactor. Middle – Second version of the soil
compactor. Right – Third version of the soil compactor
have longer service intervals, and components and material will be chosen to ensure
that they last throughout a normal life cycle.
Swepac have worked extensively with their product adaptation. In order to avoid
unnecessary costs for maintenance work and remanufacturing, the company has
introduced new materials to replace the traditional selection. Figure 37.8 shows how
these design improvements have progressed for a type of soil compactor of similar
size.
The Hood – In the first design version, the hood was made of painted steel. To
reduce the amount of visual scratches and repainting jobs, the hood was changed to
colored plastic; this also enabled faster replacement of the hood if necessary.
The Chassis – the chassis is of the first design version, made of painted steel,
just as the hood. This type of chassis was found to be easily damaged, and when
remanufacturing the soil compactor, much time and effort was put into the repainting
operations needed to return it to newly manufactured condition. To increase quality
and reduce damage as well as the need for repainting, a rubber bellow was added as
seen in the second design version. For the third design version, the designers also
decided to galvanize the painted steel with zinc. The galvanized steel was found
to reduce scratches even more than the rubber bellow and to keep the maintenance
needs to a minimum, since the zinc has a self-healing effect when damaged.
The Lifting Device – The first design version had a solid metal loop for the user
when grabbing and lifting the soil compactor up and down from the ground. This
is usually accomplished with a tractor or a forklift truck. The loop, however, was
hard to reach, and if missed, the soil compactor could be damaged. In the second
design version, a foldable textile strap with a chain was introduced, along with a
larger loop area (see the right-hand figure in Fig. 37.7 above). This allowed for
easier transport with less chance of damage. However, one of the drawbacks with
this design solution was that it could eventually wear out and thus was a bit tricky
to change. For the third design version, the designers introduced a foldable metal
loop which was not as strongly attached to the soil compactor as in the first design
version. The benefit with this type of lifting device is that it is long-lasting and can
be easily replaced if necessary.
Some previous design adaptations in all of the design versions for IPSOs
conducted by Swepac were already made. For example, the base plate was made
of Hardox steel which is very hard and will not require any maintenance and/or
replacement during the soil compactor’s technical lifetime. In addition, the filter for
the air inlet to the engine was enlarged to stop more particles. Also, the air inlet
was placed at a spot where fewer particles were flying around in the air. Since the
compactors are used in an extremely particle-filled environment, this kind of filter
significantly prolonged the technical lifetime of the engine. Since Swepac was not
an expert in the area of engines and how to service them, this was a good option
for them to reduce maintenance and repair efforts. To summarize, given the design
evolutions made by Swepac designers, one can conclude the following advantages:
• Less visible damage during use
• Reduced need for repainting during remanufacturing
• Easier replacement of the hood during maintenance and remanufacturing
• Reduced wear during transport and easier replacement of the lifting device
While investigating one of the soil compactors at Linköping University, researchers
found some minor areas for improvement. During a product analysis (Sundin et al.
2010), several design improvements were highlighted, for example:
• Introducing snap-fits on the strap cover for the strap between the motor and the
chamber of revolving vibration cylinders. Using snap-fits would eliminate the
use of tools, hence making the assembly and disassembly of the cover more time-
efficient. Snap-fits are preferable if they provide the same quality as the existing
four screws.
• Standardize the screws used in the entire compactor design. This would reduce
the number of tools used for the assembly and disassembly of the compactor
parts. In addition, costs would be reduced due to a lower number of articles to
keep track of in databases and storage facilities.
5.3 Automatic Teller Machines for Convenience Stores
This case concerns an automatic teller machine (ATM) sold as a service in, for
example, a Japanese convenience store. It is important to identify the different
stakeholders of the ATM, for example, the users, the bank, the money transfer staff,
and the convenience store staff, the IPSO developers, manufacturers, and service
providers. An example of an ATM in Japan can be seen in Fig. 37.9.
Some physical requirements for the ATM machine could be:
• Amount of space that is needed for the ATM
• Type of power supply that is needed
• Security that surrounds the ATM machine
From a service perspective, it is valuable for the developers to know what kinds of
service are required, for example:
• Withdrawals from credit card and bank accounts
• Available notes
• Maximum amount of withdrawal
Fig. 37.9 Automatic teller machines in a Japanese convenience store
• Types of credit cards accepted

• Languages the customer can choose from
When developing and evaluating integrated offering concepts, it is important to
understand how the physical and soft requirements can be developed in an integrated
way. For the ATM machine, this could mean that the button choices are not labeled
but rather related to choices shown on the screen (if not a touch screen). This
means that the software could be updated as the requirements of the service change
and also that many different choices can be made with the same physical buttons
but with different meaning, depending on what information the screen shows. The
IPSO provider can facilitate the maintenance, repair, and service by addressing the
following aspects:
Design artifacts that are easy to service. In practice, this means to ease access
to the points where the service technician inserts diagnosis tools to understand what
is wrong with the ATM during unplanned service and to check for errors during
preventive maintenance. Parts that might need to be changed during service and
repairs should be easy to access; keyboards, displays, and mechanical parts that
handle cards and money are some examples.
Design a service system that can act fast and accurately. In practice, this
means to integrate smart components to warn the IPSO provider when a break
down is about to occur. This would lead to more planned maintenance of the
ATM as well as more satisfied customers, since downtime would be reduced. The
IPSO should plan enough preventive maintenance to keep promises made with
the IPSO customer. By doing so, the customer is more satisfied and the IPSO
provider achieves better customer relations and control over their products. Service
technicians must have access to updated service manuals, preferably from the
internet.
Design artifacts that are easy to conduct end-of-life processes on. In practice,
this means that test diagnoses should be easy to perform in order to understand
which parts need to be cleaned and replaced before the next IPSO use. Several more
parts, for example, might need to be replaced than with normal maintenance. The
parts must be easy to access and disassemble, and the parts that need to be cleaned
must be easy to clean and withstand the cleaning process several times so they can
be used several times. In addition, the joining methods should facilitate several
disassembly and reassembly instances in order to get efficient use of resources.
Screws and other joints should be standardized to avoid errors in reassembly and
to lower the costs of component storage.
Design the take back system and end-of-life processes to match the IPSO. In
practice, this means that to achieve efficient service as well as an efficient take back
system and end-of-life process, information for the specific ATM’s design, usage,
and maintenance data needs to be stored during its life cycle. This could be, for
example, the number of monetary transactions, the number of monetary refills, or
the number of planned and unplanned services. This could also include records on
which components have been changed during service.
Summary
This chapter has provided an introduction to product design considerations for

improved Integrated Product/Service Offerings. This area, however, is still in its
infancy and will continue to develop in the coming years, especially as companies
and researchers begin to realize the great potential in redesigning “classical”
products and services to better function within an IPSO. More and more detailed
guidelines and methods will be developed and described in textbooks and papers, as
well as guidelines and methods that, for example, will support designers, balancing
trade-offs between service and product content and how to handle them in the design
phase.
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38
Dorothy Maxwell
Abstract
Increasing consumption of consumer products and services with significant
environmental and social impacts is a key contributor to many of today’s
sustainability challenges e.g., climate change, resource depletion (energy, water,
biomass, metals, land use, and biodiversity loss), waste, pollution and social
inequities. Consumer products are among those with the most significant en-
vironmental and social footprint. In particular, production and consumption of
high-impact products and services, e.g., food, our homes, how we heat/cool
them, the electronics we use, transport, clothing and tourism are recognized
contributing factors to our most critical environmental and social challenges.
Sustainable consumption and production (SCP) provides one set of solutions
to tackling this. Supply side sustainable production measures to improve the
sustainability performance of products across supply chains can only bring us
so far. The role of the consumer in shifting consumption patterns so we can
live ethically within our “one planet” means as well as the wider infrastructure
to support this is also a key part of the solution. For this reason, influencing
a shift to sustainable lifestyles is a growing focus for policy makers and other
stakeholders with strong influence on consumer choice, e.g., retailers, brand
manufacturers, educators and the media. Outside of this, the debate is growing
on the inherent conflict between a traditional market economics system that
continues to drive growth as resource limits become more obvious. This is
forcing a more sophisticated approach to the new business and consumer models
we are likely to need beyond SCP to meet our sustainability challenges as our
population expands to an anticipated nine billion by 2050. In order to enable SCP
D. Maxwell
Founder and Director of Global View Sustainability Services Ltd., London, UK
Lecturer at Imperial College London MSc Environmental Science, Centre for Environmental
Policy, London, UK
e-mail: dorothymaxwell@gv-ss.com, www.gv-ss.com

DOI 10.1007/978-1-4020-8939-8 68,
692 D. Maxwell
demand and supply side measures to work, a paradigm shift in our economic
system is needed. Key changes include internalizing environmental externality
costs of production and consumption to send accurate market signals, remove
perverse fiscal incentives, and actually motivate sustainable behavior change
financially. In addition, our measures and indicators of success at country and
business levels need to go beyond economic indicators, e.g., gross domestic
product (GDP) alone, to incorporate not only financial but natural and social
capital, as well as ensuring the required prioritization of these in practice. A re-
evaluation of human needs and wants is part of this paradigm shift with new
definitions for how consumers and producers measure “value” reflected in new
business and consumer models.
1 Introduction
This chapter explores the following:

• The contribution of consumer products and services to critical environmental
challenges, e.g., climate change, resource depletion (energy, water, biomass,
biodiversity, and land), waste, and pollution.
• The role of the consumer in the solution and whether the growing trend to drive
a paradigm shift toward “sustainable lifestyles” can deliver real results.
• The complex factors involved in leveraging consumer behavior change and our
successful and failed attempts at this to date through communications campaigns
and in particular ecolabels.
• The wider system level shifts economically and in business and consumer models
that are needed to enable SCP to be a truly valuable solution to our sustainability
challenges.
2 Impacts of Consumer Products and Services
2.1 Overall Scale of the Challenge
Based on a review of the latest international, EU, and UK evidence, Table 38.1
illustrates those products and services with the highest environmental impacts
(Defra 2010).
The extent of environmental damage caused is largely dependent on the type of
product or service, the volumes produced, and its consumption patterns. Both con-
sumer and commercial products and services are included in the high-environmental
impact product groups.
2.2 Contribution of Consumer Products and Services
Studies focusing on the UK, EU, and internationally show household consumption
typically has high environmental impacts (UNEP 2002; Worldwatch Institute
38 Sustainable Consumption 693
Table 38.1 High-environmental impact product and services

High impact product and service groups Key examples
Food and drink Meat and dairy, fish, palm oil-using foods, and other
commodity crops (e.g., soya, cocoa, tea, coffee)
Transport Cars, planes
Housing/buildings Houses and commercial buildings
Electrical and electronic equipment Energy using/related products (ERP)b as defined
(EEE)a by ecodesign of energy related products legislation
including in particular space and water heating, con-
sumer electronics, and ICT
Clothing and textiles Apparel clothing, textiles, and footwear
Tourism Hotels/resorts, planes
Eating out Food services, catering, restaurants
Packaging Plastic, paper, metals packaging, etc.
Timber products Paper and pulp, furniture and building products, e.g.,
flooring
Health/personal care products Palm oil-using care products, e.g., soaps, detergents,
shampoos and cosmetics
Chemical products Chemicals, fuels, batteries
a
Electrical and electronic equipment (EEE) are ten categories of electronics as defined in the
waste electrical and electronic equipment (WEEE) and restriction of hazardous substances (RoHS)
directives
b
Energy-related product categories are as defined in directive 2009/125/EC of 21 October 2009
establishing a framework for the setting of ecodesign requirements for energy-related products
(Recast) of original directive
(WWI) 2004; Weidema et al. 2005; UNEP 2005; Carbon Trust 2006; WWF
2006; SERI 2009; Defra 2010). For this reason, household consumption is a
crosscutting priority focus and highlights the importance of targeting household
consumer products and services with high impacts. For the EU, consumer products
within the product groups of food and drink, transport, housing, and electrical
and electronic equipment are consistently identified as high-environmental impact
contributors across a range of environmental indicators (JRC/IPTS 2006; EEA
2010; Weidema et al. 2008; Nemry et al. 2008a, b). The EU milestone study on
the Environmental Impacts of Products (EIPRO) (JRC/IPTS 2006) identified the
products and services consumed in the EU that have the greatest environmental
impacts across their life cycle based on both private and public expenditure and
volume consumed. From this, the following three product groups are consistently
the most significant contributors environmentally in terms of global warming,
acidification, photochemical oxidation, and eutrophication:
• Food and drink: 20–30% of the environmental impacts measured
• Private transport: 15–20%, depending on the impact category
• Housing (building and appliances): 20–35% of the impacts of all products for
most impact categories
694 D. Maxwell
Within food and drink, transport, and housing, EU priority products and con-
sumption activities are:
• Food: meat and dairy
• Transport: cars (air transport data was limited in EIPRO but known to be
significant)
• Energy use in and around the house: cooling/heating and electronic appli-
ances/ICT
• House building, renovation, and demolition.
All other areas of consumption together account for approximately 20–30% of
most environmental impacts in the EU with the next level of priority product groups
including clothing, restaurants/hotels, and recreation/leisure (including tourism)
(JRC/IPTS 2006).
While the specific environmental impacts vary per product group, these include
greenhouse gas emissions causing climate change, resource depletion (energy,
water, minerals, metals, land, biomass, and species loss), waste, and pollution. The
impacts of products occur across their life cycle from raw materials acquisition to
end of life. As an example, Fig. 38.1 illustrates the life cycle impacts occurring
across the supply chain of clothing. The impacts include those associated with raw
material processing (e.g., growing cotton or polyester processing from fossil fuels to
make fiber and fabric), garment production, distribution (by shipping, road, and air
transport), purchasing by the consumer at retail stores, “in use” impacts of clothes
cleaning, and finally reuse, recycling, or disposal when the garment is at its end of
life. At each life cycle stage, materials and resources are input and environmental
impacts result.
Fig. 38.1 Lifecycle impacts of clothing (Source: Global View Sustainability Services 2010)
For consumer products and services, the consumer influences the “in use” life
cycle stage environmental impacts in particular. For some products and services,
the “in use” impacts can be significant and therefore makes the consumers role in
reducing this particularly important. Examples are energy services in the home for
heating/cooling air and water as well as to run electronics appliances; fuel use in
cars; and laundering clothing. Washing and tumble-drying clothes use resources
(energy and water), generate greenhouse gas emissions and water pollution from
detergents. Therefore, influencing consumer laundering practices is one part of
the solution needed to prevent or reduce these impacts. Consumers also play an
important role in enabling extended product lifetimes and, when no longer suitable
for use, sound environmental end of life management. This is particularly relevant
for products, e.g., electronics, clothing or DIY gadgets. Extending the useful
lifetime of these goods, enabling their reuse and recycling are key to enabling closed
loop approaches that have significant resource and waste saving benefits (Braungart
and McDonough 2002). Another example is food waste. In the UK, approximately
one third of food bought per annum is thrown away as waste to landfill generating
greenhouse gas emissions (WRAP 2008). Providing the infrastructure for the best
end of life solutions, e.g., composting food waste and empowering consumers to use
this, is essential for preventing or reducing this impact.
2.2.1 Demand and Pricing

Growing population, increasing consumer demand, and artificially low prices are
key factors driving demand for consumer products. One quarter of the global
population (two billion people) are part of the global consumer class (GCC), i.e.,
using products above subsistence level, e.g., TVs, telephones, and the Internet
(WWI 2009). Of these, 50% are in emerging markets and developing countries,
e.g., China and India. The GCC is anticipated to grow most in developing countries
in the coming years (WWI 2004, 2009). Rapid technological development and
quickly changing consumer preference can compound this problem by resulting
in a high turnover of products, which become quickly obsolete. Examples of
this are fast value fashion (cheap clothes with a short lifespan) and fast moving
telecommunications and electronics industries where new models of affordable
mobile phones and IT equipment, to name a few, replace their previous counterparts
within months.
A key market perversion that incentivizes unsustainable behavior is that the
current prices of consumer products and services do not incorporate all the
environmental and social costs of their production and consumption – so-called
environmental and social externality costs. This is resulting in an artificially low
price for consumer products. However, with fossil fuel energy sources, water,
several commodities (e.g., food crops and cotton) and precious metals (i.e., used
in IT) increasingly resource constrained, indicators are that the days of cheap food,
clothing, and electronics may change into the future. From the social side, increasing
labour costs in the main consumer product manufacturing countries, e.g., China, are
a another major factor influencing this shift. However, in spite of this, the real cost
of environmental and social externalities not currently included in pricing makes
696 D. Maxwell
the actual cost much higher. To date from the environmental perspective, we only
price greenhouse gas emissions, water, and some wastes (including waste electrical
and electronic equipment) using crude fiscal instruments and only in some parts
of the world. Outside of this, the cost of environmental impacts of producing and
consuming consumer products and services are not valued (TEEB 2010). The gap
in incorporating all externalities, as well as the nonuniform approach in what are
global consumer product markets, is causing artificially low prices, efficiency-based
risk management approaches in the main, and market uncertainties that limit our
ability to finance the transition that is needed for sustainability.
2.2.2 Consumption Patterns

Environmental impacts are strongly influenced by consumption patterns. The
following patterns and trends are increasing in the developed world causing a
growing strain on limited resources:
• Smaller households
• Increasing use of electrical and electronic equipment
• Prepacked convenience foods
• Private car dependence
• People travelling greater distances more frequently (e.g., low-cost airlines)
As one example, Fig. 38.2 shows how ownership and energy consumption for
household electronics for the EU-27 has changed since 1990.
Because of strong use of energy efficiency measures over the past two decades,
the energy efficiency per unit of product for household electronics, e.g., fridges,
washing machines, dishwashers, lighting, and TVs, has improved significantly.
However, these product improvements have been outstripped by increases in owner-
ship and increased use of appliances (EEA 2010; JRC/IE 2009). As a result, overall
electricity consumption per household for lighting and appliances has gone up. This
is called the rebound effect (EEA 2010; Maxwell et al. 2011). Part of this increase
Ownership - dish washer

2.6
2.4 Ownership - TV
2.2
Ownership - washing machine
2
Index 1900 = 1
Elec. consumption per

1.8
dwelling for lighting and
1.6 appliances
1.4 Specific energy consumption -

TV
1.2
Specific energy consumption -
1 washing machine
0.8 Specific energy consumption -
0.6 dish washer
1990
1992
1994
1996
1998
2000
2002
2004
2006
Source: Odyssee database, 2010
Fig. 38.2 Trends in appliance energy efficiency and ownership – EU-27 (Source: EEA 2010)
is due to increasing numbers of households and disposable income, increased

ownership of multiple appliances per household, and usage changes. For example,
there is on average over two TVs now present in most UK households compared to
1990. Also, facilities such as “standby” and “idle mode” allow appliances to be left
in an energy-using mode indefinitely (Owen 2006, 2007).
3 Role of Consumers in Sustainability Solutions
3.1 Sustainable Consumption and Production (SCP)
Enabling sustainable consumption and production (SCP) is a key part of the

solution. Research has shown that the factors necessary to enable SCP include the
following (Maxwell 2004; Maxwell and Sheate 2006):
• Factors that enable the production of more sustainable offerings from industry at
company and sectoral levels. These incorporate the use of Life Cycle Assessment
to comprehensively understand the environmental and social impacts across sup-
ply chains and preventative approaches to improve performance, e.g., sustainable
design and supply chain management. Other factors are using less resource
intensive, closed loop supply chains vs. a liner approach. Where suitable to the
product functionality, moving away from consumers owning products to models
where they can be leased, e.g., Product Services Services (PSS), can enable
this approach in practice (Brezet et al. 2001; Mont 2002). Cars, electronics,
DIY gadget and clothing are particular opportunity areas for these new types
of business/consumer models.
• Push and pull factors on both the supply and demand sides necessary to motivate
producers and consumers to develop and demand more sustainable offerings.
• Short- and long-term paradigm shifts in the market economy, economic frame-
work, business, and consumer models as well as the wider infrastructure and
technology to support a sustainable future.
These involve a wide range of stakeholders and in particular consumer product
manufacturers, retailers, policy makers (sustainability and economic related), the
financial sector that influences business investment decisions, consumers, and their
strong influencers, e.g., the media, school, and university. Leveraging consumer
behavior change is just one part of this wider system level transition.
3.2 Leveraging Consumer Behavior Change Towards Sustainable

Lifestyles
There are multiple ways to influence consumer behavior and to promote sustainable
lifestyles. These include:
• Awareness raising and information campaigns associating positive feelings with
certain products or activities.
698 D. Maxwell
• Using role models to influence consumers, e.g., business, government, education,

celebrities and the media.
• Using fiscal incentives and technology, e.g., SMART meters to make reducing
consumption more convenient (Defra 2007; UNEP 2010; EEA 2010).
In the EU, environmental policy on “sustainable lifestyles” is being used to leverage
human behavioral factors that influence consumption patterns. To support this, there
is a growing range of EU social science research and technology platforms (UNEP
2010; Defra 2007).
Research shows key factors that motivate consumption beyond the product or
service functionality include price, disposable income, education, and affluence
levels (Defra 2007, 2008). The UK has based its behavior change program on
understanding these motivations and targeting demographic groups accordingly
(Defra 2007, 2008). A recent study to determine lessons learned from consumer
behavior change activities internationally shows the following (Sustainable Scotland
Network 2011):
• Behavior change initiatives will be more effective if they go beyond targeting
the individual (e.g., through informational campaigns) to include intervening in
wider social contexts. They should target moments of transition in life (e.g.,
having children or moving home), mavens (e.g., school children can influence
parents), and pressure points in infrastructural systems (e.g., renewable energy
technologies or public transport) which can give long-term sustained behavioral
change.
• There is untapped potential in using coordinated initiatives across systems based
on a coherent vision of the required changes in a specific sector or consumption
area.
• Non-pro-environmental messages, e.g., related to health, diet, and conveniences
that ease time, pressure, or financial gain, can also be used to leverage pro-
environmental behaviors.
So far in the EU, information campaigns and initiatives have aimed at raising
consumers’ awareness of sustainability and are typically targeted on single issues,
such as reducing car driving, saving energy in offices or homes, and consuming
organic or locally sourced food. Ecolabels have been used as consumer awareness
raising and information provision to varying success. Those with a single, simple
message, e.g., energy labels, have been seen as successful as uptake of more efficient
appliances has increased (EEA 2010). These show energy consumption on a scale
of A++ (best performing) to G (worst) and are used in several countries including
the EU and USA. Another successful approach has been using cost savings as the
hook to engage consumers as distinct from direct environmental messages, e.g.,
climate change which appeals to ethical motivations that may not always influence
the mainstream population (Defra 2007). For example, cost-saving information has
been identified as successful in encouraging consumers to switch off lights, use fuel
efficiently, and lower the thermostat (Owen 2007). Technology has also been used to
motivate behavior change. SMART meter technology which clearly displays energy
use and energy bills which provide usage and associated cost information have been
proven to drive energy savings of up to 10% in the home (Wright et al. 2000). More
sophisticated influencing factors are to influence consumer expenditure. Examples
are shifting spending to products and services with a lower environmental burden.
For example, in the EU, media campaigns and fiscal drivers are being used to
increase expenditure on electric and hybrid vehicles.
3.3 Communications, Labels, and Claims
The link between consumer awareness of the environmental and ethical footprint
behind the products and services they buy and their purchasing power is of
increasing interest to retailers and brand manufacturers. This is seen as one factor in
maintaining customer loyalty and growing the customer base. This is resulting in an
increased trend in brands and retailers using communications e.g., marketing cam-
paigns in-store, online, and ecolabels to influence consumers. Examples include:
• Levi’s “Care for Our Planet” program which uses garment tags, in-store and web
information to encourage consumers to wash less, wash in cold water, line dry
when possible, and donate clothing to charity when no longer needed (Levis’s
2011)
• Patagonia “Common Threads Recycling” program which includes consumer
information combined with the infrastructure for in-store product take-back and
recycling (Patagonia 2011).
Studies indicate that the effectiveness of these communication approaches varies
with a range of factors including cultural background, market segments, and
affluence levels. For example, consumer research in the UK shows a growing
fraction of consumers are aware of the ethical and environmental impacts products
have (Mintel 2009a; WWF 2009). However, this consumer awareness is not yet
strong enough to be sufficient to drive the required level of improvement. Price,
functionality, and convenience are still the primary factors influencing consumer
choice. Further, consumers have a hard time understanding the sustainability
concept to begin with, do not understand the majority of ecolabels, and get frustrated
and cynical with the myriad of these and wider green claims on the market. In
the case of clothing, Mintel’s research shows that while value clothing customers
are likely to care about ethical and green issues, they are less likely to boycott a
store on ethical reasons. This also showed that customers had more awareness of
ethical impacts, e.g., childlabor over environmental ones and lower income groups
claim not to be in a financial position to think about ethical or environmental issues,
particularly under-35s. These are among the most likely to be customers of the value
clothing chains (Mintel 2009b). Taking this complex mix of factors into account
is key to influencing behavior change effectively in the mass population vs. the
niche.
4 Understanding the Limits of Consumer Focused Solutions
There are several major barriers to sustainable lifestyles that need to be recognized
in order to understand the benefits achievable from leveraging consumer behavior
change in reality. These include failures in the capital markets system to reflect
700 D. Maxwell
sustainability impacts – the environmental and social externality costs resulting

in artificially low prices driving unsustainable production and consumption. A
second major barrier is that in a capital growth market, there is an inherent conflict
for those selling consumer products to sell less or encourage their customers to
buy less (Maxwell 2004; Jackson 2005). Overall, this means that based on our
current solutions, which in the main rely on efficiency-driven sustainable production
improvements, we are unlikely to achieve the environmental and social performance
required. In particular achieving the minimum factor 10 environmental improve-
ment advocated as necessary to support an expected nine billion population by 2050
is unlikely (Hawken et al. 1999; UNEP 2005; EEA 2010). This efficiency-based
approach can be seen as a Band-Aid on the problem and does not address reducing
consumption. It requires a shift from increased growth and consumption toward
an absolute reduction of production and consumption. This means a fundamental
change to the current market economic system and the business and consumer
models based on it. This also requires overcoming the conflict that traditional
economic models have where GDP growth is the main success factor. There is
increasing recognition of the causal link between measuring a country’s success
by increased growth using GDP, and increasing consumption (Maxwell 2004, 2006;
Jackson 2009; NEF 2010). A few countries are now working on defining indicators
beyond GDP to measure success relating to natural and social capital, e.g., the new
quality of life measures covering environmental and sustainability issues, as well
as economic performance (ONS 2010). France’s Stiglitz report recommends GDP
growth be used just to measure market activity and that new systems take into
account environmental health, safety, and education – what Bhutan already calls
“gross national happiness.” (Stiglitz 2009; Degrowth 2010). The study “Prosperity
without Growth,” advocates steering the economic system away from consumption-
driven economic growth while keeping the economy stable and resilient (Jackson
2009). It highlights that simple decoupling of resource use from economic growth
cannot be the primary long-term concept of a sustainable economy. This is because
the projected population growth would require an enormous extent of absolute
decoupling to be sustainable even if only to retain economic growth of 2% which
is not high based on conventional economic expectations. Achieving this extent
of decoupling would also be very capital intensive. Instead, it is suggested that
macroeconomics needs to be adapted to sustainability. The concept of consumerism
would need to be given up in favor of more sustainable lifestyles which focus much
more on immaterial values. This would require structural changes to motivate these
lifestyles, e.g., wage structures would need to reflect the social or environmental
contribution of a job (e.g., care for children, the elderly) and not only reward
competitive or materialistic outcomes (EC 2011). Another vital aspect would be
increased investment in public good and social infrastructure. In short, Jackson
describes a new vision well when he states that the new macroeconomics must
“abandon the presumption of growth in material consumption as the basis for
economic stability. It will have to be ecologically and socially literate, ending
the folly of separating economy from society and environment. And it must
consist in two main avenues. The first is to dismantle the perverse incentives for
unproductive status competition. The second must be to establish new structures

that provide capabilities for people to flourish – and in particular to participate
meaningfully and creatively in the life of society – in less materialistic ways”
(Jackson 2009).
5 Summary
Increasing consumption of consumer products and services with significant envi-

ronmental and social impacts is a key contributor to many of today’s sustainability
challenges, e.g., climate change, resource depletion, waste, pollution labour and
trade inequities. Examples include food, our homes, how we heat/cool them, use of
electronics, transport, tourism, and clothing. For this reason, leveraging consumer
behavior change to shift consumption patterns to truly sustainable lifestyles that
enable our growing population to live within our planet’s means and respecting
human rights is a key part of the solution. There is an increasing trend in policy
and other change agent stakeholders, e.g., brand manufacturers and retailers, to
influence this shift to varying degrees. However, leveraging consumer behavior
change effectively requires a sophisticated use of the right hooks that can drive our
willingness to change. At present, consumer expenditure is influenced by a complex
mixture of perceived need, price, disposable income, status motivations, education,
and affluence. Unlocking this is a long-term investment, and we are only at the early
stages of the journey.
At present, shifting consumption patterns in both developed and developing
countries have several major barriers inherent in our market economic systems and
the business and consumer models that underpin this. Sustainable consumption and
production provides a part of the solution if it results in truly sustainable products
and services being produced and consumer demand for these. However, this can
only be effective if there is a paradigm shift in the wider economic framework
including the business and consumer models that inform supply and demand. Key
characteristics required in truly sustainable business and consumer models in the
short to long term include the following:
• Business success not being based on the financial bottom line alone (Elkington
1997; Hawken et al. 1999).
• A time factor shift in economic decision making to focus on long-term versus
short-term profit, prioritizing and integrating environmental and social capital in
economic and business models, and redefinition of a country’s success beyond
GDP financial growth alone (Brezet et al. 2001; Maxwell et al. 2006; Jackson
2009).
• Internalizing environmental externality costs in consumer products and services
to reflect the true price of their production and consumption in order to send
accurate market signals and motivate behavior change financially.
• Meeting the functionality that consumer needs require in less resource intensive
ways and that are not always ownership based where this is feasible. Examples
702 D. Maxwell
are product service systems (PSS) as distinct from products alone (Brezet et al.
2001; Dobes and Majer 2002; Mont 2002; Maxwell and van der Vorst 2003).
• Greater consumer involvement, education, and information to shift the mindset
of consumers from being owners of products to being users of the services they
provide (Mont 2002).
• Business coalitions, networking, and interaction with a wider group of stake-
holders in the supply chain directly and on a crosscutting basis. This includes
the financial services sector and the media who have not not yet been engaged
effectively on sustainability (Brezet et al. 2001; Dobes and Majer 2002).
These characteristics are consistent with ecological modernization theories,
which propose a framework for sustainable development requiring transformation of
social, political, technical, and economic parameters. In particular, for sustainability
improvement, this promotes a transformation of policies (e.g., those relating to
environment, economics and international development), changing roles of institu-
tions and incorporating new stakeholders as change agents for sustainability reform.
This incorporates not only the traditional role of government but other stakeholders
such as the private sector, (e.g., industry, insurers, and bankers), and political
modernization, e.g., flexible decentralized governance structures versus the more
traditional top down and technical innovations (Barry and Paterson 2003; Mol and
Sonnenfeld 2000).
Overall, this paradigm shift has fundamental implications for how human value,
wealth, and success are measured plus the role of economic and other indicators to
do this. The role of current indicators, e.g., GDP, as measures of economic success
based on the value of goods and services produced in a country per annum pose
conflicts for sustainable development as does the goal of ever increasing GDP
growth. Incorporation of other indicators including natural and social capital, and
how we ensure the required prioritization of these factors in practice, needs to
be determined (Elkington 1997; WWI 2004; EC 2011). A re-evaluation of human
needs and wants is part of this equation with new definitions for how consumers and
producers measure value reflected in new business and consumer models. These new
business and consumer models would measure success by generation of community
wealth, protection and restoration of natural systems, as distinct from the bottom
line alone. On the sustainable consumption and growth agenda, we need to ask:
What is the goal of our society? At present, the economic priority is for maximum
growth in consumption and production. In reality, this is inherently in conflict with
our planet of limited resources.
6 Cross-References
Design for Sustainability (DfS): Interface of Sustainable Production and Con-

sumption
Material Flow Cost Accounting: Significance and Practical Approach
New Business Models for Sustainable Development
Product Service Systems and Sustainable Consumption Toward Sustainability:

Introduction
Sustainable Design Engineering: Design as a Key Driver in Sustainable Production
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Sustainable Design Engineering: Design
as a Key Driver in Sustainable Product 39
Christoph Herrmann and Guenter Moeller
Abstract
Sustainability has become a “hype” topic these days (Steeger 2004). However, al-
though sustainable considerations are clearly on the agenda of many researchers
as well as managers, the corporate sustainability map is still characterized by
some considerable “blind spots” (Waldron et al. 2008). One of these blind
spots is the role design plays in developing sustainable products, and how the
efficiency and sustainability of new product development (NPD) is increased by
consequently and strategically integrating the design function into the innovation
process. Starting from this fundamental perception, the intention of this chapter
is to outline a theoretical and practical framework for a new understanding of
sustainable product design, which should not be driven by purely ethical or
technical considerations only but needs to be grounded on business strategy and
economic objectives likewise.
1 Some Fundamental Considerations on Sustainability

and Sustainability Definition
Although the sustainability issue is, today, heavily referred to in political, societal,
as well as corporate contexts, the term “sustainability” is vague, and very dif-
ferent concepts and understandings may be linked to this single term (Basiago
2006). As Stuart Hart puts it, there “can be little doubt that sustainability is
one of the most frequently used but least understood terms of our time” (Hart
2005, p. 57). Fresner et al. (2006) have shown on the basis of an empirical
study that indeed the sustainability term may create very different associations in
C. Herrmann () • G. Moeller

Unternehmensberater (Business Consultants), Munich, Germany
e-mail: c.herrmann@hmp-innovation.com; g.moeller@hmp-innovation.com

DOI 10.1007/978-1-4020-8939-8 113,
708 C. Herrmann and G. Moeller
the ecological (energy efficiency, resource-conservation, recycling-capability. . . ),

social (self-determination, fairness, health protection. . . ), as well as economic
direction (stability, profitability, independence. . . ).
Whereas in the political and societal arena, sustainability is mostly used in the
context of “sustainable development,” i.e., in the sense of a “development that meets
the needs of the present without compromising the ability of future generations to
meet their own needs” (WCED 1987, p. 16; Martinet 2009, p. 3), sustainability
within the corporate context – especially the context of innovation management
and engineering – needs a much more pragmatic conception. Even if changing
legislation and societal factors are increasingly pushing more and more companies
to integrate sustainability aspects into the management of their firms, sustainable
corporate policies will only really increase if the true “value added” such policies
incur is clearly highlighted (Schäffer 2011; Steeger 2004; Figge et al. 2001).
What Robert Solow (1993, p. 167–168) has generally claimed for sustainability
policies of all kinds, i.e., that “if the sustainability means anything more than a
vague emotional commitment, it must require that something be conserved for the
very long run” and that “it is very important to understand what that thing is,” is
especially effective in business environments: “To integrate sustainability principles
into their business strategies and to aid resource allocation decisions, managers
must quantify the link between social and environmental actions and financial
performance” (Epstein and Roy 2003, p. 79).
Over the last decades, different instruments have been developed to help
companies to analyze and manage the added value sustainability brings to their
business. These instruments reach from simple sustainability check lists to complex
eco-balance sheets, eco-reports, and balanced sustainability scorecards as well as
sustainability indexes and sustainability rankings (Burschel et al. 2004; Charter
and Tischner 2001; Figge et al. 2001; Fresner et al. 2006; IÖW 2007; Schäfer
2005; Schäffer 2011; Schaltegger and Sturm 1992). Interestingly, many of these
initiatives – although being clearly focused on business issues – link sustainability
considerations mostly to very general strategic objectives such as increased cor-
porate social and/or environmental responsibility. What is often missing is a view
on sustainability which really brings it down on the shop floor and links it to the
important areas of new product development (see Fig. 39.1).
Over the last 20 years, there have of course been multiple initiatives to increase a
sustainability-oriented view on product development such as the IPP (Integrated
Product Policy) framework, the introduction on new ISO standards such as the
ISO/TR norm 14062 (environmental management – integrating environmental
aspects into product design and development), extensive considerations in the area
of product life cycle management, and other initiatives in the area of sustainable
innovation (Charter and Clark 2007; EU 2005; ISO 2002; Eversheim et al. 1995).
The design community has not took second place but clearly contributed to the
increase of sustainability consciousness within NPD contexts. Guo Q. Huang’s book
“Design for X” and Ezio Manzini’s diverse publications on “sustainable design”
are just two examples out of many underlining that (Huang 1996; Manzini 2006).
It is striking, however, that – whereas publications on sustainability management
39 Sustainable Design Engineering
Fig. 39.1 Product innovation as an integral part of a holistic business approach to sustainability (Source: Montgomery 2009)
709
and/or sustainability economics often miss the link to product innovation – many
treatises on design engineering and on ecodesign often do not clearly position a
sustainability-oriented design to where it usually takes place, namely, in the business
context.
Following a consequent business orientation, there is a clear need for a different
definition of sustainable design engineering, taking the design process itself far
beyond the will to just develop sustainable product design results (Manzini 1999).
Without changing the processes itself as well as the business objectives behind, any
intention to increase the sustainability of the products designed will consequently
fall short. “The keyword is synergistic, synergy between form and function, between
construction and production, between engineering and market etc.” (Grimheden
and Hanson 2005, p. 28). What has generally be defined by Martin Grimheden
and Mats Hanson as the core idea of any design engineering activity especially
applies for sustainable design engineering. The automotive industry is delivering
good examples for that. From Toyota’s hybrid cars to BMW’s i-series, such
revolutionary new product concepts would never have become reality if not the
design process was recalibrated, bringing design away from a short-term project
thinking to accepting it as a continuous improvement task fully integrated into
a company’s long-term innovation process based upon steadily evolving product
roadmaps.
Instead of a one-sided approach to sustainability, a triangular understanding
is needed according to which technical considerations (technology, materiality,
safety, etc.), aesthetical aspects (shape, ergonomics, functionality, etc.), and business
objectives (cost, market potential, revenues, strategic fit, etc.) are directly and
continuously linked to one another, jointly focussing on making the results of
new product development processes more efficient (in terms of energy-/material-
/resource- as well as production-/recycling-efficiency), increasing a product’s qual-
ity, reliability, and overall life span and most important its marketability and revenue
power (see Fig. 39.2).
How can a company make sure that these objectives are clearly integrated into
the processes of product conception and product development? Why is design an
important factor within these processes? And which effects does a sustainability-
driven design engineering have on the overall efficiency of innovation management?
It is these important aspects of modern innovation management this chapter is
focussing on.
2 Some Fundamental Considerations on Design
To clearly understand the economic power, a sustainable design engineering process

has, it is important to conceive the role design is playing in modern industrial
management. In fact, although design – just like sustainability – has become a hype
topic these days, many companies still fail to take full advantage of the potentials
39 Sustainable Design Engineering 711
Fig. 39.2 A triangular approach to sustainable design engineering (SDE)
design offers for business success. Especially in capital goods’ and technical goods’
contexts, design is often perceived as an additional and purely aesthetical activity
to be carried out by some outside “creatives” (Herrmann and Moeller 2005, 2006,
2009; Herrmann et al. 2009).
Following a strictly industrial understanding, design, however, plays a much
more fundamental role within product innovation and development processes.
It encompasses not only the outward form-giving but also the definition of a
product’s functionality, construction, user interfaces, ergonomics, and materiality,
assembly/disassembly. Within modern design theory and everyday work, this broad
understanding of design is often referred to as “design engineering” or “engineering
design” (Grimheden and Hanson 2005; Seeger 2005; Skerlos et al. 2005).
However, industrial design has an even broader function than just bridging the
gap between a product’s internal technical live and its outward appearance. In a
modern industrial understanding of design, the design activity is central to the
process of product conception, i.e., not only its future technical, and aesthetical
but also strategic configuration, thus having a significant influence on the future
innovativeness, quality, degree of sustainability, as well as potential market success
and revenue of a new product to be developed (see Fig. 39.3).
It is not only technical consumer goods companies such as Apple or Audi
but increasingly capital goods manufactures such as Gildemeister (machine tools),
Heidelberg (printing machines), Kuka (industrial robotics), or MAN (commercial
vehicles) which are following such an understanding (see Fig. 39.4). Accordingly,
they do no longer regard design as a “nice to have” add-on to an otherwise fixed
set of management and engineering tools but clearly integrate it into their overall
strategy and innovation systems (Herrmann et al. 2009).
Fig. 39.3 A modern industrial conception of design (Source: Herrmann et al. 2009, p. 31)
Fig. 39.4 Dymatrix die-cutter – an example for strategic design engineering by Heidelberg
(Source: Heidelberger Druckmaschinen AG)
3 The Role of Design in Innovation Processes
An essential prerequisite to fully understand the role of design within sustainable

engineering therefore is the recognition of the importance design today generally
bears for the success of innovation projects. Theory and praxis show that design
can serve as a lasting reinforcement factor in innovation processes and therefore

also in making the results of these processes more sustainable. Design can already
provide effective support in the idea-generating phase; it makes new product ideas
tangible at an early stage, it is important in the development of marketable products,
and it can help again to redesign existing products in such a way as to lower costs
(“design to cost”) and/or (“design to build”) to increase the probability of market
success (DMI 2004; Herrmann and Moeller 2009; Marsili and Ammon 2006; Mutlu
and Er 2003). Design moreover possesses an important function in the context
of product differentiation, and profiling and the communication of new product-
line logic in terms of assortment coherence and system’s intelligence. Above all,
design makes the innovative qualities of a new product concretely perceivable.
Important product aspects such as value, reliability, high engineering standards,
etc., get apparent to the viewer – and thus the potential buyer – only by way of
the respective product design (Herrmann and Moeller 2009). Unfortunately, these
central aspects of design are often disregarded. According to a study carried out
by the German Federal Ministry of Education, Science, Research and Technology,
“design can influence the innovation process considerably more strongly than this is
currently the case. . . Designers are not only able to accompany innovations, but to
initiate those themselves and to develop clear visions of innovation. These potentials
have not sufficiently been exploited so far” (VDI 1997, p. 74).
The special role design has as regards new product development may perhaps
best be explained with reference to the key role design assumes within the early
conception phase of an innovation. Designers in much of their work usually have
a conceptual approach. They develop holistic product concepts before directly
jumping into the nitty-gritty details of product development (Hardt 2004). If used
in an appropriate manner such an in-depth conception work usually leads to
better product solutions: “Product success depends on developing strong product
concepts and ensuring organizational focus on those concepts through project
selection. . . It is commonly thought that most of a product’s quality, cost, and
performance is decided during conceptual design, and that very little influence
comes from the details of the design. . . Best practices within the categories of
product strategy, detailed design and goals achieved an adoption rate of about fifty-
eight percent, while best practices within the categories of product disposal, concept
generation, concept screening, and concept design achieved an adoption rate of
about thirty-six percent. . . We can see that organizations have not widely adopted. . .
unconstrained examination of product concepts” (Dooley et al. 2002, pp. 2, 10, 18,
19). Unfortunately within engineering thinking, such conceptional aspects are often
neglected (Pappas 2002). This explains why the designer’s role within innovation
processes can be of crucial importance for the later outcome.
If, on the contrary, conceptual aspects are not considered enough within NPD
product development processes, the probability of later flaws and failures is consid-
erably higher, not only but specifically as regards the sustainability of the products
developed. As Hari Bapuji of the Asper School of Business at the University of
Manitoba has illustrated on the basis of an extensive study of the toy industry,
many of the products recall in that industry out of the last years did not derive from
manufacturing problems but from conceptual flaws in the early phases of the value
chain. In order to prevent this from happening, the design function (and a conceptual
approach linked to it) is crucial (Bapuji 2008).
4 Return on Sustainable Design Engineering (SDE)
As shown in Sects. 2 and 3 of this chapter, design generally plays an important role
in product conception and development processes. But what is its contribution in
making the results of these processes more sustainable? Following the above sus-
tainability definition, design may contribute to a sustainable product development
in that it either influences the efficiency/cost side (in terms of energy-/material-/
resource- as well as production-/recycling-efficiency) or by increasing a product’s
quality/reliability/life span and most important its marketability and revenue power.
As far as the efficiency/cost side is concerned, designers probably have a
considerable influence on the overall development cost. Although Hollins and
Pugh (1990) have shown that the pure design concept costs only make up for
approximately 12% of the overall product cost, design decisions heavily influence
future cost (such as cost for assembly/disassembly, component cost, warranty cost,
etc.) on the manufacturer’s side as well as the potential cost of ownership on the
client’s side. By looking for ways how to design a technologically and functionally
similar product solution differently, design can heavily alter the overall efficiency
not only in terms of manufacturing cost but also with reference to energy-/material-/
quality-efficiency.
Also as regards the revenue potential of a new product design solution is con-
cerned, designers can make an important contribution to increase the marketability
and thus return on investment (ROI) in product development and engineering. It
has been a considerable problem in the past that more environmentally friendly and
sustainable product solutions were often perceived as being less attractive. Through
changing the design of the product (not only in terms of its look but also in terms
of its usability, interfaces, ergonomics, functionality, etc.) design adds value in that
it increases the marketability and sales potential of a sustainable product solution
(see Fig. 39.5).
Here are the following three examples out of many underlining that: When
Nokia launched its mobile phone 3110 Evolve (the first mobile phone made from
recycled materials) in 2008, it looked by no way like a typical eco-product. On the
contrary, its design had clear references to modern high-tech benchmarks of that
time, therefore increasing its mass-market sales potential (Trivedi and Unhelkar
2008). Bosch Thermotechnology has over the last years not only increased the
eco-friendliness of its products (e.g., by combining traditional heating systems
with solar-thermic components) but also invested into an innovative design of its
products, not only with reference to the exterior but also the interior life of its
products, following the example of an advanced engine bay design within the
automotive industry (Herrmann et al. 2009). Finally, MAN Nutzfahrzeuge Group,
through a radical redesign of their cabs did not only increase drivers’ comfort but
have also lowered fuel consumption of their truck fleet (MAN 2007).
Fig. 39.5 Design contribution to an increased return on sustainability (ROS) in strategic design
engineering
Apart from these immediate effects in terms of cost/efficiency, revenue, and

market attractiveness, from a business point of view, it is of a considerable interest
to see whether the increase of the quality, the reliability, and the prolongation of the
product life cycle deriving from a sustainable product design positively influence
the overall future income potential of a company. Such considerations are of a
special importance because as a result of hypercompetition (D’Aveni 1994), it is
often assumed that product life cycles are clearly shortening as a consequence
of a general innovation pull and push and a trend toward disruptive innovation
(Paap and Katz 2004). In contrast to that, the design discipline (even if it is often
perceived as fashion-kind of thing from outside) has a long tradition in focussing
on a sustainable, i.e., long-term oriented approach to innovation. Starting from the
Deutsche Werkbund and Bauhaus movements to the more modern concepts of “Gute
Form” (to just take the German example), many designers are clearly trained to look
more for lasting aspects in product development instead of just focussing on short-
term innovation and business turnover. As Brigitte Wolf, professor for strategic
design at the University of Wuppertal, puts it: “The materialistic orientation of
management is confronted with the often idealistic self-conception of design” (Wolf
1994, p. 12).
Such idealistic predeterminations, however, do not prevent the design discipline
from justifying its rather long-term-mindedness on a quantitative basis. In fact, a
company prolonging the life span of its products does of course also reduce the
potential for selling new product versions or product series to the same clients within
the same period of time. There are in fact arguments showing why a sustainable
product and design strategy may nevertheless pay off. Many market and innovation
leaders such as ABB, Bosch, Ergo, FSB, Gildemeister, Heidelberg, Miele, Porsche,
Siemens, USM, and Volkswagen have been successful in the past (and still are)
because they did and do not only look for short-term successes by always throwing
new products on the market but also because they follow a sustainable product and
assortment strategy.
A long-term oriented product and design policy allows companies to raise the
product longevity and therefore operating efficiency on clients’ side to achieve an
easier payback of increased development expenditure, to reduce disposal cost, to
benefit from increased customer contentment and loyalty, to charge higher price
premiums, to sell extra services, and last but not the least, to meet changing
consumer tastes (such as the LOHAS – lifestyles of health and sustainability trend).
Whenever the total delta of these advantages clearly outweighs the disadvantage
of a reduced per-period repurchasing rate to the same clients, the net sustainability
profit (sustainability returns - sustainability cost) will be a positive one (Arnold et al.
2001; Burschel et al. 2004; Epstein and Roy 2003; Figge et al. 2001; Schäfer 2005).
Of course, design does not automatically lead to all of these advantages. Apart
from the fact that a designer may be equally short-term oriented as businessmen
often are, design sometimes leads to consequences which do not positively but
negatively influence the overall sustainability balance (id est a company’s overall
relation of environmental assets and liabilities). For example, in today’s short-cycle
market economies, products are often repacked or redesigned just to increase their
marketing opportunities, which may deteriorate the overall sustainability balance
(Bhamra 2009; Lewis et al. 2007). Again, here it is the responsibility of the respec-
tive product managers, designers, and engineers to clearly look for solutions which
outbalance these effects (e.g., through ecologically friendly packaging solutions or
a complete product redesign leading to reduced material usage) in order to keep
the overall balance positive. A benchmark example for that is Apple: “Over the
past decade, Apple’s designers and engineers have pioneered the development of
smaller, thinner, and lighter products. As our products become more powerful,
they’re using less material to produce and generating fewer carbon emissions. For
example, although today’s 21.5-inch iMac is more powerful and has a much larger
screen than the first-generation, 15-inch iMac, it is designed with 50 percent less
material and generates 50 percent fewer emissions. Even the iPad became 33 percent
thinner and up to 15 percent lighter in just one generation, producing 5 percent fewer
carbon emissions” (Source: http://www.apple.com/environment/).
5 Organizational and Strategic Conclusions
The arguments outlined above are of a considerable importance for the organiza-
tion of design within the engineering and innovation context. Design should no
longer be seen as an add-on activity to be brought in at the end of a product
development process but be clearly treated as an integral part of innovation man-
agement, generally as well as especially within sustainability-oriented innovation
contexts.
How different the results can be – depending on whether design is integrated

early into the innovation process or not – has been clearly illustrated by Udo
Lindemann, professor of product development at the Technical University of
Munich, with the help of the following two examples from his own professional
experience: “In the first case we had optimized a product from the technical and
economic points of view; the construction work was near completion. Now the
designer was invited to ‘take a final look.’ What was left for this ‘poor guy’ to do?
Who would have consented to a reconstruction project in the form of an increased
budget and accepted the delay in the product’s launch? In the second case, the
designer was involved before the machine concept was established. Following some
intensive and vehement discussions, the outward appearance of the machine was
determined with the resulting conceptual consequences. The later fair and market
success confirmed that the decision to collaborate had been sensible” (Lindemann
2005, p. 298).
To fulfil the responsibilities and tasks directly deriving from playing an in-
creasingly important role within innovation processes, the design discipline itself
clearly has to change its nature and expand its competence profile. Apart from
enlarging its technological know-how and apart from opening up to new forms
of open collaboration and innovation (Sawhney 2002), it also must step-up its
eco-competencies and its knowledge of sustainability methodology in the area
of life cycle assessments (LCA), environmental effect analysis (EEA), house of
quality/house of ecology approaches, and likewise (Fargnoli and Kimura 2006a, b;
Tischner and Schmincke 2000; Charter and Tischner 2001). To facilitate design
efforts in the area of sustainability, designers may refer to a set of helpful online
tools, which have been developed over the last years, such as the “ecodesign
pilot” in the area of hardware design (http://www.ecodesign.at/index.en.html) or the
“Packaging Impact Quick Evaluation Tool (PIQET)” (http://piqet.sustainablepack.
org) in the area of packaging design.
Last but not least, the design discipline will only be able to fully assume its key
role within sustainable NPD processes if it moves away from a purely “project-
oriented thinking” to a more strategic view on design, linking its own long-term
oriented product and design strategies to other important strategy areas within
the company (corporate strategy, market strategy, innovation strategy, technology
strategy, product and assortment strategy, brand strategy, communication strategy;
see Borja de Mozota 2003; Bruce and Bessant 2002; Herrmann 2004; Herrmann
and Moeller 2008; Ritzen and Beskow 2001).
As Lennart Karlson has shown with the example of ABB (see Fig. 39.6),
in corporate context, design work is usually embedded in a complex product
development environment, with lots of different strategic and operational parameters
(trends, scenarios, roadmaps, positionings, customer values, product specs, budgets,
etc.) to consider (Karlson 2002, Karlson and Wisen 2002). Within such corporate
environments, it is indispensable to clearly link design to these many strategic
and operational parameters and to bindingly integrate sustainable design objectives
within the overall stage-gate development processes to refrain them from remaining
pure lip service.
718
Fig. 39.6 Sustainability as part of a stage-gate-oriented design process at ABB (Source: Karlson 2002, p. 12)
C. Herrmann and G. Moeller
6 Summary
Design is by no means a nice-to-have add-on to engineering but an integral part of

it. Design can play an important role in making product innovation and engineering
more sustainable. To fully assume this, it is, however, not sufficient to link design
to some very general eco-objectives. It is on the contrary indispensable to really
strengthen the ties of the design task and the design engineering activity to other
strategic and operational activities within business and to clearly prove the positive
effects a sustainable product design has on overall business. Moreover, the design
work itself should be considered as a “strategic activity” sui generis. It is not very
astonishing that those companies which follow a long-term orientation within their
overall market approach usually also display a high consistency in their outward
product design (and vice versa). It came of no surprise if in times of increased
economic turbulences, the for long out-fashioned tendency to build on and maintain
such “sustainable competitive advantages” (Porter 1985) instead of always chasing
for new ones may gain new importance.
Authors: Christoph Herrmann (Dr. rer. pol., Dipl. Kfm. univ.) and Guenter
Moeller (Dipl.-Des.) are managing partners of hm+p Herrmann, Moeller und
Partner, a consulting firm based in Munich specializing on innovation projects
in the area of product, brand, and design management. Over the last years,
they have borne responsibility for numerous innovation and design projects for
companies such as Audi, Bosch, Daimler, Gardena, Infineon, Otto Group, Uvex,
and Volkswagen. Moreover, they have worked as lecturers and guest professors
at various universities such as the University of Arts (Berlin), the University of
Design (Offenbach), the Bauhaus University (Weimar), and the European Business
School (Oestrich-Winkel). From 2007–2009, they were heading a research group
on “Industrial Design and Innovation Management” at the European Business
School. Their latest books (“Design Governance – Design as a key Factor for
Innovation and Economic Success”, ICFAI University Press Hyderabad 2009 and
“Strategisches Industriegüterdesign – Innovation und Wachstum durch Gestaltung”,
Springer Wissenschaftsverlag Heidelberg 2009) analyze the close relations between
design, innovation management, and business success.
7 Cross-References
Design for Sustainability: the Interface of Sustainable Production and Consump-

tion
Ecodesign Strategies - a Missing Link in the Ecodesign Process
Integrated Design Approaches for Eco-Packaging Development
Sustainable Design by Systematic Innovation Tools (CAI, SI and TRIZ)
Sustainable Product Design and Development TPI-based Idea Generation Method
for Eco-product Development
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Physikalische Technologien (Technologie-Monitoring), Düsseldorf 1997
D. Waldron, K.H. Robèrt, P. Leung, M. McKay, G. Dyer, R. Blume, R. Khaleell, T. Connell,
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Development, Blekinge Institute of Technology, May 2008
WCED, Our Common Future, World Commission on Environment and Development (Oxford
University Press, Oxford, 1987)
B. Wolf, Designmanagement in der Industrie, Gießen 1994
Sustainable PSS in Automotive Industry
40
Christoph Herrmann and Katrin Kuntzky
Abstract
The automotive industry is confronted with an increasing servitization and rising
mobility needs. Changing customer requirements and a changing awareness
of the environmental impact of transportation generate a demand for new
approaches for the realization of transportation. At the same time, the rapid
development in information technology sets up new possibilities to create telem-
atic solutions and to strike new paths in the development of mobility concepts.
Sustainable product service systems in automotive industry can make a major
contribution to foster resource and energy efficiency in transportation. With the
combination of products, services, and infrastructure, the customer requirements
on mobility can be satisfied and simultaneously the environmental impacts can be
reduced. Thereby, the development of new product service systems in automotive
industry needs to consider automotive-specific characteristics, the mobility of the
automotive, and the exceedingly strong influence of external factors on the main
function of the automobile.
Entire mobility concepts as future additional offers of (automotive) com-
panies build on the basic idea of selling the mobility function instead of
the product. They allow the usage and combination of different mobility en-
ablers to combine with an integrative service and are part of the classifi-
cation of result-oriented product service systems. To ensure a contribution
An Erratum to this article can be found at http://dx.doi.org/10.1007/978-1-4020-8939-8 130

C. Herrmann ()
Technische Universität Braunschweig, Institut für Werkzeugmaschinen und Fertigungstechnik
(IWF), Braunschweig, Germany
e-mail: c.herrmann@tu-braunschweig.de
K. Kuntzky
Scientific Research Assistant, Department of Product- and Life-Cycle-Management, Institute of
Machine Tools and Production Technology (IWF), Technische Universität Braunschweig,
Braunschweig, Germany
e-mail: k.kuntzky@tu-braunschweig.de

DOI 10.1007/978-1-4020-8939-8 56,
724 C. Herrmann and K. Kuntzky
of product service systems toward sustainability in automotive, a solution in

the conflicting area between the customer’s requirements and available tech-
nologies is needed. This also influences the ownership structure of automotive
transportation.
The high-service complexity generated by the servitization of transportation
needs to be controlled. Therefore, future developments in the market of en-
tire mobility systems depend on the development of telematic systems. With
the diverse influences on automotive product service systems, like changing
customer requirements to higher importance of sustainability, the technology
push, or the handling of the immaterial service parts, the exposure and the
management of sustainable product service systems in automotive industry
across all life cycle phases become a serious challenge. Therefore, the framework
for product service system life cycle management enables to consider the product
service system life cycle phases, the management perspective, and the life cycle
disciplines. Regarding this aspects, the prospective developments in passenger
transportation can reach an increasing rate of servitization without losing the
advantages of individualization.
1 Introduction
Changing customer requirements demand new mobility concepts and transportation

facilities. In urban regions, and especially for younger people, the need to own a car
is decreasing. New mobility concepts are based on services and are expected to be
more sustainable than the traditional mobility means.
With the public discussions on CO2 emissions and its consequences on the envi-
ronment, the environmental concerns of automotive transportation today become
more and more focused (European Commission 2012). At the same time, the
rising costs, especially for gasoline and diesel, have a deterrent effect. Auto-
motive manufactures are therefore increasingly forced to reduce the environ-
mental impacts of their vehicles in order to fulfill the changing customer
requirements.
The reduction of environmental impacts caused by mobility can be pursued by
automotive manufacturers on the one hand through changes on the physical product
like new drive concepts, improved aerodynamics, and lighter bodies. On the other
hand, product service systems (PSS) in automotive industry provide the chance to
reduce the ecological impacts of mobility in a holistic approach. The development
of sustainable automotive PSS pursues the goal of minimizing ecological impacts
and rising economic values.
2 Development in Mobility Structures
Mobility (i.e., the shifting of distance (Braess and Seiffert 2007)) is a basic need
for human beings and our mobility activities are a basic requirement for economic
40 Sustainable PSS in Automotive Industry 725
kilometre per
person [%]
100
individual
traffic, cars
railway
75 public passenger
traffic, waggon
50
individual bus,
new mobility
waggons tram
25 concepts
public transport
river boats air traffic

0
1825 1850 1875 1900 1925 1950 1975 2000 2025* 2050*
1st transport 2nd transport 3rd transport *expected
revolution revolution revolution development
Fig. 40.1 The development of passenger traffic since 1820 using the example of Germany
(Burgert 1996) and the expected development in passenger transport until 2050
success (Xu 2000). The goal to move faster, longer distances, with heavy goods
and without physical efforts made humans use the available technical options at
every time in history. With the development of the car at the end of the nineteenth
century the second transport revolution led to more individual and flexible mobility.
Today, more than 80% of passenger transportation (in kilometers) in developed
countries is realized with a car (Eurostat 2011). The individualization of transport
has led to a reduction of service integration during the last century in personal traffic.
Figure 40.1 displays the development of passenger traffic using the example of
Germany since 1820. Today, mobility starts altering rapidly again with the technical
development and living standards in industrial countries as well as in emerging
markets (Bundesministerium für Verkehr and Bau und Stadtentwicklung 2009).
During the last years, changes in the choice of transportation means have been
identified. As shown in Fig. 40.1, it is expected that the integration of new mobility
concepts based on (automotive) PSS may lead to a third transport revolution.
Individual and public transportation could become connected, and the advantages
of both systems, the individual mobility on the one hand and the economic and
ecological advantages on the other hand, get interlinked (Herrmann et al. 2011).
At the same time, a change in the technologies for transportation are expected.
Figure 40.2 displays the adjustment in the sales figures from conventional cars to
hybrid and electrical cars as well as to e-bicycles.
Compared to the overall passenger traffic, in major cities worldwide, only
50% of all driven kilometers are realized with a car. The other half of passenger
transportation is today already covered by public transportation, trains, or by bike
or walking (Ahrens 2009). Moreover, since 2004, a phenomenon of declining car
use per capita can be observed in major cities in developed countries (e.g., in cities
in the USA, in Australia, and also in Germany). Six interdependent factors were
sales figures in 1,000

4,000
2,000
e-cars
hybrid cars
e-bicycles
bicycles
conventional
cars
0
1875 1900 1925 1950 1975 2000 2025* 2050*
*expected development
Fig. 40.2 Sales development and expected development of transportation means in Germany
(Radverkehrsplan 2011; ibike 2011; urbanbiking 2011; VDA 2011; KBA 2011)
examined by Newman and Kenworthy (2011) to explain the causes for the peak
in car use:
• The “Marchetti Wall”: cities have a similar average travel time of approximately
1 h. Walking cities therefore cannot be larger than 5–8 km; automobile cities can
reach out to 50 km. If cities grow bigger, fast trains are the only technical solution
to stay in the travel time limits.
• Growth of public transportation: in developed countries (e.g., in the USA,
Australia, and Europe), the public transportation has been growing up to 18%
between 1995 and 2005.
• Reversal of urban sprawl: urban density has extremely declined within the last
50 years in industrial countries. This trend seems to have reversed in the last
years.
• Aging of cities: the average age of people living in the cities of the developed
countries has been getting older. Older people tend to drive less than younger.
• Growth of a culture of urbanization: a movement back into cities from suburbs,
especially performed by the older generation, to a life without car dependence
can be observed.
• Rise in fuel prices: the continuously rising fuel prices lead to urbanization and to
a reduction of car use.
Furthermore, especially for the younger generation, a car is no longer a status
symbol or an expression of life style (FOCUS 2010). Rising ecological awareness
vary the choice for transportation means significantly. More and more customers
are just interested in the satisfaction of their “mobility needs” instead of possessing
a car. The trend leads to a demand-driven request of the needed mobility function
(Herrmann et al. 2009).
Mobility Concept
Mobility
Mobility Enabling Providing
Product (car) Service
(sharing service)
Fig. 40.3 Mobility concept for car sharing (Herrmann et al. 2009)
The average vehicle occupation rate is with less than 1.6 persons per car in
the USA and Europe (European Environment Agency 2011; US Department of
Energy 2011; Department for Transport 2011) at a very low level, most cars are
even registered for five or more passengers. Moreover, the usage time of a car
is in average less than 4% compared to the parking time (assuming a kilometric
performance of 14,200 km/year (Bundesministerium für Verkehr and Bau und
Stadtentwicklung 2009) and an average speed of 50 km/h). Thus, much more
cars are on the market than are needed, which influences on the one hand the
environmental impact when producing the cars and, on the other hand, the needed
parking space for cars and therewith the needed land use, which is limited especially
in urban regions, is higher than necessary.
Due to these changes in the mobility behavior and the mobility needs, the auto-
motive industrial sector is particularly confronted with an increasing servitization,
the adding of value through services to the core product (Vandermerwe and Rada
1988). New “mobility concepts,” which represent an allocation of the function
mobility to the customer, occur on the market. This function is realized with the
integrative combination of a mobility-enabling product (e.g., car) and a mobility-
providing service (e.g., a sharing service, Fig. 40.3). It can be understood as a
product service system (PSS) (Herrmann et al. 2009) (e.g., a car sharing service
system).
3 Aspects of Sustainability in Automotive PSS
Due to motorization and traffic density, the emission of, for example, greenhouse
gases by street traffic is a major problem. In the European Union, the CO2 equivalent
emission by street traffic amounted to 877 million tons per year in 2010 (19%
of the overall CO2 emissions, see Fig. 40.4) (European Environment Agency
2011). The share of CO2 emission is highest in the more developed countries, but
developing countries have the highest emission growth rates (International Energy
Egency 2002). CO2 emissions of street traffic were increasing by 21% during the
last 20 years. In the same time, the overall CO2 emissions were decreasing by
17%. With regard to the whole life cycle of a conventional automobile, the use
Waste
3%
Industrial Other
Processes 8%
7%
Energy
Industries
31%
Residential
10%
Agriculture
10% Road
Transportation
19%
Manufacturing Other
Industries Transportation
11% 1%
Fig. 40.4 Share of total greenhouse emissions (CO2 equivalent) (%) in 2009 in EU27 (European
Environment Agency 2011)
0,3%
15,1%
driving emissions
15,6% allocation of fuel
production
69,0% recycling/ disposal
base: 150,000 km travelled
Fig. 40.5 Emissions (CO2 equivalent) of VW Golf VI over life cycle phases (Volkswagen 2011)
phase can be identified as the most important phase from an ecological perspective
for detecting reduction potential. This phase causes significant CO2 emissions
compared to the life cycle (see Fig. 40.5).
This clearly indicates the important role of the automotive industry sector with
regard to future efforts in reducing CO2 emissions. Since CO2 emissions per
individual vehicle (especially in new cars) are continuously declining, an exclusive
technical solution is not sufficient. Rather, sustainable automotive PSS are needed
to achieve real success in reducing the environmental impacts of mobility.
The introduction of sustainable PSS can contribute to increase resource and
energy efficiency in automotive industry. With the combination of products, ser-
vices, and infrastructure, the customer requirements on mobility can be satisfied and
simultaneously the environmental impacts can be reduced (Kuntzky and Herrmann
2011). Concurrently, economic and social aspects are of major importance for
sustainable mobility as well. As mobility is a relevant condition for economic
growth in our society, access to mobility is a requirement for personal welfare.
The implementation of automotive PSS reduces obstacles in the access to mobility.
Flexible cost structures, for instance, allow an adopted mobility access for different
social and economic conditions. Therefore, PSS can contribute to a holistic sustain-
able mobility.
Different approaches (e.g., Goedkoop et al. 1999; Mejcamp 2000; Stahel 2011)
assume that PSS generally have a positive influence on ecological impacts. This
idea does not integrate rebound effects, the forfeit of savings due to, for example,
changing customer behavior. The saved money or time may be spent in an unsus-
tainable way (Manzini and Vezzoli 2003). Nevertheless, PSS have the potential to be
a more sustainable solution for the customer demands than a pure product solution
can be. The servitization can lead to a reduction of environmental impacts as well as
a reduction of costs by typically influencing three factors: changes on the physical
product, changes in infrastructure, and changes in the handling of the user (Brezet
et al. 2001). This can also influence the organizational structure and the ownership
structure of the offer (Roy 2000) as well as the total amount of products needed.
While in conventional individual traffic, the driver is mostly the owner (or at least
the lessee) of the vehicle, the driver often becomes a short time renter of the vehicle
or even only of a seat in the vehicle with regard to automotive PSS.
Sustainable PSS therefore can be assigned to different categories, depending on
their way of influence. Different authors decided on various categories for the sus-
tainable PSS. While Roy (2000) categorizes PSS in result services, shared utilization
services, and product life extension services, Behrendt et al. (2003) undertakes a
more differentiated division of product service combinations in services additional
to a product and service substituting a product. Substituting services are divided
into result-oriented and use-oriented services, which are again differentiated into
joint use and individual use services. Williams (2006) classifies sustainable PSS in
product, use, and result-oriented services.
Combining these classifications, sustainable automotive PSS can be structured as
follows:
• Product-oriented automotive PSS: on the one hand, aiming to reduce the impact
of the mobility enabling product itself and on the other hand aiming to extend the
useful product life through maintenance, repair, reuse, and recycling.
• Use-oriented automotive PSS or shared utilization PSS: mainly focus on increas-
ing the usage rate of the single mobility enabling product by, for example, sharing
a car. This leads to higher capacity utilization of the product and therefore reduces
the total amount of products needed.
• Result-oriented automotive PSS: realizing a reduction of the material usage by

offering the “result” instead of the product, for example, offering a ride, not
a car. The provider becomes responsible for the whole life cycle of his offer,
from production to recycling. Despite of enhancing the demand for a product, a
solution for a sustainable performance is in focus.
4 Characteristics of Sustainable Automotive PSS
With the changing mobility structures, numerous PSS in automotive industry are
marketable. With regard to the product “automobile,” two main characteristics
can be identified that help to describe the requirements for the automotive PSS.
First, the “mobility” of the automobile influences the PSS. As the main function of
automobiles is the transport, automobiles are not stationary. It is not known before
where the automobile is located when a certain PSS function is needed. Therefore,
all PSS have to be adapted to the mobility. Solutions can be that the PSS is as mobile
as the automobile itself (which means the PSS provider has to follow the customer)
or the PSS is omnipresently available (a network of providers offering the PSS).
The second characteristic is the exceeding strong influence of external factors on
the main function of the automobile. The accomplishment of the main function,
mobility, is not only influenced by the automobile properties itself, the driver’s
ability, and the driving style. The transport activity also depends on the infrastructure
(road conditions), the behavior of other road users, road work, or the weather.
As shown in Fig. 40.1, mobility has changed from a public passenger transport
to an individualized means of transportation. Existing PSS in automotive industry
therefore have to integrate the customer demands on individual and flexible
transportation.
A survey with the target group of commercial customers (fleets) in the branches
of passenger transport operators, car sharing providers, and municipalities in
Germany regarding their usage of automotive PSS displayed several customer
demands on automotive PSS (Kuntzky and Herrmann 2011):
• The surveyed target groups are primarily interested in services to reduce the effort
in detecting failures in the vehicle.
• Services simplifying and optimizing the internal processes are as well particu-
larly interesting.
• Environmental orientation is of different relevance in the target groups and can
only be in focus if it is not leading to higher complexity and is easy to realize and
at the same time reduces costs.
• Original equipment manufacturer enclosing solutions for the whole fleet are
demanded.
• Services that lead to a positive impact on the driving behavior without addressing
every driver personally are of interest.
• A positive public image coming with the use of sustainable automotive PSS is
important for commercial customers, which was indicated especially in the target
group of municipalities.
• High initial investments are not tolerated, particularly in small fleets.
200000
180000 5000
160000 user car sharing vehicle
car sharing vehicle

140000 4000
120000
3000
user
100000
80000
2000
60000
40000 1000
20000
0 0
98
99
00
01
02
03
04
05
06
07
08
09
10
11
19
19
20
20
20
20
20
20
20
20
20
20
20
20
Fig. 40.6 Development of car-sharing market in Germany (Bundesverband Car Sharing 2011)
Offered automotive PSS in the market started with product-oriented services like
repair or financial services. Use-oriented PSS can be observed in the area of after-
sales services, like maintenance services, concentrating on the reduction of fuel
consumption. With the upcoming usage of telematic devices, use-oriented PSS are
created to enable services like remote diagnostics, reporting of the driving behavior,
or influencing the driving routes toward a more economic or ecological way. Car
sharing offers are part of the use-oriented PSS as well (Kuntzky and Herrmann
2011). The car sharing market in Germany is for example expanding (Fig. 40.6).
High growth rates of 79% in 2007 can also be observed in other important markets
like the USA (Shaheen et al. 2009). First original equipment manufacturers start
to develop special cars optimized for car sharing concepts. Car2go for example
developed the smart in a car2go edition with specific telematic devices for the car-
sharing usage and with solar cells on the roof providing the energy for the telematic
devices (Car2Go 2011).
Entire mobility concepts as future additional offers of (automotive) companies
build on the basic idea of selling the mobility function instead of the product. They
allow the usage and combination of different mobility enablers to combine with an
integrative service and are part of the classification of result-oriented PSS. They are
intensively discussed in literature but not available on the market today or only in
simple and local solution like, for example, park and ride or combined bus and train
tickets (Herrmann et al. 2009).
Therefore, the dimensions of mobility concepts have to be investigated for
applying the technology and market concept. To ensure the aspects of sustainability
(especially the ecological advantage) of the PSS mobility concept, a solution in the
conflicting area between the customer’s requirements and available technologies
is needed. Figure 40.7 illustrates the product “mobility concept” within these
conflicting areas: “technology” and “market.”
With the integration of PSS in automotive industry and at the latest with
introducing entire mobility concepts, new pattern of ownership occurs on the
Customers requirements / needs / wishes
Market (prospective Customers)

Area of conflict coordination
Mobility Concept
Mobility
Mobility Enabling
Providing
Product
Service
• Push of existing technologies

• Searching for / development of required technologies
(Enabling) Technologies
Fig. 40.7 Components of a mobility concept and market pull, technology push (Herrmann et al.
2009)
market. Starting with leasing systems, the provider gets more interested in designing
durable and resalable vehicles. When car sharing systems are in focus, the ownership
structure is radically changing. The user is only in possession of the car during the
actual usage time itself. Therefore, in total the responsibility for the car is with the
provider. He is also responsible for repair and maintenance. At the same time, car
sharing concepts lead to higher usage time of the car itself. An increasing average
of passengers in the cars can only be reached by ride sharing concepts.
For the area of street mobility, beside the car several other mobility systems
are available. Figure 40.8 represents one hypothesis of the (ancestral) relationship
between those mobility systems. The starting point is represented by the “walker.”
Then two big groups of mobility systems can be differentiated (Herrmann et al.
2011).
Both sectors start with bicycle-based mobility enablers. In the upper sector,
the user is the owner of the product. Here, only the product is providing the
realization of the required mobility. From the starting point, the drives are changing
from muscularity drive and the usage of muscularity of animals to the usage of
electric and combustion engines. Going from left to right the reachable velocity, the
coverable distance and the number of passengers are rising with growing distance
from the starting point as well as the environmental impact and the variable costs.
In the lower sector, systems with a higher level of servitization are displayed and
the point of departure is changing from completely flexible to station-based systems.
The stations itself can be fixed (like busses) or flexible (e.g., taxi). From left to right
the environmental impact, the velocity and the traveled distance are rising as in the
upper sector. In the mobility systems “rickshaw,” “motor rickshaw,” “public bus”
common ancestor
walker
bicycle
horse
carriage
mobility enabling
segway® systems where the
motor scooter user is the owner
Splitting point: motor bike

owner → rental E-car
rental bike conv. car

rickshaw
motor rickshaw
public bus highly-developed
hig taxi systems with a higher
com her e level of servitization:
n car2go©
dis plex viron consumer uses the
tan ity m rental car
ce of e mobility enabler via
ser ntal
vic imp long-time or short-
es, a
tra ct, car-sharing time rental
vel
led
Fig. 40.8 Cladogram of mobility enablers (Herrmann et al. 2011)
and “taxi,” the user is a passenger and is only renting a seat; in “car2go R
,” “rental
cars” or “car-sharing,” the whole vehicle is rented and the user is also the driver.
Further differentiations in this sector are the length of the rental (from short-term
rental, e.g., taxi, to long term, e.g., rental car), the amount of passengers per vehicle
(e.g., one for rental bike to several in busses), and the time and route flexibility of the
system (scheduled and fixed point of departure and arrival, e.g., busses, and flexible
time and point of systems, e.g., rental cars).
This cladogram points out that rental car, car sharing, and car2go c
today are
the most enhanced mobility systems for passenger transportation. This mobility
PSS enable the user to travel with high-velocity long distances and comparatively
flexible. The service complexity is already very high. Due to the allocation of the
car for more than one user, and therefore the sharing of the product part, the cost per
user as well as the environmental impact becomes less. Nevertheless, these systems
are not supporting a higher range of passengers per car. Furthermore, the systems
are based on a single mobility enabler. Therefore, they allow further improvement
in the area of result-oriented automotive PSS.
To control the high service complexity, particularly car sharing and car2go c
are dependent on telematic systems for sharing solutions. Therefore, future devel-
opments in the market of entire mobility systems depend on the development of
telematic systems.
5 Technology Push for Sustainable Automotive PSS
A substantial requirement for the integration of sustainable PSS in automotive

industry is the provision of service-enabling technology. Preconditions coming
from different disciplines had to be established to enable sustainable automotive
PSS without any losses in functionality and comfort, respectively, to enhance
functionality and comfort. The rapid development in information technology sets
up new possibilities to create telematic solutions in automotive industry and is
particularly involved in the development of automotive-related PSS (Herrmann et al.
2011).
The term telematics integrates telecommunication and informatics (Nijkamp and
Pepping 1996), whereas the science telematics means the integration of telecommu-
nication, automatics, and information technology (Mikulski 2010).
It describes the use of modern technology to increase the efficiency in transportation
processes, to enhance security and travel comfort, and to reduce the environmental
impact. A central task of telematics is the traffic management through information,
communication, regulation, and monitoring (Siergiejczyk 2008).
The market for telematic devices has risen with the factor 30 within the last
15 years. In contrast, the market for telematic-related services grew very slowly
in the beginning but is expanding fast since the year 2000 (Wallentowitz and Reif
2006). Navigation systems, which are integrated in 37% of new cars today (FOCUS
2010), extend, together with mobile telematic systems or navigation functions in
mobile phones, the car by functions for a faster navigation, shorter or optimized
routes, and the avoiding of traffic jams.
This technology allows the communication between the vehicle or the driver and
an external server, other vehicles, or the infrastructure (car2-X communication).
Therewith, innumerable PSS in the area of driver assistant systems, security
systems, and communication and infotainment systems have become possible.
Permanent information on the actual position of all vehicles in a fleet allows, for
example, the planning and optimization of transport routes in real time and adapts
to the ongoing traffic conditions or imports new information and orders directly
into the navigation system. A constant controlling of the vehicle conditions via an
external server is enabled with this technology as well.
Radio receivers in the vehicles (from the early 1930s) and traffic information on
the radio (starting in the 1960s in Germany) are the basis for telematic systems.
One of the first telematic solutions was the “trip computer” from 1980, a computer
system to collect travel and vehicle data. Navigation with the Global Positioning
System (GPS) (first available in 1989) (Winner et al. 2009) and the integration of
Traffic Message Channel (TMC) in the early 1990s expanded the options for the
application of telematic systems. With the online capability of modern telematic
devices by Wireless Application Protocol (WAP) or General Packet Radio Service
(GPRS), the sending and receiving of almost any form of data has become possible
(Wallentowitz and Reif 2006). Modern traffic management systems like the Vehicle
Information and Communication System (VICS) in Japan measure the current
traffic situation and generate real time traffic information for the traffic participants.
Systems for commercial vehicles, such as the Brabender R2 c

, enable the combi-
nation of tracking, monitoring and reporting to workshops, navigation, information,
communication, and order processing as well as timekeeping (Brabender 2011).
The expected offers of entire mobility concepts are only rendered possible with the
technical development in information technology and telematics. The availability of
control units to monitor vehicle conditions and positions has fostered the car-sharing
concept and therefore assures economic reasonable and user-optimized systems
(Herrmann et al. 2011).
Figure 40.9 gives an overview on telematic systems and their similarity mode
in the form of a cladogram. It shows the changes in techniques, starting from
the trip computer as the common ancestor. The characteristics are concentrated
on different classes of systems. None of the systems combines all characteristics.
Instead, special systems are available in different areas. The systems in sector six
for sharing services can be identified as highly developed. Automotive PSS like car
sharing offers in a large scale and with an exactable effort for service organization
can only be provided with the integration of these systems into the car. For further
development in automotive PSS, the integration of telematic systems that monitor
vehicle data, as the telematics for commercial vehicles, can help to reduce the
service-related complexity for car sharing or to optimize the route planning, the
used driveways, and the reduction of standby times due to traffic jams, which will
also directly reduce the environmental impacts (Herrmann et al. 2011).
6 Automotive PSS Life Cycle Management
With the diverse influences on automotive PSS, like changing customer require-
ments to higher importance of sustainability, the technology push, or the handling
of the immaterial service parts, the exposure and the management of sustainable PSS
across all life cycle phases become a serious challenge. To handle this complexity,
a holistic approach for sustainable automotive PSS is needed. Similar to the
approach for total life cycle management (Herrmann 2010), all aspects of the PSS
dimensions, the PSS life cycle, and the different PSS management phases need to
be regarded.
As in a PSS, neither the product nor the service is solely important but the total
system as a result of the product and service combination. A suitable PSS life cycle
management approach brings into focus the management of this multidisciplinary,
sociotechnical system. In various life cycle phases, an exchange and coordination
between the life cycles of offered services and related products are needed. Between
the levels of management, there has to be a link as well. Therefore, the existing
framework for total life cycle management (Herrmann et al. 2007) and the life
cycle of the PSS have to be integrated into one consistent framework for PSS life
cycle management. Therewith, a framework is created supporting the introduction,
implementation, and anchoring of the various management programs and tools in
the PSS life cycle. The framework clarifies all relevant life stages of a PSS and
736
common ancestor
Trip Computer
TomTom© Blue&Me
BMW AG© Professional
TomTom© Carminat 1 Mobile devices in the European market
TomTom© Go 730 Traffic Characters: navigation and automatic reception of required data
TomTom© XXL IQ Route
TomTom© Start
General Motors© CD 70 + Navigon
Daimler AG© APS

Toyota© HDD
2 Fixed embedded OEM systems
Toyota© TNS 310
Additional characteristics: Bluetooth, USB, CD or DVD …
Volkswagen© RNS510
Volkswagen© RNS310
Mobile devices
Sanyo© NV-SD 10 DT
Characteristics like independent sending and receiving of changes in road
Inkel© W500 3 situations, information provision, or TV reception
KT© Show WiBro
TomTom© Go 950 Live Mobile device
4
Characteristics like vehicle location and IQ Routes.
TomTom© XL Live IQ Routes
Toyota© G-Book mX
BMW AG© Connected Drive Fixed systems, capabilities to communicate with a control centre, emergency
5 call systems and the transmission and reception of changes in road situations
On Star©
DB© Call a bike Systems for sharing services without navigation and information
Greenwheels©
6 provisioning, equipped with: driver identification, monitoring of usage time,
Car2Go telematic system© transmission of reservation status, opening vehicles by PIN or access card.
Claas© Telematics
Cybit©
veovia sales GmbH 7
Brabender software
Telematic systems for commercial vehicles or fleets
AG© R2 compact Functions for navigation, job control and status monitoring, continuous route
observation and monitoring of vehicle data from the CAN. Partially
Bluetooth connectivity, hands-free sets, internet and TV reception
Fig. 40.9 Cladogram of telematic systems (Herrmann et al. 2011)

C. Herrmann and K. Kuntzky
Fig. 40.10 Connected framework of total life cycle management and service life cycle manage-
ment (Herrmann et al. 2010)
enhances the understanding of the economical and ecological relationships between

the PSS life stages (Herrmann et al. 2010).
The total life cycle management of a product and of a service can be implemented
in diverse depths. As displayed in Fig. 40.10 the usage phase of the product and the
usage and production phase of the service can be connected to a joint offer for the
customer. Thereby, the life cycle management of the product and the service are still
represented separately, but interdependences are considered.
Figure 40.11 displays the joint framework for PSS and life cycle management,
based on the total life cycle Management framework. In this joint framework for
PSS life cycle management, the management of services and products is combined
to a unit. It deals with the required function and regards the needs of the embedded
services and products as equally important. To achieve this, an integration and
connection of the life cycles of services and products to a common life cycle is
needed. The management perspective and the life cycle spanning disciplines are
integrated to the common life cycle as well (Herrmann et al. 2010).
6.1 Life Cycle Perspective
Considering PSS in automotive industry, the life cycle phases in the center of
the framework (Fig. 40.11) describe the activities from the idea of an automotive
PSS to the recycling of immaterial service parts and the redistribution, disposal,
Fig. 40.11 Framework for PSS life cycle management (Herrmann et al. 2010)
and recycling of the automotive parts. The automotive parts can, for example,
be redistributed and disposed, whereas the service or service characteristics are
recycled to be used with another product or starting a new life cycle of another
PSS with new automotive parts. In the development phase, the automotive-related
product parts and the service parts which enable the use of the automotive PSS are
developed and integrated with a particular attention to the interfaces between the
immaterial and the material parts.
In the next life cycle phase, the automotive parts are produced, and a parallel
provision of the required potential for the service part of the automotive PSS, for
example, the infrastructure for the integration of telematic devices and car2-X com-
munication, takes place. This division is ascribed to the different characterization
of services and products. While the product needs to be manufactured before using,
the immateriality of services is linked to the subsequent usage and production phase
and the potential provision phase (Herrmann et al. 2010). Afterward, the automotive
PSS is marketed and the physical parts are distributed to the required positions.
Simultaneously to the usage of the automotive parts by a customer, the isochronous
production of the service parts and the usage take place. The disjunction into two
parts in this phase reflects the integration of the external factor, the customer that
needs to be integrated in the life cycle.
6.2 Management Perspective
The integration of normative, strategic, and operational management levels as well

as structures, activities, and behavior as fields of action allows using the framework
for PSS life cycle management for incorporation of the automotive parts and the
service parts into the management perspective. The customer part is explicitly
considered by the integration of the external factor with its own normative, strategic,
and operational (management) level as well as own structures, activities, and
behavior in the service production and usage. Thus, for example, evolving customer
requirements in terms of environmental awareness or the decreasing importance of
the automobile as a status symbol can be met.
6.3 Life Cycle Disciplines
With the integration of life cycle disciplines into the management of automotive
PSS, a holistic view on the automotive PSS is rendered possible. The life cycle
spanning disciplines – process management, information and knowledge manage-
ment, social life cycle evaluation, economic life cycle evaluation, and ecological life
cycle evaluation – take into account the holistic view on the automotive PSS with
regard to the whole life cycle. Thus, trade-off effects over the life cycle or rebound
effects, for example, the possibility for an intensified usage of a car due to lower
initial investments for the customer for car sharing can be disclosed.
The life-cycle-phase-related disciplines PSS management, PSS production man-
agement, PSS after-sales management, and PSS end-of-life management finally
regard the automotive PSS specific management operations. For the optimization
of the PSS over the whole life cycle, these disciplines need to interact. The
management of each of these phases needs to be considered. Only with the
incorporation of each of the life cycle phases in the management disciplines and
with the interaction of the single disciplines all aspects of the automotive PSS –
network, infrastructure product, and service – are included. Properties of products
as well as the service dimensions become part of a harmonized management.
For automotive PSS, the consideration of the framework for PSS life cycle
management therefore is an important aspect with regard to the interaction of the
different management perspectives and for the holistic view on the life cycle of both
aspects, the automotive product and the service.
7 Summary
The influence of changing customer requirements and the need for a more sustain-
able transportation necessitate rethinking in the market of mobility. The demand for
sustainable PSS in automotive industry is rising consistently. It becomes obvious
that new trends and developments in mobility today are more and more relying
on the development in information technology and telematics. The level of service
integration is rising significantly due to new potentials in countervailing the high-
service complexity. In passenger transportation, prospective possibilities to pursue
trends to a product service orientation and to connect technical developments with
service offers can be extended. Furthermore, the developments in telematics depict
that today’s mobility concepts are only using a part of the available functions in
telematic systems. A great potential for progress in new mobility approaches exists
as well for the improvement of the design and for processes in existing concepts.
For further developments in passenger mobility, it is essential to change the view on
the product “vehicle,” leaving the idea of a single product, coming to the idea of a
combined system with vehicle, telematic system, and services.
New car concepts, like electric vehicles, rely on integrated service structures.
Functionality without distinctive abdications of comfort due to the reduced range
of distance can only be realized with PSS, which allow an omnipresent access to
information about the charging level and other automotive functions.
Obviously, today’s PSS in automotive industry show some deficits:
• The economic benefit of automotive PSS is not sufficiently realized or not
communicated well enough to the potential customers.
• The combination of the mobility offered via cars with mobility offered via other
transportation means is hardly realized.
• The ecological benefit of automotive PSS does not emerge in a clear manner.
• The concepts have significant deficits regarding flexibility and convenience
(compared to the use of the private vehicle).
• The concepts are not implemented all over the country let alone worldwide.
With introducing an entire mobility concept, these deficits can be partially corrected.
Car-sharing concepts for example can be integrated with ride-sharing concepts.
Instead of booking the whole car, the user only books a seat in the car, when the
integrated software tool recognizes that different drivers are about to use the same
route. Those services can also be extended to an individualization of the routes
and schedules of public transportation or to revised opportunities for the personal
adoption of different transportation means.
At the same time, a life-cycle-related view on all aspects of automotive PSS is
distinguished to assure a provision for all life cycle phases and related trade-off and
rebound effects in development and implementation of automotive PSS.
The prospective developments in passenger transportation can reach an increas-
ing rate of servitization without losing the advantages of individualization.
8 Cross-References
Engineering PSS (Product/Service Systems) Toward Sustainability: Review of

Research
Modeling Services and Service-Centered PSS Design
Product Design Considerations for Improved Integrated Product/Service Offerings
References
G.A. Ahrens, Sonderauswertung zur Verkehrserhebung ‘Mobilität in Städten SrV 2008’ –
Städtevergleich. Dresden (2009)
S. Behrendt, C. Jasch et al., Eco-Service Development – Reinventing Supply and Demand in the
European Union (Bookcraft, Midsommer Norton, 2003)
Brabender, (2011), www.brabender-group.com/de/home.html
H. Braess, U. Seiffert (ed.), Handbuch Kraftfahrzeugtechnik (Vieweg, Wiesbaden, 2007)
J.C. Brezet, A.S. Bijma et al., The design of eco-efficient services, Design for sustainability
program. Delft University of Technology, Delft (2001)
Bundesministerium für Verkehr, Bau und Stadtentwicklung (ed.), Verkehr in Zahlen 2009/2010
(Deutscher Verkehrs, Hamburg, 2009)
Bundesverband CarSharing e.V., Jahresbericht 2010. Hannover (2011)
W. Burgert, Tendenzen im Karosseriebau, in VDI-Bericht 1256- 150 Jahre Wilhelm Maybach, ed.
by Verein deutscher Ingenieure (VDI, Düsseldorf, 1996), pp. 29–50
Car2Go, (2011), www.car2go.com
Department for Transport, (2011), www.dft.gov.uk
European Commission, Climat action (2012), http://ec.europa.eu/clima/policies/transport/vehicles/
index en.htm
European Environment Agency, (2011), www.eea.europa.eu
Eurostat, (2011), http://epp.eurostat.ec.europa.eu
FOCUS (ed.), Communication Networks 14.0 (FOCUS Magazin Verlag GmbH, München, 2010)
M. Goedkoop, C. van Halen et al., Product services systems, ecological and economic basics,
report 1999/36. The Hague, Zoetermeer (1999)
C. Herrmann, Ganzheitliches Life Cycle Management – Nachhaltigkeit und Lebenszyklusorien-
tierung in Unternehmen (Springer, Berlin/Heidelberg, 2010)
C. Herrmann, L. Bergmann et. al., Total life cycle management – A systems and cybernetics ap-
proach to corporate sustainability in manufacturing, in Sustainable Manufacturing V – Global
Symposium on Sustainable Product Development and Life Cycle Engineering, Rochester (2007)
C. Herrmann, J. Stehr et al., Automotive life cycle engineering – Understanding the interdepen-
dencies between technology and market of environmentally conscious mobility concepts, in
Proceedings of the 6th International Symposium on Environmentally Conscious Design and
Inverse Manufacturing (EcoDesign 2009). Sapporo, (2009), pp. 231–236
C. Herrmann, K. Kuntzky et al., Joint framework for product service systems and life cycle
management, in Proceedings of the 2nd CIRP International Conference on Product-Service-
Systems 2010, Linköping University, Linköping, (2010), pp. 353–359
C. Herrmann, K. Kuntzky et al., Pathways of servitization in mobility systems, in Functional
Thinking for Value Creation – Proceedings of the 3rd CIRP International Conference on
Industrial Product Service Systems 2011, Braunschweig, ed. by Hesselbach J, Hermmann C
(Springer, Berlin/Heidelberg, 2011), pp. 249–254
ibike, (2011), www.ibike.org
International Energy Egency (ed.), Dealing with climate change: policies and measures in iea
member countries 2002. Organization for Economic Co-operation and Development, (2002)
KBA, (2011), www.kba.de
K. Kuntzky, C. Herrmann, Application of eco-services in automotive industry for commercial
customers, in Functional Thinking for Value Creation – Proceedings of the 3rd CIRP
International Conference on Industrial Product Service Systems 2011, Braunschweig, ed. by
J. Hesselbach, C. Hermmann (Springer, Berlin/Heidelberg, 2011), pp. 279–284
E. Manzini, C. Vezzoli, A strategic approach to develop sustainable product service systems:
examples taken from the ‘environmentally friendly innovation’ Italien price. J. Clean. Prod.
11, 851–857 (2003). Elsevier
R. Mejcamp, Changing Consumer Behavior Through Eco-Efficient Services (Delft University of
Technology, Delft, 2000)
J. Mikulski, Using telematics in transport, in Transport System Telematics, 10th Conference, TST
2010, Katowice, ed. by J. Mikulski (2010), pp 175–182
P. Newman, J. Kenworthy, Peak car use: understanding the demise of automobile dependence.
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Radverkehrsplan, (2011), www.nationaler-radverkehrsplan.de
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(Greenleaf, Sheffield, 2011)
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Springer
Section V
Policy and Decision-Making
Policy, Decision-Making, and
Management for Sustainable 41
Engineering: Introduction
Karel F. Mulder
1 Introduction
Technology is the methodological control over the forces of nature (cf. Habermass
1968). As this is a basic presupposition of technology, Habermass regards technol-
ogy to be an “ideology” and not something that is prescribed by the laws of nature.
Such a position is quite contrary to the established beliefs of engineers regarding
their own work: being neutral and objective and just providing society with the
efficient tools it needs. However, the tools are not neutral themselves, as our new
technologies do not just fulfill existing demands, but also create new ones. Engineers
have to be critical how, when, and for what aim new designs are created.
There are good reasons for sustainable engineering to be reflexive regarding
its own goals and operations. Sustainable engineering is not dealing with one
single specific issue as sustainability consists of many articulations (Mulder et al.
2011). Dilemmas between various sustainable development issues and time frames
of evaluation might arise: Is waste prevention a good thing if it takes more
energy? Is cleaner production a good thing if it leads to unemployment? Is
energy efficiency a good thing if it slightly increases risks? Organizations are
often confronted with such dilemmas. Many of these sustainable development
dilemmas cannot be solved by the application of moral principles alone: They are
a matter of choice. However, a choice that often is important for every creature on
this planet. The organization that is confronted with such sustainability dilemmas
should at least pay attention to their interests. Only in that way, organizations
can be successful in developing sustainability visions and developing a sustainable
engineering strategy that could help them in achieving that vision. This volume
aims at providing building blocks for developing such a sustainable engineering
strategy.
K.F. Mulder
Technology Policy and Management, Delft University of Technology, Delft, The Netherlands
e-mail: k.f.mulder@tudelft.nl

DOI 10.1007/978-1-4020-8939-8 125,
746 K.F. Mulder
Reflexivity is also required to prevent too much focus on engineering action:

Given the goal of sustainable development, we should always consider the question
whether our engineering designs are most appropriate to contribute to that. Is not
in some cases “doing nothing” to be preferred above implementing a technological
solution that might require a large amount of resources, might create risks of unin-
tended effects, and in the end might produce only minor benefits? And sometimes
we should perhaps consider postponing, shifting, or reframing our engineering
actions. These options are often forgotten, as designers can easily be blind for the
solutions that do not require to make new and brilliant engineering designs.
If engineering action is required, we should remain critical. Demand for a product
or service might seem to be given, but often it can be diminished, which might be
the preferred solution: Instead of building new roads, we might diminish traffic and
instead of providing more electric power, we might develop options that require
less electricity. Demand-side management might be an interesting option to solve
problems by diminishing or changing the demand for a certain product or service
instead of aiming at producing it more sustainable. Demand-side management
might, for example, be interesting to diminish or adapt demand for electricity,
water, and roads, or diminish the demand for waste and sewage processing. (See
Changing Energy Demand Behavior: Potential of Demand-Side Management.)
New technology is often called in to provide products or services with less
sustainability impact. In market economies, moral aspects of the introduction of new
technologies are often dealt with by the market mechanism: “Acceptable” is often
judged as “affordable.” But if the market leads to unacceptable outcomes, regulation
is added. Technological activities aimed at solving sustainability challenges often
have (unforeseen) side effects of various different natures. Assessing all impacts of
introducing new technology is a real challenge; politically sensitive and important
impacts might easily be neglected. Moreover, the acceptability of the qualitatively
new impacts of a new technology might be controversial. For example, will society
allow life lengthening medical technologies if these technologies can only be
provided to a small (but rich) minority? Will students be allowed to take medicine
that will improve their cognitive performance? Are we willing to give up part of our
privacy in order to allow more efficient services or to protect society from violence?
The answer cannot be given by the engineer or his company alone: These issues have
to be publicly discussed with stakeholders. (See Impact of New Technologies:
How to Assess the Intended and Unintended Effects of New Technologies?)
The intended effects of (new) technologies and their side effects should be
assessed for their sustainability effects. A tool like life cycle analysis (LCA) aims
at assessing the combined environmental effects of a product or process. However,
the method has its limitations as it is not able to include nonquantifiable impacts
of technology and many decision makers have a poor understanding of the LCA
idea as such. In an LCA, environmental effects are not connected to a place and
time of occurrence, which makes the analysis inappropriate for rather localized
environmental effects such as thermal emissions or water consumption. Moreover,
identifying systems boundaries is not easy. For example, to what degree is the
environmental impact of personnel taken into account? Lack of data is also often
41 Policy, Decision-Making, and Management for Sustainable Engineering 747
a practical problem for making an LCA. (See Life Cycle Thinking for Improved
Resource Management: LCA or?)
Choices for new sustainable technologies also have strong time dimensions:
In order to have alternatives for depleting resources, the development of alternatives
should be initiated in an early stage just as support should be mobilized and
stakeholders should be consulted. But how to mobilize stakeholders in an early stage
and how to create attractive future visions that could contribute to consensus and
guide our efforts toward that vision? Interactive backcasting to develop pathways
that could lead us to attractive future visions is an interesting alternative to bu-
reaucratic planning. (See Backcasting and Scenarios for Sustainable Technology
Development.)
Technology development is a social process, i.e., the outcome of a process that
involves various stakeholders and their perceptions and interests (Bijker 1986).
However, this does not imply that all stakeholders can actually participate in shaping
the sustainable technological solutions that are required. Very often, engineering
design results from the interaction between engineers and customers. However, third
parties might feel the consequences: They suffer from pollution, safety hazards, or
other effects. How to involve communities in the process of shaping technologies
and technological systems? (See Engineers and Community: How Sustainable
Engineering Depends on Engineers? Views of People.)
The implication of recognizing that technology results from the social context
in which it was created is that the transfer of a technology to a different social
context is problematic. Especially the failures in the transfer of technologies from
industrialized societies to developing nations reveal the social factors that were
(unwillingly and unknowingly) poured into the technological design and make the
technology inefficient or unacceptable in the cultural or organizational context of
another nation. How could we find out which technologies suit a specific local
context? How could people from this local context participate in establishing the
needs of this local context? How could feasibility studies be carried out to establish
what it takes to run a technology in that local context and how it will affect local
culture. What learning or training processes need to be in place? How can further
diffusion of this technology be realized? (See Successful Contextual Technology
Transfer and Determinants of Culture.)
For businesses to contribute to sustainable development, long-term value creation
instead of short-term money making is required. This issue is on the agenda of more
and more companies, especially as a result of the economic crisis that hit the various
companies in recent years. Many companies and the people within them desire to
create long-term value and contribute to a better world. They practice sustainable
entrepreneurship. This implies that a company not only aims for economic goals
but also for environmental and social goals. Creating economic value assures the
continuity of the firm. However, executives realize that without dedicated strategies
and measures that improve environmental and social circumstances, there is a risk
of endangering the continuity of the firm. Developing and implementing more
sustainable technologies and systems requires different business models from the
innovator: Wasteful use of consumables should not be the source of income of a
748 K.F. Mulder
business. Recycling efforts could be supported by not selling products but leasing
them. (See New Business Models for Sustainable Development.)
Sustainable engineering requires strategic analysis and long-term strategies, from
companies as well as public authorities and interest groups. Choices of today
might lead to “lock in” and be the irreversibilities of tomorrow. In the growing
complexity of current technological systems, what still seems a minor choice
today could lead to a new technological standard of the future. New and more
sustainable technologies might need some initial protection in order to improve the
technology by learning in practice. In this way, the technologies can be nurtured
to make them ready for market competition. New technologies are sometimes not
introduced as they are too expensive. However, they are too expensive as they are
only produced in small numbers. Change takes bold investments. As these are risky,
a waiting game might develop. More encompassing changes of technological-and
social systems do not only require business to invest but also require adaptations
in (government controlled) infrastructure and changes in consumer behavior. Such
changes are hard to implement and might require long-term concerted efforts. (See
Strategies for Sustainable Technologies: Innovation in Systems, Products, and
Services.) Strategic thinking is crucial for an engineer that aims at contributing to
sustainable development.
References
W.E. Bijker, T.P. Hughes, T.J. Pinch (eds.),The Social Construction of Technological Systems: New
Directions in the Sociology and History of Technology (MIT Press, Cambridge, 1987)
J. Habermas, Technik und Wissenschaft als “Ideologie” (Suhrkamp, Frankfurt am Main, 1968)
K. Mulder, D. Ferrer-Balas, H. van Lente, What is Sustainable Technology, Perceptions, Paradoxes
and Possibilities (Greenleaf, Sheffield, 2011)
Backcasting and Scenarios for Sustainable
Technology Development 42
Jaco Quist
Abstract
This chapter explores the relevance of scenarios and backcasting for sustainable
technology development and sustainable innovation. It argues that backcasting,
due to its normative nature and its focus on desirable futures, is very well
equipped to be applied to sustainability, which is a strongly normative concept
too. The chapter contains a brief overview of backcasting studies and a method-
ological framework is presented. The framework is illustrated by a backcasting
case on meat alternatives and novel protein foods, which was conducted at
the sustainable technology development (STD) program in the Netherlands.
A backcasting methodology is presented that can be easily applied by engineers,
which is also used in engineering education at Delft University of Technology.
1 Introduction
Sustainable technology development and sustainable innovation are essential for

sustainable development. Technology and innovation should provide the means for
substantially reducing the environmental burden of current ways of production and
consumption. Obviously, social aspects, behavioral aspects, and equity issues as
well as economic aspects of sustainable technologies are highly important too, as
technology, ecological impacts, social effects, and economic implications are co-
produced and strongly interrelated resulting in the co-evolutionary development of
technology, society, and the environment. One clear example is the well-known
rebound effect; users often use a new technology in an unforeseen way leading
to unexpected impacts. For instance, energy efficiency gains are often lower than
J. Quist
Faculty of Technology, Policy and Management, Section Technology Dynamics and Sustainable
Development (TDSD), Delft University of Technology, Delft, The Netherlands
e-mail: j.n.quist@tudelft.nl

DOI 10.1007/978-1-4020-8939-8 52,
750 J. Quist
expected due to changing user behavior (Herring and Roy 2007). Another example
is the hole in the ozone layer due to CFC emissions; the negative impact of
technology use by mankind became only evident more than half a century after
its market introduction in the early twentieth century. A third example is growing
wealth in general; it comes along with an increased environmental burden, while
decoupling economic growth from the increasing environmental burden has not
been sufficiently successful until now (Jackson 2009).
Significant reduction of our current environmental burden is obviously required.
Based on the well-known Ehrlich–Holdren equation (Ehrlich and Holdren 1971),
environmental improvement with a factor 10 (Schmidt-Bleek 2008) or even a factor
20 (Weaver et al. 2000) has been proposed as required for sustainable development
on the long term. These kinds of environmental improvement factors do not only
require technological changes, but also cultural, organizational, structural, and
institutional changes. This can neither be achieved by a new product or a product
innovation, nor by the introduction of a specific sustainable technology alone.
Instead, sets of systemic changes are needed at the level of societal systems in order
to achieve significant environmental improvement with a factor 10 or a factor 20. For
instance, most meat alternatives have a considerably lower environmental impact
than meat, but they lead only to significant environmental gains if meat alternatives
substitute meat at a large scale. So, it is not only about single product innovations or
particular technologies, but also about systemic changes in our current consumption
and production patterns and the related socio-technical systems. A shift to large-
scale substitution of meat by meat alternatives also requires behavioral changes,
raising public awareness and decreasing the current livestock and meat processing
industries, as well as supporting policies and education.
Technologies are thus part of larger societal systems that comprise both techno-
logical and social elements and for which the term “socio-technical systems” is used
in this chapter. The social part does not only include people, but also organizations
as well as different kinds of rules and organizational structures. Together with the
technologies, this makes up larger socio-technical systems and eventually society
as a whole. Socio-technical systems can be industries, households, domains like
transportation, mobility, or nutrition, and geographically bound systems like a city
or a region. Within these socio-technical systems, long-term transitions occur, such
as the transition from sailing vessels to steamships that took place between 1780 and
1870 (Geels 2005a), the transition of computers in society from the first operational
computer in the mid-1940s and widespread personal use of PCs starting in the
1990, and the transition in public hygiene and water supply that took place in the
Netherlands and many other industrializing countries between the mid-nineteenth
and mid-twentieth centuries (Geels 2005b).
Aiming at large-scale change of such complex socio-technical systems in
pursuit of sustainable development is often referred to as system innovations or
transitions to sustainability (Elzen et al. 2004; Rotmans et al. 2001; Quist 2007;
Loorbach 2007; Grin et al. 2010). Other terms can be found too, such as indus-
trial transformation, industrial ecology, and shifts toward sustainable consumption
and production systems. Nevertheless, these terms cover more or less similar
42 Backcasting and Scenarios for Sustainable Technology Development 751
concepts and share the idea that realizing considerable environmental improve-
ment on the long term requires changes at the level of socio-technical systems
(Quist 2007).
The focus of this chapter is on approaches that can be applied to explore long-
term transitions and system innovations that contribute to sustainable development.
The strong future orientation of sustainable development is exactly why future
studies, scenarios, scenario assessments, and backcasting are highly relevant for
system innovations and transitions to sustainability. Three types of scenarios and
associated scenario methodologies can be distinguished (e.g., Vergragt and Quist
2011; Linstone 1999).
• The first type of scenarios is about likely futures and relates to the question
what will happen. These scenarios are often based on trend extrapolations using
quantitative methods, which result in surprise-free futures and Business-as-Usual
(BAU) scenarios reflecting major trends.
• The second type of scenario approaches is about possible futures and relates to
the question what could happen. This type of scenario methodologies generally
results in a set of distinct alternative futures reflecting uncertainty and different
perspectives on possible futures. Well-known examples are strategic context
scenarios, as initially developed by the company Shell and the model-based
scenarios, as for instance developed by the IPCC and earlier in “Limits to
Growth,” the first report to the Club of Rome.
• The third type of scenarios is about desirable futures; it relates to the normative
questions what should happen, or what future we would like to have. This type of
scenarios is also referred to as normative scenarios, or future visions. Backcasting
and transition management are widely applied methodologies that generate
desirable futures and explore the related system innovations and transitions to
sustainability.
Approaches like backcasting (Quist and Vergragt 2006; Quist 2007) and transi-
tion management (Rotmans et al. 2001; Loorbach 2007) are thus normative, long
term oriented, system oriented, take a broad view on sustainability and are often
participatory. These approaches combine (Quist and Vergragt 2006: 1028):
1. The involvement of a broad range of stakeholders and actors from different
societal groups including government, companies, public interest groups, and
knowledge bodies, not only when defining the problem but also when searching
for solutions and developing shared visions.
2. Incorporating not only the environmental component of sustainability, but also
its economic and social components.
3. Taking into account the demand side and the supply chain as well as related
production and consumption systems. Backcasting literally means looking back
from the future. A more comprehensive definition is “generating a desirable
future, and then looking backwards from that future to the present in order to
strategize and to plan how it could be achieved” (Vergragt and Quist 2011, see
also Fig. 42.1) or “envisaging a desirable future first, before looking back to how
that future may be achieved, and defining what steps need to be taken to bring
about the envisaged future” (Quist and Vergragt 2006; Quist 2007).
752 J. Quist
Milestones Furture
E Vision
sting
C Backca
O
E
F
F
g
tin
I
C as
c
Explicitly normative
ck
I
Ba
Participatory
E System oriented,
N Desired futures & changes (action-oriented)
C Combines process, design, analysis
Y
Transdisciplinary
2000 2050
TIME
Fig. 42.1 Backcasting: principle and key characteristics
By developing future visions or desirable normative scenarios, engineers can

develop ideas on sustainable technologies and sustainable innovations, while back-
casting can also be used to develop R&D agendas and pathways toward realizing
sustainable future visions as well as for defining next steps and short-term activities
in line with the developed sustainable future vision. In addition, backcasting also
allows for involving stakeholders and for getting a better understanding about the
possible gains and side effects of a future vision.
The relevance of backcasting and scenarios for sustainable engineering is the
starting point and focus of this chapter. It builds on backcasting in the Netherlands
at the program for sustainable technology development (Weaver et al. 2000) and
on backcasting research at Delft University of Technology (Quist et al. 2006;
Quist and Vergragt 2006; Quist 2007; Geurs and van Wee 2000). The chapter is
organized as follows. Section 2 gives a brief overview of backcasting and presents
a methodological framework. Section 3 presents a backcasting case study: a back-
casting project on meat alternatives and so-called novel protein foods, which was
conducted in the mid-1990s in the Netherlands as part of the sustainable technology
development Program. It resulted in significant impact and spin-off 10 years later.
Section 4 elaborates the backcasting framework into a methodology that can assist
engineers in their work. At Delft University of Technology, this methodology is
taught to engineering students as part of the Technology in Sustainable Devel-
opment (TiSD) specialization. Finally, conclusions are drawn and discussed in
Sect. 5.
2 Backcasting for Sustainable Development: Overview and

a Methodological Framework
Over the last decades, backcasting has evolved into a major approach to explore
system innovations toward sustainability using normative or desirable futures (e.g.,
Weaver et al. 2000; Quist and Vergragt 2006; Quist 2007; Vergragt and Quist 2011).
As argued by Dreborg (1996) backcasting is particularly useful in case of complex
societal problems, when there is a need for major change, when dominant trends
are part of the problem, when there are side effects or externalities that cannot
be satisfactorily solved in markets, and when longtime horizons allow for future
alternatives that need several decades to develop. Most sustainability problems are
obvious examples of such complex problems.
Backcasting was developed in the 1970s and early 1980s by, for instance, Amory
Lovins in the USA (Lovins 1977), John Robinson in Canada (Robinson 1982),
and Peter Steen in Sweden (Johansson and Steen 1980) in response to the then
dominant practices of energy forecasting that emphasized large-scale electricity
production and nuclear power, and assumed a strong growth of the energy demand.
Whereas Lovins used the term “backwards-looking analysis” (Lovins 1977), it was
Robinson who coined the term “backcasting” (Robinson 1982, 1990). Driven by the
then emerging environmental awareness, frontrunners like Lovins, Robinson, and
others proposed soft energy paths toward alternative futures that emphasized energy
conservation and decentralized renewable energy technologies. They also assessed
these pathways on their feasibility and compared them to regular trend extrapolating
Business-As-Usual (BAU) scenarios; their conclusion was that soft energy paths
were feasible when energy policies would be changed.
In the late 1980s, the emphasis in backcasting shifted toward exploring sus-
tainable futures, for instance, in Canada (Robinson 1990, 2003), Sweden (Dreborg
1996; Höjer and Mattsson 2000), and the Netherlands (Vergragt and Jansen 1993;
Weaver et al. 2000; Vergragt 2005). Since the early 1990s, a shift to stakeholder
involvement in backcasting has also taken place (Vergragt and Jansen 1993; Dreborg
1996; Holmberg 1998; Holmberg and Robèrt 2000; Weaver et al. 2000; Quist et al.
2001; Van de Kerkhof et al. 2002; Robinson 2003; Quist and Vergragt 2006).
Up till now backcasting for sustainability has been applied to a wide range of dif-
ferent topics like river basins (Robinson 2003), transportation and mobility (Höjer
and Mattsson 2000; Geurs and van Wee 2000; Banister et al. 2000), transforming
companies into sustainable ones (Holmberg 1998; Holmberg and Robèrt 2000),
sustainable technologies and sustainable system innovations (Vergragt and Jansen
1993; Weaver et al. 2000), sustainable households (Quist et al. 2001; Green and
Vergragt 2002), climate policy options (Van de Kerkhof et al. 2002), industrial
ecology (Giurco et al. 2011), and urban and rural land-use futures (Carlsson-
Kanyama et al. 2008; Kok et al. 2006; De Graaf et al. 2009; Höjer et al. 2011).
Interestingly, energy backcasting has made a revival too (Anderson et al. 2008;
Gomi et al. 2011). For a recent overview of developments and applications in
backcasting, see Quist and Vergragt (2006) or Quist (2007).
754 J. Quist
The examples show that there is a considerable variety of topics dealt with in
backcasting projects (see also Quist 2007; Vergragt and Quist 2011). There is variety
in whether and how stakeholder participation has been organized, in the number
of steps in which the methodology has been split, in the methods that are used,
in the nature and scale of the systems addressed (e.g., local, regional, national,
consumption systems, or societal domains), in the number of visions developed
and how the visions have been developed, and if the focus is on developing and
analyzing future vision, on learning and raising awareness among stakeholders,
or on realizing follow-up and implementation. Visions can be target-fulfilling
images developed and analyzed by researchers, as well as more general visions
developed and endorsed by a range of stakeholders. In addition, other approaches
like transition management (Rotmans et al. 2001; Loorbach 2007), road mapping
also use normative future visions and pathways on how to get there, though
sometimes without explicitly referring to the term “backcasting”; this makes the
variety even larger.
The extent to which impact and spin-off of backcasting has occurred varies too.
For instance, the impact of backcasting experiments in the Netherlands on meat
alternatives, multiple land use, and sustainable household food consumption has
been evaluated (Quist 2007; Quist et al. 2011). Ten years after the projects, it was
found that there were considerable differences in the degree to which follow-up
and spin-off had occurred. The study showed that participatory backcasting may,
but does not automatically, lead to substantial follow-up and spin-off at the level of
niches in the research-, business-, government-, and public domains (Quist 2007;
Quist et al. 2011).
To deal with the variety in backcasting, four different backcasting approaches
have been analyzed and compared (Quist 2007: 24–30):
• The backcasting approach of Robinson (1990)
• The Natural Step backcasting methodology, as reported by Holmberg and Robèrt
(Holmberg 1998; Holmberg and Robèrt 2000),
• The backcasting methodology applied at the Dutch STD program (Weaver et al.
2000; Vergragt 2005) and
• The backcasting methodology applied in the international Sustainable
Households project (Quist et al. 2001; Green and Vergragt 2002; Vergragt
2005),
Based on this analysis, a more comprehensive methodological framework for
participatory backcasting has been developed (Quist 2007), which is depicted in
Fig. 42.2.
This framework is based on three key elements of participatory backcasting that
also emerged from an earlier literature review (Quist and Vergragt 2006; Quist
2007):
1. The construction and use of desirable future visions or normative scenarios
2. Broad stakeholder participation and stakeholder learning (at the level of paradigms
and values); usually stakeholders from different societal domains like business,
research, government, and society are involved, with the latter including both the
wider public and public interest groups
Three types of demands: Different goals:

(1) Normative demands > Involvement of a wide range of stakeholders
(2) Process demands > Future visions and follow-up agendas
(3) Knowledge demands > Awareness and learning among stakeholders
> Commitment and follow-up by stakeholders
> ...
Five steps:
STEP 1: STEP 2: STEP 3: STEP 4: STEP 5:

Strategic problem Develop future Backcasting Elaborate future Embed results and
orientation vision analysis alternative & define agenda & stimulate
follow-up agenda follow-up
Four groups of tools and methods:

(1) Participatory/interactive tools and methods
(2) Design tools and methods
(3) Analytical tools and methods
(4) Tools and methods for management, coordination
and communication
Fig. 42.2 A methodological framework for participatory backcasting (Quist 2007: 232)
3. Combining process, participation, analysis, and design, using a wide range

of methods within an overall backcasting framework. Other characteristics of
backcasting include problem orientation, system orientation, and turning visions
into actions that can be started right away (see also Fig. 42.1)
The developed framework consists of five steps and the outline of a toolkit
containing four groups of methods and tools. The backcasting approach reflected
by the framework is not only interdisciplinary (by combining and integrating tools,
methods, and results from different disciplines), but also transdisciplinary in the
sense that it involves stakeholders, stakeholder knowledge, and stakeholder values.
The following five steps have been defined:
STEP 1 Strategic problem orientation

STEP 2 Develop future visions
STEP 3 Backcasting analysis
STEP 4 Elaborate future alternative and define follow-up agenda
STEP 5 Embed results and agenda and stimulate follow-up and implementation
It must be noted that though the approach is depicted stepwise and seems to
be linear, it definitely is not. Iteration cycles are likely to occur, while there is
also a mutual influence between steps following one to another. In addition, the
first step includes defining and bounding the system and includes defining time
horizon, the number of visions to be developed, and developing the transdisciplinary
or multidisciplinary research design.
Furthermore, four groups of tools and methods are distinguished. In each step
of participatory backcasting, methods and tools can be applied from each group.
The four groups of tools and methods that make up a toolbox for backcasting are
(Quist and Vergragt 2006):
756 J. Quist
• Participatory tools and methods. This group comprises all tools and methods
that are useful for involving stakeholders and generating and guiding interaction
and dialogue among stakeholders. It includes specific workshop tools, creativity
tools, discussion tools, and tools supporting stakeholders to conduct backcasting
and participatory envisioning.
• Design tools and methods. This group consists not only of tools and methods for
scenario construction, but also for elaboration and detailing future systems, as
well as for the design of the stakeholder involvement process.
• Analytical tools and methods. This group of tools and methods is meant for
assessing scenarios and designs and includes consumer acceptance methods,
environmental assessments, and economic analyses. It also includes methods for
evaluation of stakeholder interaction and stakeholder analysis.
• Tools and methods for management, coordination and communication. This
group consists of methods and tools that are relevant for managing the project
and the stakeholder involvement process. It includes the methods, which can be
applied for shaping and maintaining stakeholder networks, communication, and
coordination and is sometimes also referred to as organizational tools.
The framework also distinguishes three types of demands: (1) normative de-
mands; (2) process demands; and (3) knowledge demands. Normative demands
reflect the goal-related requirements for the future vision, as well as how sustainabil-
ity is defined in the case under study and how sustainability is turned into principles
or criteria that future visions should meet. Process demands are requirements with
regard to stakeholder involvement and their level of influence in the way issues,
problems, and potential solutions are framed and resolved in the backcasting study.
Knowledge demands can be set to distinguish between the scientific and contextual
knowledge strived for and how these are valued. Stakeholder knowledge and
interdisciplinary knowledge in general does not meet regular disciplinary academic
standards, but is crucial for the process. Most demands need to be specified in
the beginning of a backcasting study. This can be done by the organizers, but
it may also be the outcome of early stakeholder involvement. It is also possible
that demands are partly set by the organizers and are partly based on stakeholder
discussions.
In addition, various goals can be distinguished in backcasting studies, which
can refer to process-related variables, to content-related variables, or to a range of
other variables like knowledge or methodology development. In general, multiple
goals are set in participatory backcasting, though they are not necessarily all equally
important. Possible goals for backcasting studies include:
• Generation of normative options for the future and analyzing these on their
environmental improvement, opportunities, and other consequences
• Putting attractive future visions or normative scenarios on the agenda of relevant
societal and political arenas
• A follow-up agenda containing activities for different groups of stakeholders
contributing to bringing about the desirable future
• Stakeholder awareness and learning with respect to the options, the conse-
quences, and the opinions of other stakeholders
• Stakeholder support and commitment with respect to vision, designs, analysis,

and commitment to the follow-up agenda
The framework presented here is intended as an overall methodological frame-
work for participatory backcasting that covers a large part of backcasting method-
ologies available in the literature. It can be used to categorize backcasting method-
ologies in a systematic way. The presented methodological framework is also useful
for researchers and practitioners who want to apply participatory backcasting. They
can use the framework when elaborating an operational backcasting methodology
for a specific study.
3 The STD Program and the Novel Protein Foods Case
Backcasting was introduced in the Netherlands in the early 1990s at the government
funded sustainable technology development (STD) program as an approach for
long-term thinking on sustainable technology development (Vergragt and Jansen
1993; Weaver et al. 2000). The STD program ran from early 1993 until 2002.
Taking the factor 20 as a challenge for technology development and applying an
interactive and stakeholder-oriented backcasting approach, major societal needs
like nutrition, water, mobility, and housing were explored, searching for future
sustainable alternatives for fulfilling these societal needs. This was done by
developing future visions using the expertise of stakeholders from government,
companies, research organizations, and public interest groups, which was followed
by further elaboration and assessment of technological options with the potential to
meet the factor 20 challenge (Weaver et al. 2000). A major rationale was to turn
visions into actions by the stakeholders involved after a backcasting study had been
completed.
Examples of factor 20 backcasting studies at the STD program are shown in
Table 42.1 (Jansen 2003; Weaver et al. 2000). They include topics like fuel cells
for boats, urban underground freight transport, novel protein foods as vegetarian
meat substitutes, sustainable multiple land use in which function integration and
reduction of the environmental burden in rural areas were combined, sustainable
urban renewal in the city of Rotterdam, biomass-based (C1) chemistry, and sustain-
able municipal water systems. The STD program has been considered successful
in identifying alternative solutions with the potential for achieving a considerable
environmental reduction factor and developing follow-up agendas and strategic
research programs, though the program did not succeed in establishing significant
follow-up in all backcasting studies.
One of the more successful topics was meat alternatives and novel protein foods
(NPFs), which emerged early during the STD program as a sustainable alternative
for meat consumption and production. A backcasting study was initiated to elaborate
this option, which was cofinanced by major Dutch food companies, and ran from
1993 till 1996. Results and stakeholder dynamics of the NPF backcasting study are
dealt with and subsequently structured by the steps of the backcasting framework
presented in Sect. 2.
758 J. Quist
Table 42.1 Backcasting Sub-program Backcasting projects

projects at the STD program
(Weaver et al. 2000; Jansen Food/Nutrition Novel protein foods
2003) Multiple sustainable land use
Zero-emission and closed
system greenhouse horticulture
Whole crop utilization
Mobility/Transport Urban underground freight
transportation
Demand-responsive public
transport
Hydrogen fuel cells for mobile
applications
Buildings/Urban districts Sustainable district renewal
Sustainable office buildings
Water/Washing Integrated sustainable water
supply systems
Sustainable washing
Chemistry Conversion of hydrocarbons
(C1 -chemistry)
New (organic) cells for
photovoltaic solar energy
Whole crop utilization
Fine chemistry process
technology
Natural fiber-reinforced
composite materials
3.1 Step 1: Strategic Problem Orientation
What were major issues and developments in the meat consumption and production
system in the Netherlands in the early 1990s? At that time, meat production and
consumption was increasingly considered a major sustainability problem in the
Netherlands. The country had (and still has) a large intensive livestock breeding
sector, which has huge environmental effects due to emissions especially from
manure, the inefficient conversion of vegetable protein to meat protein, a huge use
of energy, and large land use for growing fodder crops abroad. Effects of livestock
breeding include contributions to acidification, climate change, eco-toxicity, and
nutrification or eutrophication of soils and surface waters, while growing fodder
crops also prohibits using land and crops (biomass) for other applications such as
biofuels or supplying raw materials to the chemical industry. In addition, intensive
livestock breeding was raising serious animal welfare issues and vegetarianism was
gradually increasing, though still limited.
Nevertheless, livestock breeding and meat processing was (and still is) an
important economic sector in the Netherlands. Meat is an important source of
proteins in people’s diet and fulfills a range of non-nutritional requirements among
consumers, such as taste, habit, custom, and status; these are strongly entrenched
in the national culture and not easily changed. Stakeholders in the meat business
have defended their interests by forming powerful alliances that had a strong
influence on government policies and research agendas. In the Netherlands, all
this had made the environmental problems associated with meat production and
consumption extremely complex and persistent. Nevertheless, during the 1990s,
some policies were initiated to mitigate the environmental burden of livestock
production, targeting cattle farmers, for instance, by limiting and regulating when
and how manure could be put on agricultural land.
Meat alternatives were not at all on the food innovation and research agenda in
the Netherlands in the early 1990s, partly due to the large influence of both vested
meat-related interests and incumbent players. Attempts to put soy-based texturized
vegetable protein (TVP) foods on the market by a major Dutch food multinational
in the late 1960s had failed (Aiking et al. 2006: 8, 29; Quist 2007), which had
negatively influenced the interest in this topic in the Dutch food industry. However,
in the early 1990s, several SMEs were producing meat alternatives, as a small
niche market was gradually growing, which was served with foods based on TVP
and single cell protein (SCP) in addition to soy-based tofu. A major breakthrough
was the launch of quorn, a meat alternative based on proteins from a mold.
The range of available meat alternatives was gradually increasing and vegetarian
foods had become available in supermarkets. To a certain extent, this development
was driven by growing animal welfare concerns and livestock epidemics, rather
than by environmental concerns. For instance, environmentalists advocated to eat
organic meat or sometimes (considerably) less meat, rather than encouraging the
consumption of meat alternatives.
Against this background, the idea initiated at the STD program was called meat-
like products, which was inspired by the possibility of meat-in-vitro from tissue
breeding (Quist 2007). The essence of this idea was that if new meat alternatives
could be developed with a low environmental burden but with similar characteristics
and performance as high-quality meat products, consumers would be willing to buy
and consume these foods instead of meat at a substantial level. This would result
in considerable environmental improvement. As fierce resistance from the Dutch
livestock and meat sector was expected, only a small group of carefully selected
stakeholders from business and research was initially consulted by the chair of the
STD program and a senior staff member of the Netherlands Council for Agricultural
Research (NCAR).
Stakeholder consultation led to further development of the idea and early
stakeholder support. As a next step, a feasibility study was commissioned to a
consulting firm. The consultants proposed the term novel protein foods (NPFs)
and studied the technological, cultural, environmental, and consumer-related aspects
through desk research and expert interviews. Twenty potential NPF categories were
identified, each consisting of a combination of a protein source from nonanimal
origin and the technologies that were needed to extract the proteins and to
process them into protein foods. The protein sources ranged from existing single
cell proteins (SCP) and texturized vegetable proteins (TVP) to proteins from
molds, algae, tissue breeding, and de novo protein synthesis in the laboratory.
760 J. Quist
Nearly all categories showed huge potential for environmental improvement, though
they varied substantially in terms of technological maturity, as well as in terms of
estimated development time and costs.
3.2 Step 2: Develop Future Vision
After the feasibility study, a larger backcasting project was initiated for further
development and assessment of the vision. It included further research into techno-
logical and non-technological aspects. The follow-up study was multidisciplinary
and included research into consumer-related and social aspects, food technology
research, environmental life-cycle analysis, economic input–output analysis, and
production costs calculations. A major issue was how to relate and integrate the
results from different disciplines, for which knowledge demands and a research
design were defined.
Normative demands were defined as terms of reference and included (1) develop-
ing alternative protein foods with a factor 20 environmental improvement compared
to the environmental impact of pork meat at that time, (2) developing alternative
protein foods that are attractive to both consumers and producers.
Different ways of stakeholder participation were part of the study, which relates
to process demands though these were not always articulated and sometimes
implicit. First of all, the multidisciplinary research was conducted by seven re-
search groups from different universities and research institutes in the Netherlands.
Involving these research groups was not only done, because of their expertise, but
also because these research groups and their research organizations were major
players in the food innovation system. It was expected that their involvement would
result in support for the outcomes and could also facilitate follow-up research.
A different type of involvement was achieved through funding by several companies
and ministries. The funding organizations were also represented in the advisory
board of the project, which was extended with key persons from research and
public interest groups. Furthermore, a societal panel was established by applying
a dialogue method from the field of constructive technology assessment entitled
“Future Visions for Consumers”; a broad group of stakeholders from business,
research, government, and public interest groups gathered in three meetings of 1 day
and a half for discussing intermediate results, social aspects, opportunities, and
dilemmas. Finally, the project was led by a retired research director from a major
food multinational. He was supported by a project team at the STD program office
and was also responsible for involvement of stakeholders.
During the backcasting project, a more detailed future vision was developed.
The early vision comprised the idea of protein foods from nonanimal sources
having a 20 times lower environmental burden than (pork) meat. The key of the
more elaborated future vision was that novel protein foods – meeting the factor 20
requirement – could replace 40% of Dutch meat consumption in 2035, while 5%
substitution would be obtained in 2005. The market share of 40% was based on
the expectations that the market share of processed meat products would increase
to 75% and that consumers would perceive NPFs as of similar quality as regular
meat. Then NPF products would be capable of conquering half of the processed
meat market. It was also expected that protein food consumption would stabilize
at 117 gram per person per day, similar to the amount of consumed meat in 1995.
An important change in the vision was the focus is on NPFs as a separate food
category. Another change was the shift from meat alternatives toward NPFs as
food ingredients; it was assumed that NPFs would be particularly attractive when
applied as an ingredient in assembled and processed foods. Processed foods are, for
instance, burgers, sausages, and minced meat. Assembled dishes and foods include
pizzas, ready-made meals, soup, etc.
3.3 Step 3: Backcasting Analysis
The backcasting analysis, in which is looked backward from the desired future
situation, evolves around the questions “WHAT changes are needed to bring about
the vision?,” “HOW can the changes be brought about?,” and “WHO could or should
contribute to realizing the vision and what activities should they do?” The WHO
question can be extended by asking “who would oppose the required changes and
how can this opposition be dealt with?” It is also possible to add a question on
drivers and barriers for the proposed changes.
Looking from a backcasting perspective, WHAT are the needed changes? At
the STD program a distinction was made between (1) technological changes, (2)
cultural and behavioral changes, and (3) structural changes, which included changes
in institutions, rules, and the organization of the socio-technical system under study.
With regard to technological changes, the future vision implied that food
technology had to be improved considerably enabling to produce vegetarian protein
foods similar or superior in taste and structure to meat, while also having a similar
nutritional value as meat. The vision also implied cultural changes, not only related
to the role and status of meat and meat consumption, but also related to the role and
status of protein foods from other sources than animals. Obviously, a major cultural
and behavioral shift would also be that consumers would (on average) purchase
and consume significant volumes of vegetarian protein foods as part of their diet.
Backcasting analysis also shed light on structural changes, as the meat sector would
considerably decrease, and new protein food chains and a significant vegetarian food
industry would emerge.
The HOW question refers to the overall strategy or mechanism, which could drive
innovation leading to the envisaged 40% meat substitution by 2035. The strategy
developed in the backcasting assumed that producers would take the lead and would
serve a growing market demand. Producers were expected to develop new, more
attractive products and to introduce them into the market in a way that they would
seduce consumers to purchase and consume higher volumes of these vegetarian
protein foods. This would be supported by more fundamental academic knowledge
development and research, as well as by increasing awareness by consumers.
These developments would also be supported by government policies mitigating
762 J. Quist
Table 42.2 The seven selected NPF options

Ingredients Protein source
Protex: An ingredient resembling minced (1) Spirulina (cyanobacterium)
meat in structure that can be made from (2) Pea
bacteria, yeasts, and plants (3) Genetically modified pea
(4) Lucerne
Fibrex: A fibrous ingredient made by (5) Fusarium (fungus)
continuous fermentation of fungi
Fungopy: An ingredient produced by (6) Pea with the fungus Rhizopus
fermenting plants with fungi (7) Genetically modified lupine with the fungus
Rhizopus
the socioeconomic effects of the decreasing livestock breeding and meat industry as
well as by policies facilitating the rise of vegetarian foods. Though other strategies
are possible too, such as levying meat, but these were not considered in the
backcasting study.
The answer to the WHO question provided a range of stakeholders needed for
the envisaged system innovation, which were already involved as stakeholders in the
backcasting study. This list included food regulators, supermarkets and other retail-
ers, institutional food catering companies, and public interest organizations. The lat-
ter includes consumer organizations, the environmental movement, and vegetarian
and animal welfare groups. The activities that should be conducted by the different
kinds of stakeholders are included in the follow-up agenda described in step 4.
3.4 Step 4: Elaborate Future Alternatives and Define Follow-Up

Agenda
The production of NPF ingredients begins with crop growing. Following harvesting,
crops are processed. The vegetable-based NPF options are produced using extrac-
tion, mixing, stirring, and texturing techniques. Vegetable-based material can also be
used as the basis for a fermented product or for the cultivation of microbial biomass
to arrive at the microbial NPF options. In principle, hundreds of potential NPFs are
possible, which were clustered in around 20 clusters of a protein source and the
technologies needed to turn them into a protein food ingredient.
Through a step-by-step selection process, a set of seven high-potential NPF
options was generated, using criteria like technological feasibility, environmental
reduction potential, attractiveness to consumers and firms, and structural economic
effects. The seven NPF options are shown in Table 42.2 and are based on different
vegetable and microbial sources like peas, lucerne, lupine, the fungus Fusarium,
and the cyanobacterium Spirulina in combination with different technologies like
fermentation, extraction, extrusion, and others. The seven NPF options were clus-
tered in three types of ingredients. The first one resembled minced meat in structure
and was called Protex. The second type was fibrous and was called Fibrex. The third
one was a fermented ingredient, resembling tempeh and was called Fungopy.
Table 42.3 Possible end products with NPFs

Meal category End product possibilities
Meal component Burgers, nuggets, fingers, cordon bleu, soufflés, schnitzels,
cocktail sausages
Meal ingredient Stir-fry, slices, chunks
Ready-made meals Soups, vegetable platters, rice/pasta dishes
Savoury snacks Bread rolls, hot dogs
Sandwich filling Pâtés, spreads, pastes, slices
Cocktail snacks Balls, sticks, croquettes
While most of the technologies needed for producing NPF options were already
incorporated in regular production techniques, technological research showed that
it was not yet possible to provide the consumer with products that are sufficiently
attractive to ensure a significant reduction in meat consumption. By translating
consumer demands into product quality standards, a view could be derived of
the areas in which fundamental knowledge was still lacking, namely, sensory and
molecular sciences, nutritional value, scaling-up of production processes of NPFs,
and also further improvement of the environmental impact of NPFs.
Consumer research emphasized that especially taste and convenience will de-
termine whether consumers will be buying and consuming NPFs in 2035. Due
to growing wealth and ongoing individualization, convenience will become more
important and lead to a considerable growth of processed meat products, and
assembled foods and meals. Health, global equity, and environmental concerns will
become more important to consumers. The combination of growing health concerns,
also driven by aging of the population, and convenience thus points in particular to
processed products and assembled meals; some examples are given in Table 42.3.
Environmental research used LCA (life-cycle analysis) to compare the envi-
ronmental impact of the selected NPF options with pork. It showed that the
environmental impact of the options was 5–30 times lower than the environmental
impact of meat (as shown in Table 42.4), when produced in 1995 using regular ways
of crop growing. Nutrification, eco-toxicity, acidification, and global warming made
up the main environmental impacts. In addition, it was found that the environmental
impact of the seven NPF options could be considerably improved, when pesticides,
manure, and transportation would be significantly reduced (see Fig. 42.3).
After the analysis, a pathway was elaborated that described a possible trajectory
in which the future vision would be realized. It is summarized in Table 42.5 and
shows the projected shares of meat and NPF foods in the Netherlands. It also shows
the area of land needed to grow the NPF crops and how the environmental burden
of total protein food consumption including the consumption of meat may evolve.
It makes also clear that environmental efficiency improvements of meat may also
make a significant contribution.
Also, seven clusters of follow-up activities were identified (see Table 42.6). The
listed clusters of activities can be seen as a policy and action agenda for sustainable
technological development around the option of novel protein foods.
764 J. Quist
Table 42.4 Environmental impact of pork meat and the NPF options in 1995
Aquatic Other
eco-toxicity Nutrification Acidification themes Total
Pork meat 67.1 11.1 10.3 11.5 100
(1) Protex from 0.7 0.3 0.4 1.7 3.1
Spirulina
(2/3) Protex from 10.6 2.9 0.5 1.4 15.4
peas
(4) Protex from 9.0 1.8 0.5 1.1 12.4
lucerne
(5) Fibrex from 3.2 0.9 0.6 2.0 6.7
Fusarium
(6) Fungopie from 10.4 2.9 0.4 1.9 15.6
pea
(7) Fungopie from 12.9 6.1 0.5 1.9 21.4
modified lupine
1.0 1.0 1.0 1.1 2.5

40
35
Index relative to pork 1995 (%)
only without without

30 emission without emission
artificial of transport of
1995 manure manure herbicides
25
4.7 4.7 4.7
20
6.5 6.4 6.5 6.4 6.2 6.5 6.5
15 7.1
8.1 8.1 7.7 7.6
8.3
9.1
10 12.8 12.5
14.9 16.1 15.0
17.7 18.8
5 32.4 32.4 32.4 33.2 32.4
23.8
0
Pork 1 2/3 4 5 6 7 Pork 1 2/3 4 5 6 7 Pork 1 2/3 4 5 6 7 Pork 1 2/3 4 5 6 7 Pork 1 2/3 4 5 6 7
Other Green house effect Acidification

Nutrification Aquatic ecotoxicity (nr.) novel protein foods
Fig. 42.3 The environmental impact of NPF options and pork meat expressed as an environmental
index relative to pork meat. Results for several improvement options are also shown
3.5 Step 5: Embed Results and Stimulate Follow-Up
Although stakeholder communication and consultation took place throughout the

backcasting activities, it was extended in the last phase and shortly after the project.
This led to a range of research and development proposals and other initiatives.
Table 42.5 The total environmental strain per kg of product consumed

Area of land Total env
needed for reduction of
Share of Env factor NPF crops Meat share Env factor NPF + meat
Year NPF (%) NPF (* 1,000 ha) (%) for meat (%)
1995 0 5 – 100 1.0 0
2005 5 5 41 95 1.2 20
2015 20 5 151 80 1.3 35
2025 35 10 240 65 1.3 47
2035 40 20 270 60 1.4 55
Table 42.6 Action agenda for Novel Protein Foods (Quist 2007: 97)
1. Communication with the general public and supply of adequate information
2. Professional education and transfer of generated knowledge
3. Consumer research and development of marketing instruments
4. Fundamental research and chain organization
5. Novel protein foods product development (both as foods and as ingredients)
6. Improvement of environmental impact of crop growing and LCA instruments for foods
7. Supporting regulation and social measures (facilitating the growth of a novel protein food sector
and the reduction of the meat sector).
Ten years after the completion of the NPF backcasting study in 1996, its follow-
up and spin-off was investigated (Quist 2007; Quist et al. 2011). Briefly, in terms
of impact and spin-off, the backcasting study had been quite successful and various
clusters of follow-up and spin-off activities and related networks of actors could be
identified.
To start with, a large multidisciplinary research program entitled Profetas was
initiated; involving research groups from different disciplines as well as several large
food companies (see also Aiking et al. 2006). A second cluster of activities involved
new R&D collaborations on meat alternatives, NPFs, and related supply chain
management between firms and research institutes. It included the introduction
of a new meat alternative made from dairy proteins by a major dairy firm in the
Netherlands. A third cluster consisted of new activities by SMEs operating in the
area of vegetarian protein foods and meat alternatives. These firms not only extended
their regular activities and market share. They also started new activities, which were
significantly stimulated by the NPF backcasting experiment and its spin-off.
A fourth cluster of activities was found in the government domain, where, as
a spin-off of the NPF backcasting experiment, meat alternatives and vegetarian
protein foods became a topic of policy making on sustainable consumption at the
Ministry of the Environment and on sustainable supply chains at the Ministry of
Agriculture.
766 J. Quist
A fifth cluster was identified in the public domain. Encouraged by the Ministry
of the Environment, environmental organizations became more positive about meat
alternatives and extended their activities on this topic. Vegetarian organizations used
the NPF activities as a bandwagon for pursuing their own agenda and activities.
4 Backcasting for Sustainable Engineering
Five steps can be distinguished in participatory backcasting. This subsection deals

with each step and presents methods that can be applied within a specific step.
4.1 Step 1: Strategic Problem Orientation
This step includes setting normative assumptions and targets, which can also be
done through stakeholder participation. This step aims at exploring the problem
from a systemic viewpoint, possible problem definitions, main unsustainabilities,
opportunities, and possible solutions, identifying and involving relevant stakehold-
ers. In addition, it should be analyzed how the problem is perceived by different
stakeholders, how it relates to need and function fulfillment on an appropriate level
– which is often a societal level or the level of socio-technical systems, how other
stakeholders evaluate and judge the different problem formulations according to
their own mind set, values, and interests, and how supply chain and demand side
are interdependent and influence each other. It is important to take an integral
viewpoint, while taking into account related consumption and production systems
and present trends and developments for the whole system. Involving stakeholders
is also important because they are experts in the field or system under study.
4.2 Step 2: Develop Sustainable Future Visions
The results of the strategic problem orientation step are the starting point for
construction of sustainable future visions in which the identified unsustainabilities
and problems have been solved. Stakeholder participation is important here, so
workshops are an important tool in this step, though other participatory methods
are also possible. The relevant question is how this societal need or function can be
fulfilled in a sustainable way in the far future, assuming that it is always possible to
define a societal need or function in a particular backcasting study.
Furthermore, different types of future visions are possible. For instance, within
the STD program, a generic sustainable future vision was generated that contained
several solutions for different major unsustainabilities, while in the university-based
Sustainable Household (SusHouse) project, several more detailed scenarios were
generated that depicted different sustainable lifestyles that could be seen as each
other’s substitutes. In addition, SusHouse scenarios did not only contain a vision
and a description of main characteristics, but were elaborated with storyboards
depicting daily life stories within a specific scenario, proposals for product-service
systems supporting the sustainable scenario, and sometimes with images. It seems
that generating single visions or several scenarios have each specific advantages and
drawbacks, but a systematic evaluation of this has not been done yet. Furthermore,
quite a number of specific methods are available for constructing future visions
and normative scenarios. Scenarios or future visions can either stress the vision
part, the feasibility, or the creative part. It is also possible to add first estimates
or preliminary assessments for particular aspects like environmental improvement
potential, consumer acceptance, socioeconomic aspects, etc.
4.3 Step 3: Backcasting Analysis
Though the overall approach is named after this step, it is actually the step that is
least elaborated and described in the backcasting literature. Methods like elaboration
of future visions, writing essays, explorative research, expert workshops, and
stakeholder workshops have been suggested. Others have proposed to guide the
backcasting step with specific guiding questions like “What are the necessary
changes to make this future vision or scenario become true?” Several varieties can
be distinguished in this step:
• A quick one just meant for identifying attractive solutions or clusters that would
enable radically increased eco-efficiency. This was, for instance, done at the STD
program (Weaver et al. 2000).
• A more elaborated variety, asking for the changes necessary for achieving a
specific future vision or sustainable normative scenario, which was applied in
the SusHouse project (Quist et al. 2001). This meta-question can be split into
specific questions:
• Which technological changes are necessary?
• Which cultural and behavioral changes are necessary?
• Which structural-institutional changes are necessary?
• Which organizational changes are necessary for realizing the desirable sus-
tainable future state?
• A very detailed one defining and describing also in-between states. For instance,
if the final state is set in 2040, reasoning back from 2040 the state of 2030
can be described, before describing the state of 2020 and 2010. Though this
variety is commonly used for explaining backcasting, it has hardly been applied
in professional practice.
4.4 Step 4: Elaboration and Defining Follow-Up Agenda
Elaboration can take many forms and depends strongly on capacity, budget, and
time available. Assessments, analyses, and feasibility studies are important in the
first part of this step, while defining follow-up activities and agendas that enable
implementation and realization on the longer term are important in the second
768 J. Quist
Table 42.7 Methods and Step 1: Strategic problem orientation

tools for backcasting
Setting demands and basic assumptions
System and regime analysis
Stakeholder analysis
Problem and trend analysis
Socio-technical mapping
Step 2: Generating future visions
Idea articulation and elaboration
Generation of multiple perspectives
Creative techniques
Step 3: Backcasting analysis
WHAT-WHO-HOW analysis: technological, cultural-behavioral,
organizational, and structural-institutional changes
Stakeholder identification: required stakeholders and actions
Drivers and barriers analysis
Step 4: Elaboration and define follow-up agenda
Scenario elaboration (turning vision into quantified scenario)
Scenario sustainability analysis
Generation of follow-agenda
Transition pathway
Step 5: Embed results and stimulate follow-up
Dissemination of results and policy recommendations
Generation of follow-up proposals
Stakeholder meetings
part of this step. Differences can be noticed too. For instance, in the SusHouse
project, several normative scenarios were elaborated and assessed by small research
teams and the results were fed into another stakeholder workshop. At the STD
program, backcasting was used to identify promising clusters and directions within
a single future vision, and those clusters were subjected to feasibility study and
further elaboration in particular projects. This enabled to involve more specialized
researchers, while stakeholder involvement became more focused too.
4.5 Step 5: Embedding of Action Agenda and Stimulating

Follow-Up
As the aim of backcasting for sustainable strategies is to bring about change in

processes, system innovations, or transitions toward sustainability, it is important
that the outcomes of the backcasting study are embedded and taken further by
stakeholders or groups of stakeholders. It has already been mentioned that each
societal group has to deliver its contribution, while it cannot be blueprinted due to
the complex nature of social change and social learning processes. Nevertheless, the
future vision can act as a guiding image or leitmotiv, while R&D and action agenda
contain a bundle of possible pathways and suggestions that must be elaborated by

appropriate stakeholders.
Table 42.7 below provides a schematic overview of methods and tools by step.
5 Conclusions
In this chapter, it has been argued that backcasting is a useful tool for engineers to
develop pathways leading to system innovations and transitions for sustainability.
It has provided an overview of the current variety in backcasting and has presented
a methodological framework that covers most of this variety, which was illustrated
using a backcasting study on novel protein foods and meat alternatives that was
conducted at the STD program in the Netherlands. This chapter has also elaborated
the backcasting framework into a methodology that can be applied to define strategy
processes in engineering design.
It has been argued that backcasting is in particular useful in case of complex
societal problems, when there is a need for major change, when dominant trends
are part of the problem, when there are side effects or externalities that cannot
be satisfactorily solved in markets, and when long time horizons allow for future
alternatives that need several decades to develop. Backcasting is very well equipped
to deal with sustainability, as sustainability is a normative concept and backcasting
is a normative approach to foresight leading to normative scenarios and dealing with
the question what is the future we would like to have. Though very often a problem-
oriented perspective is taken, it is also possible to start a backcasting project with a
socio-technical option.
Backcasting is less well equipped to deal with emerging technologies such as
nanotechnology. Those cases are technology driven, and the dominant direction is
to push the technologies based on the expectation that they fulfill a need, whereas in
backcasting, needs and the articulation of alternative solutions to fulfill those needs
have most added values. In case of emerging technologies like nanotechnology,
GMO’s, and ICT, there are strong normative aspects at play and a constructive
technology assessment approach (see also Chapter 35) is more appropriate in these
cases.
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Changing Energy Demand Behavior:
Potential of Demand-Side Management 43
Sylvia Breukers, Ruth Mourik, and Eva Heiskanen
Abstract
There is a great theoretical potential to save resources by managing our demand
for energy. However, demand-side management (DSM) programs targeting
behavioral patterns of energy consumption face several challenges. One of the
most important ones is the challenge of sustaining the changed behavior. People
may respond to intensive incentives and encouragement in the short term, but
if their social and physical context does not change, they will easily revert to
their old behaviors once the interventions end. It is also important to realize that
different types of behaviors depend on different mechanisms: one-shot behaviors
like the purchasing of an energy-efficient appliance are different from routine
behaviors like turning off lights. It is in the latter that achieving lasting change
presents an enormous challenge.
This chapter introduces a socio-technical approach to energy DSM. Rather
than focusing merely on individuals and their motivation to change, a socio-
technical approach acknowledges that individual behaviors are nested within
broader societal change processes. People learn much of their behavior from
other people and from their immediate physical environment. Change interven-
tions need to be accompanied by changes in culturally shared norms and values
S. Breukers
Policy Studies Department, Energy Research Centre of the Netherlands (ECN), Amsterdam,
The Netherlands
e-mail: sylvia.breukers@duneworks.nl
R. Mourik
DuneWorks, Eindhoven, The Netherlands
e-mail: info@duneworks.nl
E. Heiskanen
National Consumer Research Centre (NCRC) Konsumentforskningscentralen, Helsinki,
Helsingfors, Finland
e-mail: Eva.heiskanen@ncrc.fi

DOI 10.1007/978-1-4020-8939-8 48,
774 S. Breukers et al.
and supported by adequate technologies, policies, regulations, and infrastructures.

Successful DSM programs require a good understanding of how energy con-
sumption is shaped by everyday life routines and cultural conventions. They also
require a good understanding of the target group and their concerns. This kind of
understanding helps program managers to change the context or make the change
fit the context, make energy consumption visible, to time their interventions
appropriately, and to involve the relevant stakeholders in their program.
Several instruments are commonly used in DSM programs. These include
financial instruments, information and education, metering and feedback, energy
audits and advice, and voluntary programs and commitments. A socio-technical
approach suggests that there is no “one-size-fits-all” instrument, but that the best
combination of instruments needs to be tailored for each target group, targeted
behavior change and context. This chapter offers advice and examples on how
to tailor instruments to their context, as well as highlights from an online toolkit
to help program managers in this task. In conclusion, an example is offered on
how to shift electricity demand from one period to another. The key message is
that interventions should be tailored to the specific contexts in which they are
employed, building on a good understanding of how energy use is embedded in
the users’ everyday life and its social and physical surroundings.
1 Introduction
As concerns for sustainable development and security of resource supply increase,

there has been a renewed attention to managing the demand of various commodities
or services, among others, energy, water, and transport infrastructures (Van Vliet
et al. 2005). Achieving carbon reductions, arriving at more efficient use of materials
and resources, and reducing pollution are however major challenges. A variety of
measures are used to motivate this more sustainable pattern. There are, for instance,
subsidies to encourage the production of renewable energy, there is R&D support
for innovation of materials, hazardous waste is banned, measures are proposed to set
up recycling systems, and there are policies that ban traffic from the inner cities at
certain times of the day. These measures however demonstrate an asymmetry in the
responses as they mainly address the supply side, leaving the demand side relatively
unchallenged. However, to create a more sustainable supply and demand pattern,
both the supply of and demand for all sorts of products and services need to be
challenged.
Demand side has been the focus of various types of demand-side programs
(DSM) for decades and interest in managing demand has been recently reinvig-
orated. In the field of transport policies, for example, Transportation Demand
Management is a vibrant field of research and development (Gärling and Schuitema
2007). Also, in the field of water, DSM is dearly needed. Spain is suffering severe
water shortages; Barcelona even had to ship in drinking water from Marseille in
2008 – an unprecedented and worrying intervention (Barcelona’s Water Supply
Case 2008). Ideas for household water DSM involve both new appliances – for
43 Changing Energy Demand Behavior 775
example, rooftop reservoirs to catch rain water – but also changes in daily practices
and behaviors. For instance, using the same water several times: the water flow first
serves drinking purposes, then the water is used for showering; this water is then
used for washing and cleaning, and finally to flush the toilet (mixed with rain water)
(Roestenburg 2008). In recent years, energy efficiency and energy conservation have
gained renewed interest as the cheapest and most feasible ways to meet climate
change mitigation targets (and other environmental objectives). Concerns about se-
curity of supply, “peak oil,” and other resource shortages have added to the urgency
of energy conservation (Geller and Attali 2005). The European Commission’s 2011
Energy Efficiency Plan, which requires all member states to impose some kind of
energy-saving obligations on their energy suppliers (European commission 2011),
has strengthened the implementation of DSM programs focusing on the energy
consumption behaviors and behavioral patterns of households and other small-scale
energy users that hold great potential for energy efficiency. (For more information
about percentages and ranges per target group, see Breukers et al. 2009:26–43.)
One way to achieving energy conservation is through changing the patterns of
energy consumption on the side of the (individual) end users by means of Demand
Side Management (DSM) programs. Breukers et al. (2009) define energy demand-
side management programs as “an organised set of programs and initiatives that
primarily aim to change the quantity and patterns of energy consumption on end-
user level. The programs and initiatives do so by initiating interaction schemes
between end-users and program initiators to motivate and facilitate end-user energy
demand reduction.” Examples of DSM programs range from energy audits being
provided to households, to regional or even national campaigns focusing on the
reduction of energy consumption, to metering and tailored feedback displayed on
smart phones or an in-home display.
DSM programs targeting behavioral patterns of energy consumption face several
challenges. An important challenge is that many interventions to change the
behavior of an individual may be fairly successful as long as they last, but the
individual tends to revert to her/his original behavior once the program has ended
(e.g., Abrahamse et al. 2007; Kurz 2002; Wilhite et al. 2000). In those cases, the
DSM project might have been successful for its duration but it has not contributed
to durable efficiency improvements in energy behaviors and as such might even
be considered a failure. So far, the dominant approach toward energy DSM has
been based on a belief in the unproblematic transfer of expert knowledge on energy
efficiency solutions into end user practices. In contrast, this chapter (based on
extensive research and practical work) argues for a more interactive, user-oriented,
and context-sensitive approach to demand-side management. Here, context refers
to the physical, social, cultural, economic, institutional, and political environment
(including various actors) in which the individual operates. It spans from the
immediate context of the family, household, workplace, and everyday surroundings
to national media and policies and to the global economy. Learning about and
with end users and about the particular context in which a project is implemented
is crucial and for that reason, interactions are needed between experts, designers,
policy makers, and end users.
Next to the end users (consumers targeted in energy DSM projects), a host of
other relevant stakeholders influence the successfulness of DSM projects: from
national and local authorities, utilities and retailers, energy auditing specialists,
manufacturers of energy-efficient products, financial specialists, and the program
designers or intermediaries. In the past, national governments and utilities were
the ones promoting energy efficiency and implementing DSM programs. The
liberalization and privatization of the energy sector in the 1990s has changed this.
Intermediary organizations have emerged that address the demand side of energy
efficiency. Energy intermediaries seek to intervene on either a project basis or
more broadly in energy systems. They do this by, for instance, raising public
awareness, helping the visibility of alternative ways of producing and consuming
energy through pilot projects. Or they promote low energy buildings, via replace-
ment product programs (e.g., energy efficient appliances). Energy intermediaries
encompass a wide variety of organizations, including private, public, and semipublic
organizations that work at different levels (e.g., local pilot project to national
awareness campaigns) and across different time scales (e.g., a short-term 6-month
project to 10 years programs). A wide range of intermediaries can be identified:
specialized energy service companies (ESCOs), government-funded energy agen-
cies, nongovernmental organizations (NGOs), consultancies or organizations that
gain their funding from public benefit charges. They can perform functions like the
provision of energy advice; consultancy activities; energy audits; project prepara-
tion, implementation and management; demonstrations; technology procurement;
installation; promotion; advocacy; lobbying, dissemination and awareness raising;
organizing campaigns; education; training and courses; and network building.
This chapter addresses the question of how DSM programs can achieve lasting
behavioral changes. It focuses on DSM programs targeting behavioral change of
energy end users at small-scale levels. These include households, schools, the
building sector, municipalities, and small- and medium-sized enterprises. When
formulating an answer to this challenge of creating lasting energy consumption
patterns, a first step is to acknowledge that two types of behaviors exist and that
different mechanisms underlie these different behaviors.
– Efficiency behavior: one-shot behavior, for instance, the purchase of energy-
efficient equipment or appliances
– Curtailment behavior: repetitive efforts to change routines and habits to reduce
energy use, for instance, showering less often or long, turning of lights, lowering
the thermostat
Since different mechanisms underlie efficiency and curtailment behavior, dif-
ferent DSM interventions are necessary to effectively change these two types
of behaviors. Purchasing an energy-efficient appliance is a rather discrete event,
usually preceded by significant processing of information and the use of specific
decision rules. DSM interventions that intend to change this behavior therefore need
to target the decision-making process and the rules applied in it. Achieving lasting
change is successful as soon as the investment has been effectuated. Curtailment
behavior, in contrast, refers to habitual and routine behaviors which are less
subject to conscious decisions. It is here that achieving lasting changes presents

an enormous challenge.
Below, this chapter first introduces a socio-technical approach to energy DSM.
Drawing on several social-scientific disciplines, this approach combines relevant
insights that help to understand behavioral change processes and provides insights
on how to create lasting behavioral change of curtailment behavior. Next, relevant
issues that DSM project should reckon with are highlighted and the use and
effectiveness of different DSM instruments in creating lasting change is discussed.
In conclusion, the main insights that follow from a socio-technical approach to
energy DSM are highlighted.
2 Toward a Socio-technical Approach to Energy

Demand-Side Management
Several disciplines have focused on understanding energy consumption patterns and

ways to change them. A review of the main lines of research in economics, psychol-
ogy, social psychology, and sociology provides an overview of the contributions
that these strands can make to understanding why it is so difficult to change the
energy consumption patterns of households and other small-scale users and how
these problems can be surmounted.
– Economists have proposed a number of reasons why often even highly cost-
efficient energy-saving measures are not taken. Reasons include end users’ high
implicit discount rates, the risks and uncertainties of new technologies and the
low liquidity of investments (Golove and Eto 1996). Economists further point at
the fact that the cost of capital may be high for small-energy end users, and that
they may be reluctant to incur additional debt. In addition, appropriate services
may not be readily available.
– Psychologists stress that few energy end users are able to carefully track their
own energy consumption, let alone understand fully what they could do about it.
They claim that energy information is so complex that end users lack the capacity
to make sense of it (e.g., Anderson and Claxton 1982) – or energy experts lack
the capacity to speak to end users in a way that is meaningful to them (Parnell
and Larsen 2005).
– Sociologists in turn stress that in everyday life, energy is “invisible” (Lutzenhiser
2002); people do not consume it consciously; it is a side effect of other
activities (Wilhite et al. 2000). Moreover, a broader social or sociological context
compounds the problems of promoting energy efficiency. Much of our energy
use is habitual; and many energy-use habits are further consolidated as social
conventions (Shove 2003), that is, socially shaped expectations about appropriate
levels of cleanliness, comfort, and convenience. Another reason is that not
all institutions – that is, rules, patterns, standards, and norms of appropriate
behavior – in society are aligned to the cause of reduced energy demand.
Policy makers and the institutional system are often sending ordinary energy
users “mixed messages” (e.g., Biggart and Lutzenhiser 2007). Thus, individual
end users – even if they are aware of the problems and potential solutions –
may feel unable to individually make a difference and thus can feel helpless,
disempowered, or not responsible for the collective problem.
Thus, while economics and psychology traditions focus on the individual level –
not paying a lot of attention to the context in which behavior is situated –
sociological research stresses the importance of acknowledging the social level in
order to understand individual behavior and opportunities for behavioral change.
Sociological research thus acknowledges that individual change processes are
nested within – and interacting with – broader societal change processes. Build-
ing on these different disciplines, a socio-technical approach acknowledges that
individual behavior interacts with and is shaped by its context. This interaction
between the individual and his or her context defines to great extent a person’s
motivations to save energy, his/her attitude toward energy efficiency and saving, and
his/her capacity for action. As such this interaction coshapes his or her consumption
practice and the possibilities to change the behavior in such a way that the change
lasts (see Breukers et al. 2009). In other words, the potential to change a behavioral
pattern not only lies with individuals. If others do not learn to change too, and
if the change is not accompanied by changes in culturally shared norms and
values, or supported by adequate technologies, policies, regulations, and perhaps
even infrastructures, then the individual will soon revert to his/her “old” behavior
because the context is not supportive of or may even impede the “new” behavior.
Therefore, socio-technical approaches to change address both the individual and
the social levels of change – in order to be able to achieve lasting change. For
example, if someone wants to behave more energy-efficiently but this is regarded
as uninteresting and unimportant by this person’s friends, family, colleagues, and
neighbors, then it is likely to become a lonely battle. If the social norm is to not
worry about a boring issue like energy efficiency, this is not supportive for those
who do worry about energy efficiency. In addition, if there are no technologies or
appliances like for example, more energy-efficient boilers available, or if there are
appliances on the market but no installers that can inform this person properly on
what are the pros and cons of different appliances, then this will discourage the
purchase. Also, if no tailored energy audits can be made, it will be very difficult for
this person to get a clear idea on what else (s)he can do to improve the energy
efficiency of his/her household. Imagine furthermore infrastructural barriers, for
example, that the apartment is heated by block-heating system, which cannot be
controlled at the level of the household, but only at the level of the apartment
block. In this imaginary case, a person who is motivated to change his/her behavior
to become more energy efficient is likely to become disillusioned because of all
the impediments at the social, physical, institutional levels. Only someone who
is extremely motivated has the time and ability to learn and arrange and build
everything him/herself will succeed in actually achieving something. Hence, new
behaviors need to be supported to some extent by existing or newly rising norms,
technologies, policies, and infrastructures to actually enable these behaviors to
become embedded and lasting.
Table 43.1 summarizes the results of the review discussed above, as well as the
practical implications for DSM interventions (Breukers et al. 2009). The table refers
to several DSM instruments that are discussed later on in the text.
Table 43.1 Barriers and possibilities for intervention to improve energy efficiency
1. “Barriers” to Multiple issues:
energy efficiency – Perceptions of risk, of long payback times; limited avail-
ability of capital.
– Market failures: high information costs, externalities (e.g.,
when environmental costs are not reflected in current
prices); transaction costs (e.g., costs of information),
agency issues (e.g., tenants cannot force their landlord to
install energy-efficient applications).
– Psychological issues (lack of feedback or information
processing capacity; lack of social pressure; lack of skills
and opportunities; habits; helplessness).
– Social systems that discourage energy-efficient behavior:
prevailing infrastructures, institutions and networks, “ways
of doing,” norms, culture.
2. How can actors be By addressing issues at different levels.
motivated and – Market failures: providing cheaper information, new insti-
mobilized to save tutions, and incentives.
energy? – Information, feedback and (social or economic) incentives
in suitable formats and combinations.
By aiming a strategy at social interaction and mobilization:
– Collective action.
– Interaction, negotiation, and reorganization of socio-
technical networks (networks around innovations and the
technologies that are part of these innovations).
– Capacity building.
3. What intervention • Measures that transfer risk or that address some of the
instruments are transaction costs and agency problems (e.g., performance
relevant contracting, energy service companies).
• Instruments to correct market failures, e.g., financial in-
struments, information (audits and feedback) and combi-
nations of instruments.
• Instruments that address:
– Pre-disposing factors (motivation, knowledge, norms
and self-efficacy).
– Enabling factors (providing means for change: re-
sources and skills).
– Reinforcing factors (mobilization of resources and
strengthening intentions – feedback).
• Strategies that take account of the broader social system in
which current practices are embedded and that aim at trans-
forming current systems. Focus on interaction between
promoters of solutions, end users and other stakeholders.
• Learning from bottom-up alternatives (e.g., new systems of
co-provision).
• Encouraging processes of learning (group dynamic, user
participation and flexible design).
• Market transformation, transformation of urban
infrastructures.
Below, DSM programs and the considerations that are important from a socio-
technical point of view are first presented. Next, different DSM policy instruments
are addressed in more in depth.
3 Issues Pertaining to the Success of Energy DSM Programs
The successfulness of DSM programs in achieving lasting change depends on

many conditions, pertaining to, for example, the project management, available
technologies, norms and values, policies, infrastructure, marketing, the target group
behavior, and other issues. There are several basic conditions that are important
for any DSM program to be successful. These basic conditions include sound
funding, continuity in the project and organization, having a clear focus, clear and
preferably measurable goals, and sound technical and energy-related knowledge. In
addition, research has shown other issues that are less well known but nevertheless
crucial (Breukers et al. 2009; Mourik et al. 2009). These are briefly elaborated
on below.
3.1 Understand How Energy Consumption is Connected to

Everything
Energy consumption habits are shaped by social and cultural conventions (such
as practices of washing, heating and living, i.e., brushing your teeth twice a day,
cooking around a fixed time). Individuals generally want to behave according to
these culturally shared norms, because the price of not doing might be exclusion, or
at least being labeled “different.” In addition, much of our everyday behaviors and
routines are shaped, guided, and mediated by the collective systems of provision.
Vice versa, our everyday practices sustain or reshape these systems in the long
run (Otnes 1988:131). These systems of provision include collective infrastructures
and institutions providing various types of services and utilities to citizens, such as
our water and sewerage system, the electricity supply system and grid, and waste
management systems (Mont and Power 2010:2240).
Energy DSM programs can be successful if they are based on a proper under-
standing of what conventions shape individual behavior, that is, why people behave
the way they do, of how systems of provision and social norms influence their
behavior. For instance, if intermediaries know that the target group is somewhat
indifferent to energy efficiency issues, but interested in combating health problems
that originate from the unhealthy level of moisture in a house, then a DSM project
can start by informing this household about other ventilation behavior and its
relation to temperature. Through that motivation, a DSM program can continue
discussing energy efficiency and other benefits such as saving money, enhancing
comfort, or saving the environment. In the course of the process, an intermediary
can try to learn more about why people are indifferent and how that might change.
An energy intermediary can attain this improved understanding of the target group
by asking (and inquiring) how the DSM project fits with the existing institutions, the
capacities of the target groups, the existing values and norms (in the local area), and
infrastructures and available technologies. Once it is clear what connections and
lock-ins impede the behavioral change on the individual level, different financial,
informational, and agreement-related instruments can be used to facilitate change
on the individual level.
3.2 Change the Context or Make the Change Fit the Context
As discussed above, social habits and conventions and accompanying systems of

provision enable or constrain the scope of action for individuals, and thereby their
ability to change. To ensure that the changes last beyond the duration of the project,
these institutions and context need to change too or at least not impede the new
behaviors. DSM projects aimed at behavioral change at the household level should
thus not only target the behavior of respective individuals in a household, but also
the behavior of stakeholders that are influential in terms of this broader context
such as the family, neighbours, community, retailers, policymakers on the local
level (e.g., Wilhite et al. 2000; Lucas et al. 2008; Ornetzeder and Rohracher 2006;
Rohracher 2001). For example, for a person to be able to undertake measures to
insulate his/her apartment and install more energy-efficient heating appliances, it is
important that there is good quality information available and that installers can
inform him/her about various options. In addition, if other people also take up
similar initiatives toward more sustainable behaviors, this is a strong encouragement
for the individuals to change their behavior accordingly (Heiskanen et al. 2009).
People learn everyday behaviors from other people via social modeling. Kurz (2002)
claims that if people are to change, they need to learn how to change, what should
be the new appropriate, right and normal behavior and need to see that others are
changing, too. Individuals can feel helpless about their possibilities to influence
large problems like climate change. However, if friends and neighbors (peers) also
do their bit, then this creates confidence that energy saving is the right thing to do
and that it is effective.
Most DSM projects are too small and last too short to really change the
broad systemic context. However, a DSM intermediary can try to at least make
sure that the current context will not impede the desired behavioral changes, for
example, clarifying where people can get information, having local policy makers
endorsing more energy-efficient practices in local policies, by getting other relevant
stakeholders to also support the DSM initiative (local politicians, SMEs, NGOs,
etc.). Or if a DSM project aims at changing employees’ energy use in the office,
the intermediary might need to change some of their equipments and some of their
work practices, and they might even need to change some of the rules set by the IT
department.
3.3 Make Energy Consumption Visible
Most people do not consciously consume energy and most energy use is invisible
to the users. Rather than being a conscious action, energy use is implicated in all
sorts of activities and practices – and the necessary products and services to enable
these practices. Examples of such practices are cooking, showering, laundering, and
caring for the family and the home (Guy and Shove 2000; Shove 2003). Different
metering and feedback instruments can be used to make energy flows and the impact
of behavioral changes more visible.
3.4 Know Your Target Group
Explaining to people the need to use less energy is in itself not sufficient to
get people to change their behavior. It is important to make sure that the target
group sees the benefits of changing their energy consumption. What benefits
are meaningful to the target group differ from individual to individual and can
include economic benefits but also other benefits like home improvement, self-
improvement, green spaces, or national pride. It is therefore key to find out about
problems the target group is facing, and how these might be alleviated through
the reduction or shifting of energy consumption. When assessing these benefits,
attention can be paid to the benefits of new routines and habits, but also to the real
losses people are suffering as a result of their current unsustainable behavior. To be
able to do so a DSM program needs to know its target group. Knowing the target
group helps to define what content to convey and what instruments to use. In a DSM
project in Latvia, the intermediary discovered that peoples’ limited enthusiasm in
investing in energy efficiency strongly related to their lack of trust in the Building
Management Company that was involved as an important stakeholder in the project.
Hence, it was clear that this relationship had to be improved first (Kamenders 2009).
An intermediary can perform a good prior analysis of the (different sets of)
problem(s) that underlie(s) the unsustainable behavior of the target group and what
and who influences this problem. Knowing the target group also entails that the
intermediary learns about their interests, their habits, their social networks, and their
preferred communications channels (Futerra 2005; Mourik et al. 2009). Several
types of interaction schemes can help intermediaries to learn about their target
groups: surveys, interviews, group meetings; user-driven design, familiarity, and
informal interaction with the target group. In addition, a social-learning approach
such as “community-based social marketing” in energy conservation projects,
using peer-to-peer communication, social support, and social pressure, making sure
everyone “does their bit” and participation can be very useful.
3.5 Timing and Taking Time is Essential
There are good times and bad times to start a DSM program. Knowing the
target group also helps to assess when the intervention will be most effective
(timing). A DSM project can take advantage of periods in which the routines are
reevaluated or disrupted, for example, getting married, moving, renovations, new
jobs, and a birth or retiring, and purchasing moments. These “change” moments
provide windows of opportunity because people are more open to reevaluate their
behavioral routines and to consider the uptake of more sustainable equipment. These
change moments can also take place on the social level of change and include, for
example, a neighborhood reconstruction or other regional development initiatives.
Intermediaries can identify suitable change moments with the same techniques
mentioned under the topic “know your target group.” Furthermore it takes time to
achieve lasting behavioral changes. Changing routines does not happen overnight.
The program needs to support the behavioral change at least for several months in a
row, and preferably the monitoring and feedback on the behavioral change needs to
continue after the program officially has ended.
3.6 Involving Relevant Stakeholders in the Project
Involve the target group and other key stakeholders from the moment the prepara-
tions of the DSM program start onward to ensure that all the capacities, expectations,
and needs of all relevant stakeholders are taken into account. In addition, par-
ticipation facilitates the empowerment of the target group and the other relevant
stakeholders that influence the target group and helps them to take the change
process into their own hands, to create a sense of ownership (Futerra 2005; Stern
2000). Several DSM projects have trained members of the target group to become
proponents and supporters of the behavioral changes – for instance, a Finnish project
trained volunteers to become energy experts to whom people in the neighborhood
could turn with questions about improving energy efficiency (Anttonen 2009). There
are several participatory methods and tools for user involvement and interactive
learning such as field trials, participatory design, and user participation. Success
of a DSM program also depends on the effective use of already existing (social)
networks. These already established networks can help embed the behavioral change
more quickly and in a durable manner, and in addition these networks are free
multipliers of the change message.
Below, the traditional DSM instruments are presented, and examples are offered
on how these can be used to deal with the issues discussed above. After this, a toolkit
for the design of context-sensitive DSM programs is introduced, which incorporates
both the traditional DSM instruments and additional tools that take into account the
key issues discussed above.
4 DSM (Policy) Instruments
DSM Policy instruments can be categorized in different ways. A distinction can be

made between regulatory command-and-control instruments, financial instruments,
instruments based on information, instruments that involve some kind of voluntary
agreement or commitment, and instruments that focus on end user involvement
and social participation. Regulatory command-and-control instruments and financial

instruments often target efficiency/investment behavior, although they can stimulate
actual long lasting behavior change in use practices. Regulatory command-and-
control instruments usually are policy instruments adopted at the level of local,
regional, or national government. Although such instruments can be supportive
of activities promoted by DSM programs, they are not directly applied by such
projects.
Below, each traditional DSM instrument is first introduced. Then, the perspective
on these instruments taken by economists, psychologists, and sociologists is
presented. This is followed by a discussion on what the adoption of a socio-technical
approach entails for the use of those instruments.
4.1 Financial Instruments
Even though energy efficiency investments are usually profitable to the end user, at
least in the long term, these end users are often impeded by a lack of attention to
information about energy efficiency, expectations for short payback periods, limited
access to capital, and principal-agent problems (for instance, the fact that contractors
do not always act in the principal’s best interests; other agency problems entail that
tenants cannot force their landlord to invest in more energy-efficient appliances).
Different forms of financing energy efficiency investments have therefore gained
increasing attention. One example are specialized energy service companies
(ESCOs) that deliver energy services and/or other energy efficiency improvement
measures in a user’s facility or premises, and takes on all or part of the financial risk
of the investment. Other examples are energy performance contracting, in which an
outside company takes charge of the energy management and bears the related risks
and costs, and shares part of the benefits; and third-party finance where a third party
provides the capital for efficiency measure.
4.2 General Information and Education Instruments
These information and education instruments include campaigns, leaflets, knowl-

edge provision, educational adverts using multiple media. These instruments can
target one-shot and curtailment behavior, focusing on motivation and capacity to
undertake long lasting behavioral changes in terms of energy consumption (Maibach
1993; Weiss and Ischer 1994). The target groups can vary from very broad, that
is, the whole population of a country or region, to very specifically defined target
groups, that is, children at a specific school, house owners, women in a specific
neighborhood.
4.3 Metering and Feedback Instruments
This group of instruments aims to make energy use and efficiency and conservation
efforts (more) visible and generally target habitual and unthinking types of behavior
(frequent behaviors, curtailment behavior). Knowing how much one consumes and
at what costs is a crucial first step toward a more efficient and sustainable everyday
life. Besides the costs, additional information on the environmental impact can be
provided. Feedback, in particular when combined with advice on how to reduce
energy use, can trigger up to 20% electricity savings (Wilhite et al. 1993; Darby
2006; Fischer 2007). The more personalized the feedback is, and the more this is
combined with advice on how to reduce consumption, the better the results.
4.4 Energy Audits and Energy Advice Instruments
Basically an energy audit consists of an evaluation or review of the existing

infrastructure (building and appliances), energy-users’ activities, an identification of
savings potentials and measures, and recommendations for efficiency investments.
As such, energy audits primarily target investment behavior, by calculating the most
cost-effective savings measures. Curtailment behavior is only a secondary target
of audits, and relates to an audit of the activities of the target group. The audit
findings are compiled in a report (Väisänen 2003; Bartiaux et al. 2006). Advice
programs aim to provide target groups with skills and solutions for energy-related
problems. A variety of parties provide these audits and advices, ranging from energy
agencies, to ESCOs and NGOs. The availability of reliable and qualified third-party
information is key to success of an audit or advice program.
4.5 Voluntary Programs and Commitments
Voluntary programs and commitments aim to enhance energy end users’ engage-
ment with energy issues and create social support and pressure for change in energy
use patterns. Usually, end users make a commitment to an energy-saving target and
receive some kind of acknowledgment for doing so. Commitments and voluntary
programs aim to increase people’s sense of responsibility for changing their routine
and habitual energy behaviors, although they might also change their efficiency
investment behavior as a result (Bertoldi and Rezessy 2007).
4.6 Toward a Socio-technical Approach to Traditional DSM

Instruments
As discussed earlier, different disciplines have different perspectives as to what

impedes behavioral change and how this can be addressed by several instruments.
These differences in perspective are briefly discussed, followed by an elaboration on
how a socio-technical approach addresses instruments available to DSM programs.
Economists have focused most on instruments that aim to address financial
and organizational barriers. These include measures that transfer risk or address
some of the transaction costs and agency problems (e.g., performance contract-
ing, energy service companies). Other instruments focus on correcting market
failures, for example, financial instruments, information (audits and feedback),

and combinations of instruments. Psychologists state that instruments should
address three levels: predisposing factors (motivation, knowledge, norms, and self-
efficacy), enabling factors (providing means for change: resources and skills)
and reinforcing factors (mobilization of resources and strengthening intentions –
feedback). Sociologists claim that strategies to change energy behavior should take
account of the broader social system in which current practices are embedded
and that aim at transforming current systems. The focus should be on interaction
between promoters of solutions, end users, and other stakeholders. Learning should
occur from bottom-up alternatives (e.g., new systems of co-provision). Processes
of learning (group dynamic, user participation, and flexible design) should be
encouraged.
A socio-technical approach emphasizes that there is no “one-size-fits-all” inter-
vention to change energy behaviors. The potential to change energy behaviors is
contingent on many conditions that differ for each DSM program (Mourik et al.
2009). In addition, employing only a single instrument, for example, feedback,
is very unlikely to be particularly effective. One single instrument cannot target
all the barriers that need to be addressed. Combining approaches and instruments
makes it possible to design an intervention that addresses multiple barriers to
change. Furthermore the exact choice and combination of instruments depends
on the behavioral change aimed for, the context of the project, and the target
groups themselves. The bundle of instruments should at least take into account
and tackle the following issues: behavior is embedded in a broader context, the
context needs to change as well, energy and behavioral efforts need to be made
visible, and timing is essential and getting to know the target group and the other
relevant stakeholders and getting them engaged. An effective strategy could, for
example, consist of a combination of instruments that correct market failures (e.g.,
financial instruments), instruments that provide information (audits and feedback,
word of mouth, social marketing), measures that transfer risk or that address
some of the transaction costs and agency problems (e.g., performance contracting,
energy service contracting), and instruments that aim to create supporting networks
of knowledge and technology and address both the individual and the broader
societal changes needed. The exact choice and content of the overall approach of
a DSM program needs to be tailored to the project’s specific aims and context,
the intermediary’s capabilities, the end users, and other stakeholders. Section 4.7
discusses possibilities to tailor the instruments to this specific context.
4.7 Tailoring DSM Instruments to the Specific Context
The context, stakeholders, and energy end users you are working with place different
requirements on the DSM program. Because of this, the generic instruments
introduced above need to be tailored to their particular context.
Economic instruments and financial services like ESCOs can be made more
effective if you understand how the end users you are targeting make decisions,
for example, the time frames that they consider when thinking about investments.
Financial support may not be sufficient: the end users may also need detailed
technical support and additional competencies. It is also important to recognize that
people tend to follow the example set by their peers. For example, positive examples
of other similar households’ experiences may encourage hesitant end users to invest.
Nonetheless, the same solution may not work for everyone, so it is important to
allow for tailoring and flexibility to find the right solution for each user or user
group.
Information and education campaigns are usually targeted at broad target groups.
However, intermediaries can take some steps to tailor them to their context.
Messages should build on topical concerns that are relevant to your targeted end
users. Timing can be relevant here: for example, heating issues are more relevant
during the heating season and climate change concerns vary depending on the level
of public debate. Information and education should not place the entire burden
for change on individuals – it is important to show what others are doing. If
the campaign is promoting particular solutions, it is important to make sure that
people can actually follow up on the information, and that the necessary solutions,
support, and services are available. It is also important to make sure that information
sources, media, and messengers are trusted by your target group. This implies that
intermediaries need to be aware of what and whom the targeted end users are likely
to trust.
Metering or other forms of feedback on energy consumption are crucial for
sustaining change in energy use patterns. Yet they, too, need to be tailored to the end
users’ needs and the requirements of the particular context in which you are working
in order to find the best formats for collecting, organizing, and communicating
feedback on energy use. Because energy information is usually quite peripheral to
most energy users, it is important to ensure that the feedback provided actually
gets your target group’s attention and helps them take action. Benchmarks can be
important in helping to make sense of and take action on the basis of energy use
feedback. Hence, information that allows your target group to compare their own
performance with others, or the users’ own previous consumption, can be valuable
and should be highlighted.
Energy audits are similar to metering and feedback insofar as they help energy
end users understand their own energy use. There are many generic audit models,
yet implementation of audit recommendations is always a challenge. For example,
timing can be an issue: good timing can connect the audit to existing investment
cycles and avoid conflicts with other priorities. Actionable audit recommendations
can be produced when the end users are involved in the audit and learn directly
from the process, and not just the audit report. Audit recommendations are also
more likely to be implemented if you can make sure that qualified service providers
are available to help in taking the next steps.
Energy advice involves guidance that is specific to the situation and actions that
can be taken by energy end users. Hence, a first step in tailoring advice to context is
to learn to understand the end users’ practices and find out what advice is needed and
in what form. People need advice at the right time and place and in the right form.
This suggests different advice delivery formats, for example, for reducing electricity
consumption in the home or the office, or for promoting energy renovations. Advice
should be provided through channels that are familiar to the energy end users and
make use of their usual contacts. For example, advice from peers is often more
salient and understandable than advice from distant sources. Advice obtained in
or near the hardware store may reach more people for whom it is relevant than
advice available during working hours at the city hall. In order to ensure relevance,
acceptability, and possibilities to act on the advice, you can also involve energy end
users in the development of advice formats, and should at least test advice formats
and revise them on the basis of feedback gained.
Voluntary programs aim to engage end users by getting them to commit to some
kinds of efforts to reduce their energy use. They can include setting targets or, for
example, competitions on who saves most. The stimulus for participating in such
programs usually relates to the social context – participating households or organi-
zations gain social support and sometimes even admiration. Hence, understanding
the prevailing values in the social context is extremely important when designing
such programs. Voluntary programs should involve efforts that are clearly ahead of
what the mainstream is doing, but may also be a way to introduce and test behaviors
and solutions that later become mandatory. It is worth considering how the behavior
will be institutionalized once the program ends: local intermediaries can be relevant
in keeping the activities going once the program itself is terminated.
4.8 The Socio-technical Approach in Practice
Tailoring the DSM policy instruments is, however, only one of the necessary
steps in the design of an effective DSM program that achieves lasting behavioral
changes. Although the traditional instruments do tackle some of the issues discussed
earlier, for example, that energy consumption needs to be made visible, they are
not sufficient to tackle all the issues discussed earlier: that energy consumption is
connected to everything, that the behavioral change needs to either fit the context or
that the context needs to change as well, that the intermediary needs to know and
understand the target group, that all relevant stakeholders need to be engaged, and
that the intervention needs to be timed and take time.
In the introduction, emphasis was placed on the importance of learning about and
with end users and about the particular context in which a project is implemented.
For that reason, interactions are needed between experts, designers, policy makers,
and end users. All that has been discussed in this chapter is the outcome of an in-
tensive 3-year learning process between intermediaries, policymakers, researchers,
and end users (see http://www.energychange.info). This learning process resulted in
a toolkit that effectively addresses all the issues discussed in this chapter and thus
is a valuable aid in the design of a DSM program that actually achieves at changing
energy consumption patterns on the long term (http://mechanisms.energychange.
info). Tailoring the instruments to fit the particular context of the DSM program is
one of the steps in this toolkit. The toolkit shows in concrete detail the steps that can
Table 43.2 Design Steps for energy DSM intermediaries

Step 1: Pinpoint your problem
Step 2: Get to know your target group
Step 3: Understand your context
Step 4: Is the time right? Understand
Step 5: Identify relevant stakeholders Evaluate
Step 6: Define goals & Learn
Step 7: Plan with your target group Plan
Step 8: Select and adapt your instruments & Do
Step 9: Test your ideas
Step 10: Engage your target group
Step 11: Motivate through feedback
Step 12: Get some feedback
Step 13: Evaluate and improve
Step 14: Develop a learning culture
be taken to learn more about the target group, the project context, and timing as well
as issues in implementation and evaluation. For an overview of the different toolkit
steps, see Table 43.2.
4.9 Energy DSM to Shift Demand
The focus of this chapter has been on energy DSM aimed at demand reduction.
However, DSM can also be aimed at the shifting of demand to other periods,
for instance, to ease the peak demand in electricity at certain points of the day,
and ease the burden on the electricity network. Several smart metering devices
have been brought to the market in recent years, and several of these have been
applied in practice as part of smart grid systems. For instance, in the Dutch town of
Hoogkerken, a pilot is running with households having “smart meters” that provide
household members with information on their energy usage and that provides them
with incentives to shift activities. When it comes to shifting demand, different
behavioral changes are asked for compared to behavioral changes toward more
efficiency and saving. A similarity is however that people are asked to change
their routines, by performing some activities (e.g., turning on the dish washer or
washing machine) on other moments of the day or by adopting a flexible attitude to
postponing activities whenever asked to do so. When use is made of “smart meters,”
care should be taken that these devices offer information and services tailored to the
needs of the recipient and that they do so in a format, at a time and place that fits
the practices of the end user. Ideally, smart meters address different target groups
differently. Different people may differ in their readiness to participate in or be
committed to a smart meter, let alone a smart grid and they may respond differently
to products or services (e.g., tariffs, contracts) offered. The eventual success of a
smart meter as a DSM tool depends on the end users’ readiness to become engaged.
A good understanding of these end users is hence needed in order to align their needs
with the technologies and the information, products, and services offered. Here also,
context-dependent conditions can be relevant, for example, existing social structures
and user practices.
5 Conclusion: Behaviors in Context
This chapter has attempted to explain what a socio-technical approach to energy

demand side management entails both conceptually and in practice when preparing
interventions. Generally speaking, a socio-technical approach addresses innovation
as a process in which social and technological processes interact. Building on
insights from different disciplines, a socio-technical approach acknowledges that
individual behavior interacts with and is shaped by (energy) technologies, (energy
supply) systems, and social networks. For the topic of energy DSM and the question
of how to achieve lasting behavioral changes, a socio-technical approach combines
insights on change processes from several disciplines (economics, psychology,
sociology). This combination is not random, but based on the acknowledgement
that behavior is embedded in social, cultural, economic, technological, and physical
contexts and cannot be understood (let alone changed) without understanding these
contexts as well. Since contexts differ across time and space, for each new DSM
project, the intermediary will need to get acquainted with the context for which
the project is planned. In other words, when considering how to motivate people to
behave more energy efficiently, it is important to address both the individual and
the social levels of change. In addition, these changes might require different time
spans. However, if the change on the individual level is to last, the social, political,
technical, and other environments need to change too in time.
There are several DSM instruments that can be used in DSM programs. These
instruments can involve policy instruments employed by national governments that
can facilitate the work by intermediaries, but they can also involve instruments that
can be organized and adopted by intermediaries or other stakeholders themselves to
design successful DSM interventions. Whatever instruments or mix of instruments
are selected, they should be able to deal with several relevant issues: the instruments
should focus on both the individual and his or her context, and should either attempt
at simultaneously changing both levels, or provide the individual with the means
to circumvent the context that impedes his or her behavioral changes. In addition,
the instruments should focus on engaging the end users, on making use of or
creating socio-technical networks that support and sustain the individual behavioral
change, and preferably create new norms as to what energy consumption patterns
are normal. Furthermore, the instruments should allow for a good understanding of
the individuals that are targeted, getting to know them, the best time to introduce the
DSM program, the problems the individuals experience, and the solutions and/or
benefits the behavioral change could bring them.
To conclude, our key message that the DSM program should take account of the
particular context where the program is going to be implemented also applies to the
instruments to be used. The traditional instruments discussed in this chapter derive
from various disciplines, for example, economics, psychology, sociology and they
are not based on a socio-technical understanding of behavioral change and/or energy
DSM. Therefore, these instruments need to be tailored to the specific contexts in
which they are employed. In addition, they are one element of an overarching toolkit
that is grounded in theory yet is a useful practical aid for DSM program designers
and implementers.
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Engineers and Community: How
Sustainable Engineering Depends on 44
Engineers’ Views of People
Juan C. Lucena
Abstract
Inspired by the book From Clients to Citizens: Communities Changing the
Course of their Own Development which shows the importance of rethinking
people from clients to citizens in the effectiveness of community development
projects, the central argument of this chapter is that the successes or failures
of sustainable development (SD) engineering projects depend greatly on how
engineers view and engage the people they work with. During the brief history
of engineering involvement in SD, engineers have worked with people, viewing
them mainly as clients and less so as stakeholders, users, or citizens. Each of
these views of people by engineers prescribes the way engineers listen to and
work collaboratively with people to turn SD projects into real sustainability.
After briefly conceptualizing listening as the most important element of dia-
logue and showing how SD might be more sustainable when grounded on specific
localities, this chapter maps the different categories – clients, stakeholders, users,
and citizens – that engineers have used, or could use, to view the people they try
to serve, and how each of these categories shapes the way in which engineers
listen and work with them. While listening to and working with people labeled
“clients” or “stakeholders” might be more empowering for the status of engineers
as experts, it might be less effective in turning SD projects into long-term
sustainability. On the other hand, listening to and working with people as “users”
or “citizens” might be less empowering for engineers but more effective for
sustainability.
J.C. Lucena
Liberal Arts and International Studies, Colorado School of Mines, Golden, CO, USA
e-mail: jlucena@mines.edu

DOI 10.1007/978-1-4020-8939-8 51,
794 J.C. Lucena
1 Introduction
Sustainable development (SD) and its engineering dimensions do not happen in

a vacuum. In addition to institutions, policies, and technologies, SD involves
interactions among human actors or agents who hold diverse values and beliefs
about what the causes of environmental degradation might be and what is (and is
not) to be done to allow human societies to flourish while protecting the ecosystems.
This chapter outlines how engineers involved in SD have interacted, and need to
interact, with other agents and what consequences these interactions might have for
the future of SD.
The most common definition of SD was coined and popularized in the report Our
Common Future, also known as the Brundtland report UN Secretary General (1987),
which defines SD as “development that meets the needs of the present without
compromising the ability of future generations to meet their own needs” (p. 43).
This definition has been overwhelmingly, and often uncritically, adopted by many
engineers, most engineering organizations, and high-tech companies committed to
SD (World Congress on Sustainable Development–Engineering and Technological
Challenges of the 21st Century 2000; Carroll 1993). Perhaps the reason for this
uncritical adoption lies in two factors: First, the Brundtland report states that SD
“contains within it two key concepts: the concepts of ‘needs,’ in particular the
essential needs of the world’s poor . . . [and] the idea of limitations imposed by
the state of technology and social organization on the environment’s ability to
meet present and future needs” (p. 43). Second, SD requires for its realization,
among other things, “a technological system that can search continuously for new
solutions.” Engineers are clearly attracted to this definition because it allows them
to view human “needs” as problems to be solved by engineering solutions. Thus,
human needs become parameters in the design of technical systems.
Moreover, this definition recognizes that the limitations to future solutions
lie in the current state of technology and social organization, calling for future
development of technological solutions and, in many cases, for social engineering.
Engineers welcome this reliance on the technological fix with open arms as it puts
them in a privileged position as experts in charge of technological solutions and
social planning. As such, engineers view others in terms of needs whose problems
should be solved through technological solutions. But as shown later, although this
dominant definition fits well with the traditional relationship between engineers and
clients (or expert and non-expert), it also constraints how engineers might engage
people in different ways toward the solutions of problems related to SD.
1.1 Engineers as Transformative Agents of SD
SD does not necessarily lead to sustainability. In their insightful paper “Does

sustainable development lead to sustainability?” Yanarella and Levine argue that
“the lofty goal of global sustainable development requires us, however, to raise the
question whether this unfolding vision and strategy may not have congealed into
44 Engineers and Community 795
a kind of orthodoxy that inhibits as much as fosters the transition to a condition

of ecological and social sustainability” (Yanarella and Levine 1992, p. 760). It is
not the purpose of this chapter to settle this issue as the transformation of SD into
sustainability is complex and multidimensional. The focus here is on one small yet
important piece of this puzzle: the role that engineers can play in this transformation
as they interact with other non-engineering agents involved in SD. If engineers
desire to transform SD efforts into real ecological and social sustainability, in
addition to sound institutional/policy frameworks and profound economic and
cultural shifts, they need to envision and adopt new roles beyond that of disciplinary
experts that have traditionally defined their interactions with those they intend to
serve. The transformation of SD into actual sustainability requires transformative
agents capable of “demystifying the narrow technical expertise of the disciplinary
specialist and reconceptualizing the professional expert as knower and moral agent
in the process of promoting sustainable development” (Henderson 1981, cited in
Yanarella and Levine 1992, p. 769). This new agent should be able to understand
the implications of “the democratic statement of global agreements, manifestoes
and declarations of principles, and the rights and duties of all people, moving well
beyond token and self-policing ethical codes of various professional associations
[such as engineering codes of ethics]” and operate “within the painful realities
and excruciating dilemmas of the global problems they are addressing by involving
them in a set of concrete responsibilities and obligations to confront those realities
and dilemmas in their professional lives, social interactions and personal lifestyles”
(Yanarella and Levine 1992) (italics added). For engineers willing to take this new
transformative role, responsibilities and obligations include (a) understanding that
how they view people has significant consequences on how they interact with people
in dialogue; (b) knowing the strengths and limitations of the ways in which they
have interacted with people in the past and present; and (c) understanding that
how they view and interact with people in the future can significantly shape their
effectiveness in transforming SD efforts into actual sustainability. This chapter maps
these responsibilities and obligations for engineers involved in SD.
1.2 Listening as the Cornerstone of Social Interaction
Interactions among humans are complex and involve cognitive, emotional, social,
political, cultural, and economic dimensions. This chapter will focus on listening
as the key activity that facilitates, if done well, or hinders, if done poorly,
engineers’ interactions with others. Unfortunately, many people in personal, family,
professional, and other forms of social interactions have forgotten, or really never
learned, to listen. Hence, in this chapter on how engineers interact with others
involved in SD, the focus will be on listening.
Many factors have contributed to the diminishing of listening in contemporary
society. In most consumer societies, for example, spoken or written words –
the inputs and outputs of human communication – have become commodities
(news, blogs, presentations, papers, training workshops, etc.). At the same time,
communication technologies have increased human abilities to stay connected, link
796 J.C. Lucena
to ever-growing networks and groups, and access unlimited amounts of information.

Yet these technologies have not necessarily enhanced the ability to listen. As
Michael P. Nichols has found, “contemporary pressures have, regrettably, shrunk our
attention spans and impoverished the quality of listening in our lives . . . Running to
and from our many obligations, we get a lot of practice in not listening” (Nichols
2009, p. 2). The availability of communication technologies might be contributing to
the increase in the speed and frequency of interactions but not necessarily enhancing
the quality of these interactions. Perhaps a commitment to learn to listen to each
other, and to reflect on how people view each other might affect listening, will
enhance the effectiveness of human interactions.
A recent survey on listening in engineering education found that exchanges
among students and others often take place in the form of oral presentations and are
reduced to hearing followed by immediate reactions in the form of talking (Leydens
and Lucena 2009). The emphasis is on “what I am going to say now” (output)
in response to “what I just heard” (input). The ability of the parties involved to
understand each other, to reflect on that understanding, and to try to reach consensus
in order to formulate effective and collaborative solutions is lost to the superficiality
of an exchange of inputs and outputs. If engineers take the challenge of becoming
transformative agents of SD seriously, they will need to re-evaluate their current
listening practices and adopt new ones. Then they will be able to effectively interact
with others in transforming SD into sustainability. This chapter hopes to contribute
in this endeavor.
1.3 Global Versus Local
Engineering is often portrayed as a global profession (Lucena and Downey 2006;

Grandin and Dehmel 1997; Baillie 2006; Acosta and Leon 2009; Downey and
Beddoes 2010). Supply chains, outsourcing, mergers and joint ventures, and
sometimes the mere size and complexity of a technical system create conditions
that challenge engineers to move around the world, exchanging knowledge and
practices. Engineers have moved around the world for more than two centuries, first
from European empires and newly independent nations, and more recently as agents
of international development agencies and multinational corporations (Lucena and
Schneider 2008). What is different now is the frequency and extent to which
these exchanges take place (Friedman 2006). Also increasingly more engineers
operate as independent consultants, traveling the world in search of work but not
necessarily attached to any particular company for a long period of time (Barley and
Kunda 2004). Furthermore larger groups of immigrants are organizing themselves
in particular locales and creating nodes of innovation (Saxenian 1999; Varma 2006).
Clearly, engineering has been and is increasingly becoming a global activity.
The transfers of knowledge, capital, materials, and technologies happen through
the financial networks, supply and demand chains, and multinational corporations
(MNCs) that span the globe. The design, development, and production of tech-
nical systems rely on these global arrangements. Yet technical systems sooner
or later become grounded in localities. The making of things – manufactur-
ing a part, assembling a subsystem, implementing the system, using it, etc. –
happens in specific places, within local ecologies and in interaction with local
communities of workers, subcontractors, regulators, users, and citizens (Acosta
and Leon 2009). This localization of human activity within specific local ecolo-
gies has led SD scholars to conclude that the realization of SD into actual
sustainable practices depends greatly on being localized. Wary that global vi-
sions of SD might work against the actual realizations of sustainable practices,
Yanarella and Levine argue that “the very globalizing vision of ecological think-
ing when transferred to strategizing can militate against the tacking down and
institutionalization of self-sustaining processes at lower scales where sustainable
development may be more realizable and the results more palpable” (Yanarella
and Levine 1992, p. 764). Elaborating further on why the global visions of
SD might serve the interests of SD experts, including engineers, SD scholars
Jeffrey Bridger and A.E. Luloff argue that those who depict sustainability on a
macro-scale
portray environmental problems in such apocalyptic terms that they sometimes revert to
the language of technocratic planning and administration and speak of the need for global
ecological planners in international agencies who must work with national political elites
and multinational corporate leaders to manage these environmental crises . . . The problem
with this kind of solution is that relations of domination are left in place. Those who control
the resources and who are responsible for many of the decisions and actions that have caused
insidious environmental damage are generally charged with cleaning up their mess . . . The
result is a crisis mentality which relies on technological solutions for much larger structural
problems (Bridger and Luloff 1999, p. 380).
As stated above, reliance on technological fixes is part of the dominant definition

of SD. This clearly appeals to engineers committed to SD, especially if proposed
solutions are accompanied by substantial funding from international agencies,
national governments, and increasingly by private corporations which have made
SD a key business strategy (see examples of adoption of SD as business strategy in
Sobkiw 2008). Yet these commitments might not necessarily lead to sustainability.
If the practices that support sustainability reside at the local level, that is, in
communities that make or break sustainable efforts, then engineers need to shift
their focus to dialogues at the local level. Bridger and Luloff propose that
[B]y shifting the focus on sustainability to the local level, changes are seen and felt
in a much more immediate manner. Besides, discussions of a ‘sustainable society’ or a
‘sustainable world’ are meaningless to most people since they require levels of abstraction
that are not relevant in daily life. The locality, by contrast, is the level of social organization
where the consequences of environmental degradation are most keenly felt and where
successful intervention is most noticeable . . . sustainable community development may
ultimately be the most effective means of demonstrating the possibility that sustainability
can be achieved on a broader scale, precisely because it places the concept of sustainability
in a context within which it may be validated as a process. By moving to the local level, the
odds of generating concrete examples of sustainable development are increased. As these
successes become a tangible aspect of daily life, the concept of sustainability will acquire
the widespread legitimacy and acceptance that has thus far proved elusive (Bridger and
Luloff 1999).
Bridger and Luloff’s claims raise the following question: if the future of
sustainability resides in localized practices how might future engineers understand,
798 J.C. Lucena
dialogue, and effectively work toward sustainable solutions with people involved
in SD? In order to begin answering that question, one needs to find out (1) how
engineers have traditionally viewed the people they try to serve, (2) how they
might view them differently, (3) how engineers’ views of people influence how
they interact with each other, and more importantly, (4) how engineers’ views and
interactions with people might have great repercussions in turning SD efforts into
sustainability.
2 Engineers and Clients
2.1 Background
Historically, in the USA the professional identity of engineers has evolved in

relationship to engineers’ interactions with clients. Although this relationship has
evolved differently in other countries such as France where, for example, engineers
as government functionaries might not see the people they are trying to serve
as clients, the engineer-client relationship has taken hold in many places outside
the USA, due to the dominance of MNCs around the world, as the sites where
engineers work. Here is an outline of this evolution. First, in the late nineteenth
and early twentieth centuries as industrial capitalism unfolded, engineering practice
moved from the workshop and the private consulting firm to be inside large private
industries. With this move, engineers lost significant professional autonomy and
their ability to define their relationship to serve the larger public (Layton 1971;
Noble 1977). As reflected in the codes of professional conduct that emerged with
the advent of professional societies, engineers’ loyalty was directed first to their
employer and second to their clients. Second, similar to other professions like
law and medicine, engineers have sought professional status by defining their
relationship to industrial clients. As lawyers and doctors build and maintain expert
authority and professional status in their relationship with patients and defendants,
engineers do the same when they design for industrial clients (Abbott 1988; Seron
and Silbey 2009).
Within this context, the concept of client implies a relationship of expert to non-
expert where client brings a problem (and constraints such as budget, timeline, size,
etc.) to the table while the engineer holds the expert knowledge to propose solutions
to the problem. Most codes of ethics reinforce this client-expert relationship as
they challenge engineers, for example, to “perform services only in areas of their
competence [and] to act in professional matters for each employer or client as
faithful agents or trustees . . . ” (ASCE).
2.2 Listening
More so than doctors and lawyers who often have one-on-one interactions with
their clients, engineers have come to rely on organizational structures and practices
that shape how listening to a client takes place. In large technical organizations,
listening to clients is often done through a marketing division which translates
clients’ requirements into design constraints. Engineers translate these require-
ments into specifications, incorporate them into designs, and later convey them to
manufacturing. The business interests of corporations, the channels of corporate
communication, and the dominant definition of SD which emphasizes technological
fixes, all prescribe listening between engineers and clients in SD contexts. Here,
listening has taken the form of a two-way act (dyadic). Leydens and Lucena
describe this kind of listening as “basic listening” which “refers to hearing or paying
attention to any speaker, such as a client, local villager, coworker, or instructor;
thus, listening is framed as a dyadic process of speaking (output) and hearing
(input). Basic listening is necessary in any human communicative interaction
but, for reasons explained below, is not sufficient for effective and empathetic
listening in SD (and arguably, most other) contexts” (Leydens and Lucena 2009,
p. 363). Leydens and Lucena summarize the characteristics of basic listening as
follows:
• Emphasizes one-way relation between speaker and receiver of information.
• Hearing and speaking are considered main outcomes of listening.
• Minimally collaborative and usually applied uni-directionally from top-down
(speaker ! hearer).
• Minimal attention to accountability and transparency issues.
• Emphasizes traits such as “good speaker” or “good listener.”
• Situated contextual issues often considered unimportant since focus is on the act
of speaking-receiving information.
• Highlights certain skills (speaking, receiving information) while minimizing
others (observing, self-reflection, contemplation, inviting participation).
• Integration of multiple perspectives beyond engineer-client often considered less
important (Leydens and Lucena 2009, p. 365).
2.3 Implications for Sustainability
In SD contexts, this kind of basic listening is highly problematic, especially in

localized contexts. First, those conducting basic listening assume that the complex
views, interests, and conflicts of local communities can be reduced to those of a
single homogeneous client. While critiques of this kind of listening in development
contexts have a long-standing body of literature (Hickey and Mohan 2004; Cooke
and Kothari 2004), the critique of how it is done by engineers in SD contexts
is fairly recent (Leydens and Lucena 2009). SD scholars working closely with
communities have reported how treating people as clients and interacting with them
mainly through basic listening has dire consequences for both communities and
sustainability. For example, Mathie et al. report “how well-intentioned external
agencies (e.g., NGOs, government social workers, donors) have often inadvertently
disabled rather than catalyzed communities, converting potentially active citizens,
800 J.C. Lucena
or livelihood producers, into clients in the process” (Mathie and Cunningham 2008,
p. 2; see also Eade and Ireland 1997).
In SD efforts that span beyond a local community, this type of listening is
also problematic as it leads engineers to assume that cultural differences between
speakers and listeners are trivial. As scholars of cross-cultural communications have
shown, even when the language of communication among international teams of
engineers is the same, there are significant cultural differences that shape, and often
impede, knowledge transfer among engineers. For example, Hard and Knie show
how the redesign of British ships during WW II came to a standstill at American
shipyards as US engineers could not understand the cultural assumptions built into
blueprints drawn by their British counterparts. US engineers had to completely
redraw the blueprints in terms that were familiar to them (Hard and Knie 1999).
Clearly US engineers’ commitment to basic listening (a dyadic exchange of infor-
mation between them and the British engineers) made them omit or ignore important
cultural differences of how the two groups conveyed technical information in design
blueprints.
Yet cultural differences play a significant role in how different people, in-
cluding engineers, view and value sustainability. For example, in their study
of the importance of social learning and culture for sustainable water man-
agement, Pahl-Wostl et al. critique prevailing water management models for
their emphasis on unidirectional communication, which reinforces technocratic
control over participation, and the belief that communication inputs can be quan-
tified in order to provide optimal outputs: “ The prevailing command and con-
trol paradigm management is perceived as control. Solutions are technology
driven. There is a firm belief that risks [inputs] can be quantified and that
optimal strategies [outputs] can be chosen. Zero-sum-games in closed decision
space. This cultural framing supports the implementation of controllable and
predictable technical infrastructure (reservoirs, dams) [more outputs] based on
fixed regulations for acceptable risk-thresholds” (Pahl-Wostl et al. 2008, p. 492).
Critical of the main assumptions behind the dominant definition of SD, they
conclude that
There is a growing recognition that in order to address adequately current environmental
problems it is necessary to abandon many of the assumptions of the dominant paradigm
of resource management about their perceived causes, explanations, and possible remedies
and shift toward a more holistic and integrative approach . . . New participatory and adaptive
water management approaches will not be implemented in sustainable fashion unless they
are more deeply rooted in a cultural change in society . . . we cannot understand dynamics
and transition toward new management regimes without understanding the interdependence
between social learning and culture at different scales (Pahl-Wostl et al. 2008, p. 494) (italics
added).
How might engineers socially learn from others in SD contexts and interact with
them in more holistic and integrative approaches in order to achieve sustainability?
Perhaps engineers need to view the people they are interacting with in SD not as
clients but as something else.
2.4 Summary
The engineer-client relationship clearly helps engineers maintain their professional

status as experts, and clients get technical solutions to their problems. In this
kind of interaction, listening is primarily defined in terms of inputs by the clients
(requirements) and outputs by the engineers (technical solutions). Unless there
are strong commitments to sustainability in the inputs and outputs, the interaction
between engineer and client, with basic listening as its key element, will not likely
result in sustainable solutions.
3 Engineers and Stakeholders
3.1 Background
The concept of “stakeholder” became popular through stakeholder theory in orga-

nizational management (Freeman 1984) at a time when engineers were becoming
increasingly involved in organizational management and the reorganization of US
industry (Dertouzos et al. 1989). The concept of stakeholder is an improvement over
that of client as it recognizes the diversity of perspectives and interests among those
with a stake on a technical solution (project, system, process, etc.). According to
Browning and Honour,
the value of any system can only be measured from the viewpoint of the stakeholders for
whom the system provides utility. This is true because the purpose of any system is to
provide value and utility to its stakeholders; this is the essence of both the system and
the definition of stakeholders. It is therefore necessary first to identify the stakeholders
for a system. A stakeholder is any individual or group with a vested interest in a system.
Stakeholders are willing to act in some way to preserve their interest (hence “vested”
interest). They often include those who derive some benefit from the system and/or make
some sacrifice for it (Browning and Honour 2008, p. 190).
Engineers have incorporated stakeholder analysis in engineering systems

(Mostashari and Sussman 2005; Buede 2009) and proposed different models and
processes to quantify stakeholders’ values (Browning and Honour 2008). But has
the incorporation of stakeholders in their analysis improved engineers’ ability to
listen?
3.2 Listening
The engineer-stakeholder relationship presents several challenges to listening. First,

there are complex and subjective tasks in stakeholder identification. Traditionally,
engineers’ decisions on who has vested interests in the system have given priority to
stakeholders as customers, end users, and builders (Sobkiw 2008; Laplante 2009).
New approaches for stakeholder identification, such as value chain analysis and
802 J.C. Lucena
operational analysis, are making inroads into the engineering literature related to
SD challenging engineers to consider a wider range of stakeholders. Value chain
analysis, for example, focuses on those who derive value from a technological
system, mainly users and investors (shareholders), while operational analysis
includes all those who are involved in the development, implementation, use, and
maintenance of a system (Browning and Honour 2008). Either approach represents
an improvement over the way clients are identified in the engineer-client relationship
where clients often identify themselves by bringing a problem to engineers. In
contrast, stakeholder identification brings into the dialogue perspectives that could
otherwise be excluded.
Second, once engineers have identified stakeholders, their next challenge is to
figure out how to listen to them. Documented cases of stakeholder inclusion show
that listening is still dyadic (speaker-receiver). The main difference is that now
engineers have multiple input-output interactions taking place at the same time as
multiple stakeholders are considered in the analysis.
Third, in these multiple dyadic connections, engineers have to decide what to
listen for. Here the engineer-stakeholder relationship also presents an improvement
over that of engineer-client. Browning and Honour, for example, recognize that
besides requirements or specifications, stakeholders also have values that need to
be recognized and incorporated in system design.
Unlike most engineering parameters, value is a perceived quality stemming from subjective
preferences. Stakeholder preferences are distinct and different from requirements [specs].
Requirements represent a choice made to achieve a specific level of performance and specify
acceptability. A system that meets its requirements will provide different value to different
stakeholders, depending on their preferences. Preferences emanate from individuals, which
makes them less amenable to firm analysis (Browning and Honour 2008, p. 192) (italics
added).
But how do engineers listen to these preferences and perceive stakeholder

values? Although the literature on stakeholder analysis where engineers are doing
SD does not include detailed descriptions of the kind of listening taking place,
the emphasis on quantitative (acontextual) data gathering through surveys and
questionnaires indicates that engineers still rely on basic listening as they quantify
and operationalize these values into a system design.
There is scant evidence showing that inclusion of stakeholders at different stages

of the design, development, and implementation of a system ensures its long-
term viability and contributions to sustainability (Fiksel 2003). The underlying
assumptions that most advocates for stakeholder inclusion make are that (1) at
least one stakeholder group will value sustainability, (2) this value will be seriously
considered by those designing the system, and (3) it will be incorporated into system
design as a key parameter. But these assumptions could be problematic. In the
case studies of stakeholder analyses reviewed for this chapter, the incorporation
of stakeholders’ values and preferences into a system is done through a weighting
analysis where key parameters are weighted, first, according to importance to
specific stakeholder groups and, second, incorporated into system design according
to how much the system owner values that particular perspective. For example,
in a case study of cell phone system design, although tower height had a 100%
weight value for environmental activists, it only represented a 2% weight value
for the overall system as assigned by main decision maker: the system owner.
Meanwhile, the perspectives of subscribers, corporate management and share-
holders did not include any parameters related to sustainability, yet they were
assigned weight values of 40%, 25%, and 20% respectively. Clearly, coverage,
service price, and profit trumped sustainability even when the stakeholder analysis
is portrayed as one that includes environmental concerns (Browning and Honour
2008).
There are some important exceptions where the input of less powerful stakehold-
ers was given significant consideration. For example, Suncor, a Canadian energy
firm, developed oil sands operations involving multiple stakeholders and acknowl-
edged that stakeholders could provide the company with cost-saving solutions. Once
the company had extracted the oil from the oil sands, it had to repair the land to
pre-development capability. Aboriginal stakeholders pointed out that “nature rarely
produces straight lines” as Suncor engineers tried to smooth and flat the edges of
the reclamation area in a linear fashion. By listening to aborigines the company
saved money and left the area with a more natural regrowth (Rowledge et al. 1999,
p. 74). Yet it is not clear how the perspective of aboriginal stakeholders would have
been valued, say at the onset of the development project where key decisions were
made about where and how to develop the oil sands. In short, with rare exceptions,
even though there might be an impression that stakeholders’ inputs are seriously
considered, the subjective preferences of system owners tend to override them
quite often.
3.4 Summary
Engineers could be either in charge of stakeholder identification and/or identified as

a stakeholder group. In first instance, engineers have significant power to determine
who is a stakeholder, make sure that stakeholders who value sustainability are
included, and that their values are seriously considered in subsequent weighting
analyses and system design. As a stakeholder group, engineers would have less
influence yet they could include sustainability in their values and preferences. This
might happen more in the future as engineering societies challenge their members to
make more concerted commitments to sustainability. At the present time, however,
from the case studies on SD and stakeholder inclusion reviewed here, it is clear that
powerful stakeholders, such as corporate stakeholders or government officials, are
often given more weight and consideration.
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4 Engineers and Users
4.1 Background
When designing, building, and operating technical systems, engineers often imagine
three kinds of users: passive users, who accept or reject technological advances
through market forces of supply and demand; reflexive users, who will use the
technologies in the same ways that engineers would (Bardini and Horvath 1995);
and imagined or projected users “with specific tastes, competencies, motives,
aspirations and political prejudices” (Lindsay 2003, p. 31). Different from clients,
who provide specific design requirements, these three kinds of imagined users
are assumed to receive the benefits of technological solutions without providing
explicit input in their designs (other than the projected assumptions that engineers
make about them). The view of users as passive has been reinforced by studies
of production, marketing, and consumption that highlight big companies and
advertising agencies as the forces driving consumption (Strasser 1995; Laird 2001).
“In these studies, consumption was characterized as a passive and adaptive process
and consumers are represented as the anonymous buyers and victims of mass
production” (Oudshoorn and Pinch 2005, p. 13). The view of users as reflexive or
projected has been reinforced by traditional engineering design education where
students are often asked to imagine themselves as users, or make assumptions about
user groups.
Recent scholarship in science and technology studies (STS) has reconceptualized
the concept of user from passive, reflexive or projected to one as complex agent with
creative capacity “[to] shape technological development in all phases of technolog-
ical innovation” (Oudshoorn and Pinch 2005). This scholarship makes visible “how
the co-construction of users and technologies may involve tensions, conflicts, and
disparities in power and resources among the different actors involved” (Oudshoorn
and Pinch 2005, p. 16). This chapter considers a number of important contributions
from this scholarship:
• The findings in Christina Lindsay’s study of present-day users of the TR-80, a
computer introduced by Radio Shack almost 30 years ago and thought obsolete
with the emergence of Windows systems, that users can have multiple identities
and can perform activities and identities traditionally ascribed to designers.
Present-day users of this obsolete computer define themselves as “neo-Luddites”
wanting simplicity and reliability of use, when compared with the complexity of
today’s computer operating systems, or nostalgic wanting to go back in time to
their first computers, or resisters wanting to show new generations of computer
users that Microsoft or Apple are not the only options. In addition to these
identifiers, users also adopted the roles of “designer, developer, marketer, and
technical support” of a computer system (TR-80) that nowadays has no corporate
infrastructure to support it (Lindsay 2003, p. 48).
• Ronald Kline’s study of resistance to telephone and electrification technologies
in rural America and his main finding that instead of being an irrational
act, resistance by intended users is an important aspect in the creation of

technologies and social relations. By using telephone technologies differently
than the intended use by Bell Telephone, farmers pushed the company to “alter
the system to permit extended periods of listening in, which allowed farm people
to transplant the rural custom of visiting onto the party line” (Kline 2003, p. 65).
By resisting to sign up for electricity and to buy appliances, farmers pushed
manufacturers to “create new artifacts like the coal and electric combination
range, which farm people wove into an altered fabric of rural life” (Kline 2003).
• In her study on the construction of users and nonusers of the Internet, Sally
Wyatt re-conceptualizes nonusers as active agents that fall in four categories:
“resisters (people who have never used the technology because they do not want
to), rejectors (people who have never used the technology, because they find it
boring or expensive or because they have alternatives), the excluded (people who
have never used the technology, because they cannot get access for a variety
of reasons), and the expelled (people who have stopped using the technology
involuntarily because of cost or loss of institutional access)” (Lindsay 2003,
p. 18).
What could these new and complex categorizations of users and nonusers mean
for engineers’ interactions with users in SD contexts? Clearly more complex
than listening to clients or stakeholders, listening to users challenge engineers
to acknowledge, understand, and incorporate a diversity of identities in original
designs and to acknowledge their agency in transforming original technologies, and
their intended use, into something else.
4.2 Listening
Engineering education rarely trains students to listen, let alone to listen to multiple
identities as those found among users (Leydens and Lucena 2009). Yet there are
some hopeful signs that engineers are beginning to take users more seriously.
For example, computer engineers have begun incorporating users in the design
of computer systems in ways that acknowledge their agency as co-creators of
technologies (Laplante 2009). After having ignored indigenous farmers at the onset
of a design of irrigation software, one group of engineers engaged them as active
users after the farmers resisted and rejected features of the software at the initial
stages. This engagement led to the co-creation of a more effective irrigation software
that the indigenous farmers embraced and used (Dewulf et al. 2005). But these
attempts by engineers to incorporate users as active agents do not acknowledge
the complexity and diversity of identities that users can adopt, including those of
resisters, rejectors, nostalgic, etc. These possibilities challenge engineers to adopt
new forms of listening that can illuminate these complexities and help them interact
with users in SD contexts more effectively.
Different from basic listening, contextual listening has been defined as “a mul-
tidimensional, integrated understanding of the listening process wherein listening
806 J.C. Lucena
facilitates meaning making, enhances human potential, and helps foster community-
supported change. In this form of listening, information such as cost, weight,
technical specs, desirable functions, and timeline [usually the inputs in basic
listening] acquires meaning only when the context of the person(s) making the
requirements (their history, political agendas, desires, forms of knowledge, etc.)
is fully understood” (Lucena et al. 2010, p. 125). To provide a rich context to
the interactions among engineers and users/nonusers in SD projects, contextual
listening challenges engineers to consider the following dimensions:
• Integrating history and culture, which includes finding out the origins of user
groups, the history of their interactions with engineers and SD projects, their
influence in the different stages of design and implementation, and the diversity
among them.
• Being open to cultural difference and ambiguity, which includes finding out
engineers’ strengths and limitations as listeners, their own degree of openness
to the diversity of perspectives found among users (especially those that will
strongly disagree with the engineers or might want to take the SD project in a
different direction), and engineers’ tolerance for ambiguity.
• Building relationships, which includes developing and maintaining trust, espe-
cially with users who might not have the technical qualifications and expertise
that engineers have, and a willingness to change in order to build more trusting
relationships with the diversity of users.
• Minimizing deficiencies and recognizing capacities, which include learning to
think about users differently, not in terms of what they lack but in terms of
what they can offer to the design, development, implementation, and future
transformations of the SD project in question.
• Foregrounding self-determination, which includes understanding how an SD
project can be initiated, led, and maintained into the future by users.
• Achieving shared accountability which includes learning with the users how
a SD project – its results, impacts, and unintended consequences – can move
from “ours” or “theirs” to OURS where the responsibility is mutually shared by
engineers and users alike.
In contrast to basic listening that clearly shapes the interaction between engineer and
client as one between expert and non-expert, contextual listening blurs the boundary
between expert and non-expert by enabling engineers to acknowledge that users
have great deal of agency in the co-creation of technologies. Leydens and Lucena
summarized the characteristics of contextual listening as follows:
• Emphasizes multidirectional empathic interactions and dialogue and the building
of trust and long-lasting relationships
• Focuses on users’ empowerment and project ownership as desired outcomes
• Allows for challenges to engineers’ expertise by non-engineering users
• Invites accountability and transparency from all parties
• Emphasizes openness to others, trusting non-engineering users and dealing with
ambiguity
• Makes it clear that situated contexts significantly shape individuals’ roles and
abilities to engage in dialogue
• Aimed at unveiling biases in the interactions among engineers and users
• Promotes multi-perspective coming from diversity of users and nonusers
(Leydens and Lucena 2009, p. 365)
How might the interactions among engineers and active users in SD projects,
with their multiple identities and unintended roles, result in more sustainable
solutions? The interactions of engineers with a diverse group of active users will
be more likely to transform a SD project into a sustainable one when grounded
on contextual listening and situated in the locality where the project or system is
to be co-constructed, co-used, and co-maintained. SD scholars Bridger and Lulloff
have shown that for a SD project or initiative to be truly sustainable it needs to
enhance the following five dimensions: local economic diversity, self-determination,
biological diversity and stewardship of resources, reduction of energy use and
materials, and social justice (Bridger and Luloff 1999). So, as Kline’s study of
farmers show, some users with vested interests in the local economy will probably
resist an engineering system if it diminishes the community’s local economic or
biological diversity. Acknowledging this resistance because of their commitment to
contextual listening, engineers might transform the system into one that enhances
these dimensions. Or as Lindsay’s study of the TR-80 users show, some users
could potentially reconstruct, or even resurrect, a system in a way that enhances
community self-determination. Again, enabled by contextual listening, engineers’
interactions with these types of users will likely yield a system that promotes self-
determination. Or as Sally Wyatt’s study of Internet nonusers illustrates, engineers
committed to contextual listening would be able to identify and interact with the
excluded and expelled, and understand how and why a SD project affects social
justice by denying access to some.
4.4 Summary
Clearly, re-conceptualizing users in more complex and diverse ways, as STS

scholars have done, could have positive implications for SD. But adopting a
theoretical framework of users is not enough. Engineers need to adopt a more
complex form of listening, such as contextual listening, in order to fully understand,
value, and interact effectively with a diversity of users. Engineers might relinquish
power to users, as users become co-creators of knowledge and technologies, yet this
might prove beneficial to sustainability.
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5 Engineers and Citizens
5.1 Background
A proposal to engage people in SD as citizens comes from recent critiques of

the participatory methods in development projects. A first wave of this literature
criticized participatory practices as being just another instrument for controlling
or damaging communities. Labeled “participation as tyranny,” key participatory
approaches, that rely heavily on listening and are among the most popular in
development agencies, have been criticized extensively (Cooke and Kothari 2004).
Here are the main three:
Beneficiary Analysis (BA), exemplified by Salmen’s book Listening to the People
(Salmen 1987), a classic among development workers, attempts to close the gap
between development experts and beneficiaries “by obtaining ‘the view from the
ground, the grass roots’ . . . accessing the ‘voice’ of the beneficiary in a way
which sample or formal discussions are unable to do . . . [according to Salmen]
‘development planners and managers need to develop their antennae, to extend
their eyes and ears into the communities where they are planning and carrying out
projects” (Francis 2001, p. 74).
Social analysis, exemplified by the book Putting People First by Michael Cernea
(Cernea 1985), “the doyen of social science at the World Bank,” proposes that
the role of the social analyst is to “identify, conceptualize, and deal with the social
and cultural variables” that make up this missing [social] dimension [in development
projects]. Even if the financial aspects of a project are apparently proceeding smoothly,
these sociocultural factors “continue to work under the surface. If the social variables remain
unaddressed or mishandled, then the project will be unsustainable and fail, no matter which
government or international agency promotes it” . . . Cernea argues that the ‘beneficiaries’
of development should have a say in implementation, and sees social scientists as playing
the central role in granting this voice . . . putting people first is held to be “a reversal because
it proposes another starting point in the planning and design of projects than that taken by
current technology-centered approaches.” Social science now appears to lay a role quite
different from that of engineering, as “a means to democratize the planning process itself by
facilitating broader participation in it of the development actors themselves . . . The social
scientist is the only kind of expert who is professionally trained to ‘listen to the people.’
Social knowledge thus developed becomes a ‘hearing system’ able to amplify the listening
for managers and policy-makers, too” (Francis 2001, p. 74).
Participatory Rural Appraisal (PRA), exemplified by World Bank’s Participation

Sourcebook (1996),
is thus concerned as much with the development of interpersonal and communication
skills and the transformation of attitudes as the acquisition of technical skills: building
good rapport by paying attention to both the verbal and non-verbal messages given by
interviewers; adopting a learning, rather than lecturing, node; and showing respect for
informants, their skills and knowledge. PRA also stresses the sharing of data. In traditional
research information is collected from local populations and taken away for analysis and
interpretation. PRA, in contrast, offers ownership and control to “respondents,” who thereby
become participants: “Outsiders are facilitators, learners and consultants. Their activities
are to establish rapport, to convene and catalyze, to enquire, to help in the use of methods,
and to encourage local people to choose and improvise methods for themselves. Outsiders
watch, listen and learn. Metaphorically, and sometimes actually, they ‘hand over the stick’
of authority” (Francis 2001, pp. 76–77).
Although a detailed review of the critique of participatory methods is outside

the scope of this chapter, it is worth noting that the inclusion of listening as a key
activity has not necessarily resulted in benefits for the intended beneficiaries. There
are at least three key reasons for this:
• The tyranny of decision-making and control. Participatory facilitators often
override existing legitimate decision-making processes. This chapter considers
whether (and how) SD technocrats and experts, including engineers, filled with
good intentions, the latest participatory techniques and even a strong com-
mitment to sustainability, might be marginalizing communal decision-making
processes already in place (see Lucena et al. (2010), Chap. 4 for the case study
“The Stranger’s Eyes” as an example of how this tyranny was enacted in a
development project to install mills for grinding grain in various villages in
Mali).
• The tyranny of the group. Group dynamics put in place by participatory methods
(e.g., a community meeting) might lead to participatory decisions that reinforce
the interests of the already powerful (e.g., community leaders who might control
the outcome of the meeting). For the purpose of this chapter one needs to
explore if engineers’ interactions with others in SD contexts might be reinforcing
the interests of the powerful (see Mosse (2001) for a detailed analysis of
how this happened in a participatory farming systems development project in
India).
• The tyranny of the method. Participatory methods like those listed above might
silence or exclude others that have advantages participatory methods cannot
provide (see Ramaswami et al. (2007) for a detailed example of how participatory
methods introduced in the 1970s ignored a traditional governance system located
in Buddhist temples with dire consequences for water distribution and sustainable
farming).
In sum this critique reveals that, first, listeners and listening are biased and
political actors and acts that shape the interactions among those involved in
SD contexts. Far from creating win-win situations, participatory methods and
practitioners could benefit the already powerful and further marginalize the less
privileged. Second, most of the listening employed in participatory techniques is
basic listening – often performed through surveys, questionnaires, and focus groups
aimed at collecting lots of data – not contextual listening aimed at discovering the
history and political dimensions that shape community relations and thus enhancing
the interactions among engineers and others. Third, communities are complex,
heterogeneous entities with differences of power within them, but participatory
techniques tend to ignore these power dimensions and in some cases keep them in
place.
A number of SD scholars have proposed a conceptual solution to these problems
(Hickey and Mohan 2004). Perhaps the most succinct of these solutions comes from
Alison Matthie et al. in their book From Clients to Citizens (Mathie and Cunningham
2008), who propose to consider communities as entities where:
810 J.C. Lucena
• There are complex and conflictive relationships among members and between
members and place.
• Relationships are shaped by differences in power and privilege.
• Members have alliances with particular common purpose(s).
• Members should be more appropriately considered citizens with rights, power to
decide, vote, call projects off, capacity to define problems and propose solutions,
intellectual capital, etc.
Treating community members as citizens is a significant improvement over any of
the relationships analyzed above as the concept of citizen recognizes not only the
diversity and complexities of users but also their rights. By treating community
members as citizens, engineers interacting with them in SD contexts are challenged
to recognize that citizen participation in the different stages of projects is not just
a methodological nicety but a political right. According to Holland et al., treating
community members as citizens
bridges the gulf between rights in principle and development realities . . . it redefines the
roles assigned to and the relationships between the state and other development actors.
Specifically, this challenges the role consistently assigned to marginalized and subordinate
people as clients or beneficiaries of development and offers instead possibilities of shaping
different relationships predicated in the political right to participate in decision-making
processes . . . to act as a citizen involves fulfilling the potential that citizenship rights confer
on the individual. In this sense, participation is the foundation of democratic practice: a
fundamental right that helps to protect and guarantee all others and by doing so highlights
the capacities people have to act as agents in their own development (Holland 2004, p. 255)
(italics added).
Hence when interacting with citizens in SD contexts, engineers are challenged

to consider their diversity and complexity, as engineers have to do with users (see
above), and also to recognize and respect their rights to participate, decide, and
even reject a SD project or intervention.
5.2 Listening
When interacting with citizens, engineers should also use contextual listening,
focusing on citizens’ rights and looking to understand three key points. First,
citizens’ own identification and assessment of their rights and the contrast among
these, the political rights in a particular locale, and universal human rights.
Second, the obstacles that citizens face in accessing those rights. Third, actions to
support governments and other social institutions involved in SD in the protection,
promotion, and realization of human rights (Holland 2004, p. 257). Hence, in
addition to the dimensions described above under the engineer-user relationship,
contextual listening should focus on citizens’ rights as follows:
• Integrating history and culture, which now includes finding out the origins of
citizens’ political rights in a particular locale and how these rights are exercised
in this particular culture. After all, as Cleaver argues, “rights do not exist in a
vacuum but are embedded in social relations; these very social relations may
either enable or constrain the exercise of such agency” (Cleaver 2004, p. 273).
• Being open to cultural difference and ambiguity, which now includes finding
out engineers’ own degree of openness to cultural diversity in relationship with
the protection of people’s rights, especially in those places that will significantly
diverge from the engineers’ own locale and view of rights.
• Building relationships, which now includes developing and maintaining trust
with citizens, so they feel secure to speak about complex issues related to their
rights, and with officials in institutions involved in the protection, promotion, and
realization of human rights.
• Minimizing deficiencies and recognizing capacities, which now include respect-
ing citizens’ right to participate at different levels in SD projects and view this as
an asset not a deficiency.
• Foregrounding self-determination, which now includes understanding how and
respecting that citizens have the right to initiate, lead, and maintain (and even
terminate) a SD project.
• Achieving shared accountability, which now includes accepting a shared respon-
sibility with the citizens of a community to ensure that a SD project – and its
results, impacts, and unintended consequences – benefits, or at least does not
impede, people’s rights and the environmental rights of a community.
If engineers and citizens interacting in SD contexts recognize how their rights (local
and universal) might be directly linked to the health of the ecosystem around them,
then both will likely advance the interests of the surrounding ecosystem when
participating in SD projects. For example, since no one can aspire to the right to life
or health without potable water or breathable air, engineers and citizens interacting
in the co-creation of a SD project will likely protect their right to life and health by
protecting water and air sources from pollution or over consumption.
Clearly conflict might emerge between citizens’ individual rights and the envi-
ronmental rights of the community. For example, there might be conflict between
individuals’ right to decide on the number of offspring they want to have and the
community’s right to preserve natural resources. Yet, as the examples of community
development by active citizens illustrated by Mathie et al. show, resolution will
likely “come about either because the positive contribution of those previously
excluded has been recognized, or because of the skilled mediation of community
leaders, or because community approval of the activities of individuals and groups
renders them immune to political manoeuvering by an old guard” (Mathie and
Cunningham 2008, p. 360). In fact when people are viewed, and view themselves,
as citizens of a community, rights and responsibilities toward environmental sus-
tainability are likely to be more balanced within the political space of a community.
As Matthie et al. have demonstrated in their illustrative collection of case studies
in sustainable community development, “many of the cases here demonstrate that
rights and responsibilities are intertwined, that citizenship is as much about mutual
support and collective effort as it is about occupying a space to claim rights from
the state. Most of the cases in fact show how these two dimensions of citizenship
812 J.C. Lucena
can overlap or mutually reinforce each other, and how it is community initiative and
community innovation that sets the terms of engagement with state actors rather
than the other way around” (Mathie and Cunningham 2008, pp. 361–362).
By viewing and interacting with people as citizens, engineers can contribute to
enhancing people’s rights in relationship to their environment and their ability to
claim rights from the state. For example, a case study of an engineer facilitating
community mapping for water management in Honduras shows how the engineer’s
view of community members as citizens with rights translates into her giving them
the power to map their own watershed, water use, water habits (cooking, hand
washing, flushing, etc.), water needs for the future, and those in the community
directly responsible for these (e.g., farmers’ fertilizing practices have direct impact
on watershed, teachers’ classroom practices have direct impact on children’s hand
washing, and so on). As this engineer assists community members to create their
own map, the latter come to clearly recognize how their individual rights interact
with the environmental rights of the community (e.g., the impact of individual
practices executed in private property on the watershed) and what rights to claim
from the state (e.g., protection of the watershed, funding for water education in
public schools, etc.) (see Lucena et al. (2010), Chap. 7 for full description and
analysis of this case study).
5.4 Summary
When engineers view and interact with people as citizens with rights, engineers
can make significant contributions to transform SD efforts into sustainable ones.
Citizens will be empowered by their rights to initiate, participate in, and even
terminate if they deem proper, SD projects and be more likely to share responsibility
for the sustainability of their local ecosystem.
Engineers who practice contextual listening with a focus on rights will be able to
recognize conflicts between rights and responsibilities, as they will be in tune with
citizens’ rights and the community’s environmental rights, and to serve as catalysts
in sustainable solutions as they will likely be trusted by community citizens and
their leaders.
6 Conclusions
Linking the global with the local. Supply chains enhance engineers’ ability to
manufacture products with materials, parts, and subsystems that come from different
corners of the globe. Yet at each node in the supply chain, there is a locality,
where people and a local ecosystem will be affected by how the particular part or
subsystem will be manufactured (e.g., the potential waste products released into
the nearby atmosphere and water supply). It is at these nodes where engineers
committed to sustainability can make a difference by viewing and interacting with
people as citizens, respecting their rights, allowing them to take control of their own
destiny, and serving as translators of how global practices affect local communities
and vice versa.
Clearly, there are global problems such as climate change that can hardly be
solved by local practices alone. Engineers could contribute toward the solutions of
these problems by interacting with people as citizens and co-creating sustainable
solutions but only with limited results. These global problems require larger
solutions in the form of concerted policy and investment efforts by officials at the
levels of nation-state, international organizations, and multinational corporations
and radical changes in public opinion, manufacturing, and consumption patterns.
Moving from clients to citizens. This chapter has shown how the dominant defi-
nition of SD reinforces the engineer-client relationship and how basic listening does
not allow engineers to engage others in effective ways to find sustainable solutions.
The engineer-stakeholder relationship is only effective if stakeholder groups bring
sustainability to the table and those groups are taken seriously in the final system
design by those in control of the system. The engineer-user relationship allows for
the inclusion of diverse and complex perspectives and opens the possibility of users
becoming co-creators of technologies and sustainable solutions. This leveling of the
expert-nonexpert relationship might mean a loss of power and status by engineers
but a gain in transforming SD into real sustainability. Meanwhile, the engineer-
citizen relationship recognizes people’s rights and responsibilities of and is more
likely to yield sustainable solutions.
From basic to contextual listening. Hopefully, it has become clear that how
engineers view the people they are trying to serve shapes how they interact with
them in SD projects. When working with clients and stakeholders, engineers are
barely challenged to listen, mainly through basic listening, and will likely maintain
a higher status as experts. When working with (non)users and citizens, engineers
are seriously challenged to adopt a more complex type of listening (contextual
listening), to be on a more equal playing field and in some cases to relinquish
power as users or citizens become co-creators of technologies. A shift from basic
to contextual listening requires more time, work, patience, and commitment (and
perhaps come at the expense of engineers’ status and power) yet it allows engineers
to interact with people in more effective ways toward sustainable solutions.
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Impact of New Technologies: How to
Assess the Intended and Unintended 45
Effects of New Technologies?
Karel F. Mulder
Abstract
New technologies change the world irreversibly. These changes do not necessarily
need to be only positive. Herbicides and insecticides raised agricultural yields
but turned out to accumulate in food chains and therefore threatened wildlife.
Chlorofluorocarbons made refrigerators much safer but turned out to deplete the
ozone layer that protects life from solar UV radiation. These technologies created
catastrophic side effects.
A different category of effects is much harder to assess: the effects that are not
directly caused by a new technology itself, but by the changes in human behavior
that it provokes. Cars did not just replace horses and carriages, but created a new
freedom of movement. One of the effects of this new freedom was commuting.
Another was the transfer of downtown shopping areas to outskirt shopping malls.
These impacts dramatically changed cities and the nearby countryside. Generally,
these indirect effects are hardly foreseen.
It is important to assess and discuss the impacts of a new technology in an
early stage of its development: Then, the technologies might still be adapted.
Technology Assessment aims at assessing the impacts of new technologies.
However, impacts of new technology can hardly be assessed in a neutral and
factual way: Assessing all effects is generally impossible but choosing a focus
of impact is a political choice. Moreover, by which standards should effects be
evaluated? Sometimes, new technologies create new issues for which society
has no widely accepted ethical standards. Therefore, not only impacts should be
assessed but also new normative standards should be developed. The involvement
of stakeholders in this process is crucial. Genetic modification introduced the
K.F. Mulder
e-mail: K.F.Mulder@tudelft.nl

DOI 10.1007/978-1-4020-8939-8 35,
818 K.F. Mulder
issue of manipulation of life; nuclear reactors introduced the issue of global

scale accidents and the Internet confronted society with loss of privacy and
cyber-crime. Reaching consensus on these issues takes debate, as without debate,
nobody will consider the issue and no consensus will ever emerge. The question
is how to make these debates effective, that is, not unnecessarily hampering the
required sustainable innovations and not ending in large-scale controversy. Such
debates need input and careful design (not manipulation).
This chapter will elaborate on these arguments, and deal with tools that can
be helpful in assessing impacts of new technology.
1 Introduction
Sustainable development will be an empty phrase without:

• New technologies and systems that support sustainable lifestyles
• Improvement of efficiencies of existing technologies and systems
• New scientific knowledge that facilitates the creation of these technologies and
development of sustainable lifestyles
Science and technology are not just improving environmental efficiencies of
processes, products, and services but are also bringing changes to society. Some
of these changes might be negative, and require new regulation in order to optimize
the benefits and suppress detrimental effects. If the changes are negative for some,
while positively valued by others, new and complicated issues for political decision
making might emerge.
This paper deals with the question how to assess the societal effects of new
technologies. It will start with a brief historic overview of argumentations regarding
the impact of technological change on society. Afterward, it will go into the impacts
of new technologies on society and methods to assess these impacts.
2 Technology and Society
2.1 The Traditional Image: Technology, the Engine of Progress
Many social conflicts stem from the problem of allocation of society’s output:
problems in which somehow it should be decided who will benefit from natural
resources and the yields of economic production. The solutions for these allocation
problems form the core of the major ideologies. Technology and technological
innovation do not play a major part in those ideologies. In history, conservatives,
liberals, socialists, and communists were generally all appreciating the increases of
quality and quantity of production, as the bounty to be allocated. A common view
of technological development in the 1950s was that although some individuals were
disadvantaged by the introduction of a specific new technology, it was evident that
society as a whole would always benefit from it: technology meant progress. A good
example of this general attitude to technology was the US chemical company
DuPont’s advertising slogan between 1935 and 1982: “Better Things for Better
Living ...Through Chemistry.”
45 Impact of New Technologies 819
The general consensus was that technology was a blessing for society, “Manna
from Heaven.” The development of new technology was considered not to be a
“zero-sum game” (redistributing a given amount), but something society benefits
from – a “positive-sum game” (redistributing a growing amount). Therefore,
discussing the merits of new technologies was pointless: every doubt concerning
new technologies implied doubting societal progress. The study of the impacts of
new technology was in this view a waste of time and money. What was interesting to
governments and the business sector, however, was to know in which technological
areas breakthroughs were imminent. These breakthroughs would open up new and
interesting commercial or military perspectives. Hence, technological forecasting
was being done on a fairly large scale, just to invest in the “right” technologies, and
be prepared for the changes that it would bring.
2.2 Impact of Technology
In the 1960s a surge of criticism against “technology” occurred. In particular the

book Silent Spring by Carson and Darling (1962) had a considerable influence
in it. Other influencing factors at the international level were the (nuclear) arms
race in which science and technology played a major role, the threats of un-
employment and of decreasing privacy by computers, and the advent of nuclear
power generation with its risks of unprecedented accidents and an unresolved
waste problem. Clearly technological development carried disadvantages, espe-
cially risks. Who should pay that price of “progress” and who should reap the
rewards?
Identifying the impacts of new technologies turned out to be troublesome in most
cases. Social effects of new technologies were generally hardly predictable, as they
were depending on the way technology was used by consumers. For example, often
technologies were far more used for entertainment (radio, TV, computer, cell phone)
than was initially foreseen. If unpredicted effects turned out to be unwanted too, a
major problem would ensue: The pest control compound DDT turned out to be
accumulating in the food chain only to end up in the fat tissue of mammals and
humans; cars enabled more mobility but because of their huge numbers ended up
constricting it and were damaging the (urban) environment; lead additives in petrol
turned out to be harmful to humans and the environment; birth control methods
also changed the sexual morals which in turn led to increased transfer rates of
sexually transmitted diseases; the nontoxic chlorofluorocarbon refrigerants turned
out to deplete the ozone layer, etc.
The effects of technology were often hard to predict because they often entailed
higher-order effects: First-order effects are the direct effects of a new technology.
Second- and higher-order effects pertain to the changes in human behavior as
a consequence of the introduction of a new technology. First-order effects are
generally easy to predict. Second- and higher-order effects are much harder
to foresee, but can have effects many times more important than the primary
effects.
820 K.F. Mulder
Discount card systems might enable retailers to make their marketing efforts more efficient
by targeting the right customers for their products. However, the information that is obtained
might be used to connect customers to certain patterns of behavior. If not forbidden by law,
for example people with unhealthy life styles might be identified and this information might
be sold to health insurance companies. Because of similar threats, some people refuse these
cards, while others swap cards, making the obtained information useless.
Unexpected negative consequences of technology often are second- or third-order

effects, effects that are consequences of the changes in behavior that a new
technology induced. These changes often are not foreseen. However, later, when the
new technology has settled in society, the effects are clear. But at that moment, there
is not much anymore that can be done about them as the technology is “entrenched”
in society. In the 1920s, one could have easily picked out a nonlead containing
compound to improve combustion of gasoline in engines. However, nobody foresaw
the tremendous growth of automobility. In the 1970s, the lead poisoning problems
created by car exhaust fumes were clear, but solving these problems took more
than 20 years. This is called the control dilemma: Technological change can be
steered in the initial stages of development, but there is little knowledge regarding
impacts, later the impacts are known, but steering of technology has become very
hard (Collingridge 1980).
Technologies that aim at sustainable development will generally also do more
than just providing intended impacts. Compact fluorescent lamps (CFLs) provided
a revolution in lighting efficiency. However, one of the impacts was that CFLs
boosted garden lightening, as this became much more affordable. This “rebound
effect” (efficiency improvements boost consumption) is a special case of Jevons
(1866) paradox: An increase in resource efficiency might create an increase in the
consumption of that resource as its relative price drops.
2.3 Technology Assessment
In the early 1970s, the increasing public attention for the negative consequences
of technology created a need for a new kind of assessment which would warn
of unwanted effects of new technology, and which would provide options for
controlling its course of development: Technology Assessment.
Technology Assessment is the systematic identification, analysis and evaluation of the
potential secondary consequences (whether beneficial or detrimental) of technology in
terms of its impacts on social, cultural, political, economic and environmental systems and
processes. Technology Assessment is intended to provide a neutral, factual input into the
decision-making process (Vary Coates, quoted by Smits 1984).
Technology Assessment was first institutionalized in the USA, by the founding of

the US Congress Office of Technology Assessment (OTA). OTA produced hundreds
of studies between 1972 and 1996, when it was abolished by the Republican
majority in Congress (Bimber and Guston 1997). Several difficulties showed up
when carrying out Technology Assessment:
• Technology Assessment could easily be carried out on uncontroversial tech-
nologies. However, who is interested? Technology Assessment projects on
controversial technologies easily made the Technology Assessors to players in

the political arena, instead of analysts.
• Technology Assessment can never analyze all impacts of a new technology. That
is just too complex. If a technology under scrutiny is controversial, it is already
difficult even to reach consensus regarding which effects to analyze.
• Controversy creates spontaneous Technology Assessment efforts as contestants
mobilize supporting arguments. Therefore it was important just to clarify contro-
versial issues in early stages, and not to aim at a full and balanced assessment.
• Technology Assessment was criticized as not contributing to democratic deci-
sion making regarding technology, but as a bureaucratic means to encapsulate
technology criticism (Wynne 1975).
3 Effects of Research and Technology Development (RTD)
Research is the systematic attempt to produce new knowledge. Technology is the

systematic knowledge of machines and materials that perform a useful function.
Contrary to common belief, the relationship between them is often not sequential.
Technology is more than the application of science: it generally involves a good deal
of skill and tacit knowledge. Inventions have often occurred before the underlying
scientific knowledge was available, and scientists were often inspired by the new
achievements of technology. However, sciences are better able to guide technology
development if they have developed a full grown theoretical framework. In history,
one can observe that if such a framework was lacking, scientists often refrained from
contributing to real-life problems, until they developed such a framework (Böhme
et al. 1974).
In the twentieth century, the role of science in technology became of growing
importance while at the same time, scientific research needed more, and larger
technological equipment.
RTD activities create new knowledge. The creation of this knowledge might have
a significant direct sustainability impact. Hence, in the following paragraphs the
impact of RTD will be dealt with for:
• Direct risks of analysis and experiments
• Sustainability impact of fundamental research
• Sustainability impact of mission-oriented RTD
3.1 Direct Risks of Analysis and Experiments
Science needs equipment. Big Science (Weinberg 1961) needs big equipment which
consumes large amounts of energy and materials. The Large Hadron Collider (LHC)
of CERN, for example, consumes about 120 MW when it is in operation (Large
Hadron Collider 2010). The impact of space research might also be considerable as
satellite launches require considerable amounts of fuel, and emit their exhaust gases
in most vulnerable layers of the atmosphere.
822 K.F. Mulder
Risk of disasters is also a considerable effect of large-scale research. Various

types of research might create considerable risks:
• Risks for researchers and their assistants. Personnel, especially those that are
involved in experiments that broke new grounds in the natural sciences, have
often been the victims of their own experiments. Marie Curie, the first female
Nobel laureate, probably died of a cancer that was caused by the radiation that
she suffered during her experiments.
• External risks. Especially large-scale experimental facilities have the potential of
causing large external risks. In the 1970s, laboratories that carried out genetic
modification experiments were often accused of creating unacceptable risks
for their environment by the risk of escaping harmful modified organisms.
Although generally many precautions are taken, volatile genetically modified
organisms that are created for research purposes might escape the laboratory.
The Chernobyl disaster was in fact caused by an experiment with the dynamic
control of the power station. The ESA/NASA Cassini-Huygens mission was
accused of causing unacceptable risk. It carried about 33 kg of plutonium dioxide
as its source of power. It approached Earth at short distance in August 1999
(NASA 2010a). If it had hit the planet, the effects of Plutonium poisoning would
have been devastating. Pharmaceutical research might also have a considerable
direct impact: The numbers of test are so large that unforeseen and delayed
medical effects of drugs can have a tremendous impact. Between 1945 and
1975, Diethylstilbestrol (DES) was prescribed to pregnant women to prevent
miscarriages. It created birth defects and higher cancer risks, especially in female
offspring (Meyers 1983).
3.2 The Impact of Fundamental Research
3.2.1 Objective Knowledge?

Pure science is driven by the curiosity of the scientific community. Ideally, pure
science should only be led by its internal dynamics: each answer leads to new
questions and shows unexplained phenomena that need further explanation. The
validity of answers should only be decided by methodological rules and the
judgment of the scientific community itself. Various cases of scientists trying to
publish questionable data or even committing fraud have been documented. For that
reason, various rather strict rules have been developed (publishing all data, “double
blind” reviewing, etc.)
Pure science is rare nowadays. One reason is that fundamental studies in the nat-
ural sciences required much larger equipment and funding. This in turn necessitated
legitimations of research in terms of societal values. Hence, fundamental research is
often carried out in areas where new applications are expected to arise, for example,
nanoscience. Band-Wagon effects might be important to fuel expectations of future
success (Van Lente 1993).
In many scientific disciplines, the dividing line between pure science and
mission-oriented science is a thin one. The curiosity of pure science might also
emerge from technology. Some technologies had, for example, unforeseen charac-
teristics. According to the established theory in 1903, flying was impossible when
the Wright brothers took off. In 1921, almost two decades later, the German scientist
Prandtl theoretically explained how wings could carry an aircraft by developing a
new “wing theory” (Darrigol 2005, p. 302 ff.).
There is strong belief that pure knowledge is “good” as it creates more options
for mankind, or liberates mankind from the darkness of ignorance. The “harm”
is then caused by applied science that sometimes uses pure knowledge for “bad”
causes. However, that is clearly a simplification. Around the world, the application
of science in technology is now the main reason for funding it.
Applications of scientific discoveries create fame for researchers. Hence, they
often become strong proponents of the application of their own discoveries.
Disadvantages are then easily forgotten or neglected. As these disadvantages are
often unprecedented phenomena, it might take a while before the public will hear
of them. This postpones controversy, but at the same time, might harm the trust of
the general public in science in general, or in specific scientific disciplines. For that
reason, US biochemists organized the Asilomar Conference on Recombinant DNA
in 1975 and formulated recommendations for scientists that should prevent disasters
caused by the escape of genetically modified organisms from laboratory conditions
(Berg et al. 1975).
3.3 Impacts of Mission-Oriented Research and Technology

Development
3.3.1 Science-Based Technology

In the nineteenth century, the traditional crafts were made more “scientific.” The
engineer changed from being a craftsman, who was mainly trained by apprentice-
ships, to a scientifically trained professional. Engineering schools were founded
first in France (e.g., the Ecole des Mines in 1783). Later in the nineteenth century,
engineering schools were established throughout Europe and the USA. At the end of
the nineteenth century, science entered industry. Especially chemical industry and
the newly emerging electrical industry created large scientific research laboratories.
These laboratories were established to support business by creating new products
and more efficient production processes.
In the first half of the twentieth century, it was clear that large parts of scientific
activities were aimed at creating new knowledge for economic or political reasons.
Very often, the claim still was that this was a neutral activity aimed at understanding
the truth that is hidden in nature. However, the technological disciplines, which
had come into existence in the nineteenth century, were branded as inherently
ideological by Habermass (1968). He claimed that technology was based on the
ideology of “mankind’s governance of nature.” Naturally, the same applied to
various other disciplines: medicine, geology, business studies, etc.
Science had acquired a high societal status, which was due to its claim for truth
(“scientifically proven”) as well as to its claim of being the engine of progress. More
824 K.F. Mulder
applied science studies were often commissioned to legitimize public policies or

corporate interests. Tensions occurred as the sponsors of research could not always
resist the temptation of promoting their own interests/values by influencing the
reporting on these research projects (UCS 2004).
The distinction between mission-oriented science and pure science is based on
intentions, not necessarily on outcomes as in science the results might be surprising.
Pure science might show options for interesting products or processes. Mission-
oriented science might also produce new insights or challenges for pure science.
3.3.2 Types of Innovation

To understand the impacts of technological change, the transilience map of Aber-
nathy and Clark (1985) is useful. The transilience map distinguishes four types of
innovation:
• Architectural innovation
• Niche innovation
• Technological systems innovation
• Incremental innovation
These types of innovation differ in regard to two parameters:
• The degree to which they affect market relations
• The degree to which they affect the technological core competencies
In the transilience map, there appears to be a natural route: After an architectural
innovation has been introduced successfully, innovation concentrates on cost reduc-
tions in technology as well as marketing and logistics (Fig. 45.1). In general, by this
strategy, a firm can achieve market dominance in a highly profitable market.
As market growth reduces, growth can be maintained in two directions:
• By adapting the product to specific demands of specific customer groups, thereby
enlarging sales
• By investing in far more efficient technologies (next generation), that might boost
performance or cut costs
Radical
Architectural
Market Niche Innovation
Innovation
Change
Incremental Incremental Technological

Market
Change Innovation Systems Innovation
Incremental Radical Technological

Technological Change Change
Fig. 45.1 The transilience map

Architectural Innovations
Architectural innovations affect both market relations and the technological core
competencies of a firm. This implies that the firm develops both new technologies
and new relations with consumers and suppliers.
The implication is that architectural innovations create both great opportunities
and great risks. The opportunity is in developing a whole new market. The risks are
large as so much can go wrong: Consumers might react in unforeseen ways, other
companies in the supply chain might develop new activities, competitors might react
to that, new regulations might be triggered, etc.
On the technology side, risks might also be considerable: Will the technological
principle work at large scale, will it be providing the service at lowest cost vis-à-vis
competing technologies, and will it be the most efficient technology in the future?
Architectural innovations change the technological system as well as the societal
system in which they are embedded. Successful architectural innovations can be
extremely rewarding for the innovating firm. They might also contribute strongly to
sustainable development as is required by the various authors that argued in favor of
Factor 4, 10, 20, X.
Very often, the revolutionary potential of architectural innovations is not directly
recognized. It was not by coincidence that the first cars looked like horse and
carriage (Fig. 45.2).
Architectural innovation changes the world in an only partially foreseeable way.
It might therefore solve problems while at the same time create new problems
that are initially not recognized. The car was initially considered an environmental
innovation: Horse manure, urine, and horse carcasses left in the streets of cities
Fig. 45.2 Peugeot type 6 Phaeton avec Capote, 1894 (Foto courtesy Louwman Museum,
Den Haag)
826 K.F. Mulder
were considered important environmental problems in the nineteenth century. It

contributed to spreading of various diseases. Although the 20,000 New York victims
from manure-related diseases that Harold Bolce mentioned in 1908 could be an
exaggeration, one easily tends to underestimate the horse manure problem now (Tarr
and McShane 2009).
Niche Innovation
Niche innovation aims at increasing the usability of a product or service by
adapting it to a specific user category. A classic example showing the distinction
between niche and technological systems innovation is in the early development
of the car: While Henry Ford was on a technological systems innovation track,
moving assembly belts into his plants to lower costs, General Motors’ Alfred
Sloan established annual styling changes that boosted the car market. Sloan also
established a structure of car models and prices, which allowed GM to keep their
customers as their buying power and preferences changed as they aged.
Niche innovation can have various SD effects:
• It might optimize the use of a product or service by adapting it to the specific
demands of market segments.
• It leads to a differentiation of products and therefore makes recycling and reuse
harder.
• It boosts consumption (as was GM’s intention) by planned obsolescence: By
giving a product a status value (either by fashion or by price) people can be
persuaded to buy a new car before it is technologically necessary.
Technological Systems Innovation

Technological systems innovations change the internal structure of the technological
system that provides a product or service, but it hardly affects the consumer. For
example, a house will not be perceived much different if it is thermally well
insulated. The owner might just see the difference from the annual energy bill.
The problem of technological systems innovation is that these innovations are
often subjected to a strong “lock in” effect: once decisions are made and standards
are set, changes become very hard. Removing lead from gasoline was very hard as
it involved changes in the fuel logistics chain as well as in the car engine, while the
driver hardly was affected. Technological systems innovation is risky, as system
change might sometimes lead to unexpected systems behavior that might cause
interruptions in production. Sustainability of technological systems innovations is
often pretty clear. However, there also might be unforeseen effects. For example,
in the early 1930s, CFCs were introduced in refrigeration systems to prevent toxic
releases of the previous refrigerants. About 50 years later, it showed up that CFCs
depleted the ozone layer.
Incremental Innovation
Incremental innovations are the daily routines of RTD organizations. Energy
efficiency and materials efficiency are almost always among these routines just as
increasing efficiency of labor, and reducing maintenance costs. The improvements
are generally small but accumulate and are therefore important in the long run.
Incremental innovation might have various impacts. Increased efficiencies lead to

cost reductions that might boost consumption by the rebound effect. Incremental
innovations are most certain in outcome, as they leave the technological system
as such unchanged. New side effects will hardly occur and therefore the impacts
will often be positive and pretty certain. However, incremental innovation might
continue over decades and in this time frame, its accumulated effects might make
an expensive specialty product a commodity, thereby creating a market revolution.
4 Tools for Impact Assessment of Technology
4.1 Socio-Technical Maps
To analyze the impact of new technology it is not sufficient to forecast the likely
course of development of that technology. It is crucial to obtain insight in the views
of groups and organizations, which are relevant stakeholders for the technology.
Their views, in combination with foreseeable dynamics of a technology and market,
are the basis for Socio-technical maps. The following scheme presents a process for
making a Socio-technical map.
0. Bounding of the technical system (will it be a map of the car, the engine, or for
instance the electrical engine) and time frame.
1. Construction of a crude tree showing hierarchy of technical alternatives and
mechanisms, which determine the selection between them, plotted against time,
meaning which alternatives are being worked on and what choices are made
in the process. Attention is also paid to alternatives that can be developed on
separate tracks in other developments.
2. Characterizing the alternatives according to contents (cognitive) and origins
(social). Which stakeholders are trying to get which items onto the agenda?
In the characterization of contents, attention is also paid to expectations, links
between alternative technologies (for instance coupling to base technologies),
and any missing knowledge. In this characterization also the relationships
between stakeholders generating alternatives are included.
3. Does trajectory formation occur (i.e., subsequent technologies based on a similar
idea)? Trajectory formation is often linked to specific expectations regarding
technological progress, which results in disregarding alternative technologies.
Various different actors (legislators, research organizations, or even users) get
involved in the trajectory and adapt themselves toward this development.
4. What are the impacts of the different alternatives? Are these impacts acknowl-
edged by stakeholders, and how are they taken into account?
5. Are there critical episodes in the technological development? How can those
fractures be characterized in both a cognitive and social way? What roles do the
different stakeholders play in this?
6. Which stakeholders are not involved in the development now, but are foreseen to
be involved? How are their stakes taken into account? Has there been any check
if these stakeholders perceived their roles, as is envisaged by the technology
promoters?
828 K.F. Mulder
4.2 Innovation Impact Checklist
The making of a Socio-technical map can be carried out with various levels of detail.
For a thorough check, the technology has to be monitored intensely and a large
number of interviews are needed to chart the positions of the different stakeholders.
Often a quicker check is wished for, to see if there should be cause for concern: The
innovation impact checklist presented here consists of three parts:
• Research and development work
• Product
• Production process
“Product” in this case means that which is the intended final result (and usually
is sold); “production process” means the steps taken to produce this product; and
“technology” signifies the product, production process, and knowledge incorporated
into these (Mulder 1996).
A: How acceptable is the research and development work that accompanies the
formation of the new product and its production process?
1) Do counteracting social forces exist against the methods used in the research
and/or development work or against the collection and storage of certain
data?
2) Is the research and development work scientifically interesting or does the
development of this technology provide a special contribution to a technical
and/or scientific discipline(s)?
3) Can it be foreseen that investing in the development of a technology at this
moment could prevent a better alternative from being developed in the future?
A1) These points can be considered in this case:
• Safety of the research for researchers and people living in the neigh-
borhood regarding for instance the release of poison, manipulated
organisms, radiation, etc.
• Abuse of test animals or test subjects (people)
• Possible forms of abuse of research data for socially controversial
ends such as weapons of mass destruction, gaining access to private
information, race-based discrimination, etc.
• Mistrust toward researchers, which are carrying out the research (Cf.,
Faustus, Dr. Jekyll, and Dr. Strangelove)
A2) Disconnected from the eventual results a research or development
project can sometimes provide a powerful stimulus to other technolo-
gies and disciplines. Many examples are known. For instance, the
construction of the closeable Oosterscheldt storm surge barrier in the
Netherlands yielded new hydrological technology that is now applied
for New Orleans sea coast defenses.
A3) This problem occurs quite often: Investing in an improved waste-
incineration process that prevents the forming of dioxins makes de-
veloping a more environmentally friendly alternative to PVC later on
less attractive. Investing in a more efficient petrol engine means that the
development of the electrical car will suffer as a result.
B: How acceptable is the new product in itself?

Ethically:
1) Are any social values connected to the product in itself, or the product that it
replaces?
2) Is the product considered unacceptable in the ethical system of specific
religious or cultural factions?
B1) People do not judge products based solely on their own interests; they
also rate the product in terms of their social opinions. Products can
expect to receive a certain amount of positive appreciation when they
can be coupled to social developments/changes, which are considered to
be positive. For example, people in the neighborhood of wind turbines
react less negative to noise if they expect a positive environmental
contribution from it.
A negative appreciation could for instance exist for products which can
be related to negatively valued social phenomena such as:
• Unemployment (this was an issue when the computer became hugely
popular)
• Forms of opulence and waste (probably the reason for the failure
of the electric toothbrush in Holland in 1973 by Philips, and their
subsequent decision not to introduce an electric corkscrew)
• Animal cruelty (fur coats)
• Usurping of traditional culture (replacement of windmills by engine-
driven pumps in the 1920s and 1930s)
B2) This particularly pertains to protests made by religious factions, for
instance against certain kinds of foodstuffs, preparation methods, con-
traceptives, medical treatments, and animal products. Such protests do
not necessarily have an influence on acceptance by the majority of the
population (for instance the Roman Catholic protests against the birth
control pill).
Social acceptance:
3) Will the costs of the new product be likely to attract criticism?
4) What effects on the environment will the product have? Which changes in
behavior will the product cause, and what environmental effects result from
that?
5) What are the risks the use of the product entails, both for the user and others?
6) Does the use of the product clash with habitual behavioral patterns of large
groups of people?
7) Are there financial or psychological barriers which hinder acceptance of the
product?
B3) The cost is partly a technical/economical boundary condition. For some
products it can be economically acceptable to have a higher selling
price than the one they currently have (for a product of equal value)
because for instance legal measures can be taken to limit competition, or
because competition is hardly possible at all. However, not every price
that can be set market-wise (especially concerning products that can be
830 K.F. Mulder
monopolized) is also socially acceptable. Often social values play a role

in this, such as in the debates on the price of university and school fees.
B4) Readily visible environmental effects stem from the use of energy by
the product (and the change in it compared to that of an existing
product). However, change in behavior is also important – consider an
increase/decrease in car use, etc.
B5) Items here include damage to health, economical damage, and psycho-
logical damage as a result of the improper functioning of the product.
In this case the appreciation of risks differs: Voluntarily taken risks are
much more acceptable to people than risks imposed on them by others.
B6) Here, the change of commonly accepted behavior is the issue, for
instance in the case of the introduction of bio-bins and waste glass
containers. In both these cases this went fairly smoothly because people
were motivated for a higher value (concern for the environment). In
the 1970s, the Unilever product “Dentabs,” a mouthwash to substitute
brushing teeth, failed because it infringed upon the deep-routed habit of
teeth brushing. Brown milk bottles (which were less transparent to light)
failed because consumers could not see whether the bottles were clean.
Also, a new product can have “hidden” deficiencies that only show up
later, after prolonged use (e.g., many people find it uncomfortable to
read long texts from a microfilm or a screen). Common habits are hard
to change, even if a change would be beneficial.
B7) New products can sometimes pose advantages but nevertheless have
difficulty being accepted because the customer’s inhibition toward using
it is too great. This inhibition can consist of a course required to get
acquainted with the use of the product (typing courses and new software
spring to mind), the necessity to purchase special equipment before the
product can be used, or psychological barriers.
Secondary social effects:
8) Does the product permit new (economic or otherwise) activities? How should
these activities be judged?
9) Does the product threaten existing activities, which hold a certain social or
cultural value?
10) Does the product influence the social structure (private life, local community,
cultural region)?
11) Does the product have any other (possible) uses than the one primarily
intended for it?
B8) New products can sometimes lead to a host of new possibilities, which
promote the acceptance of the product. Copiers not only replaced carbon
paper, but also led toward a vast increase in the amount of copying done
– something IBM had not anticipated.
B9) A new product can lead to a decrease in demand for other products.
This can cause the market for those products to become too cramped.
Sometimes these products are considered too valuable to disappear:
Think of reduced theater visits as a consequence of the use of television,
or a reduction in the use of public transport as a consequence of

increased car use. The community considered these products (theaters,
public transport) so important that they were often subsidized.
B10) Many products influence the way people live together and communicate.
Where once the latest rumors were exchanged at the village wash basin,
there now is the local cable TV network. This means for instance the
introduction of a partial news monopoly and the loss of a part of the
local social structure.
Often these drawbacks of a new technology pose no problem toward
its acceptation: the decision to accept is often individual (as are the
advantages); the drawbacks (the dereliction of social communities) are
usually collective.
B11) Especially basic products often have many possibilities of use. Polyethy-
lene for instance was originally developed as an insulator for submarine
cables. This later only formed a fraction of its total use.
C: How acceptable is the production of the new product?
In itself:
1) Are any ethical standards and/or values threatened in production?
2) Are the working conditions in the production process acceptable?
C1) Consider for instance (miss) use of animals or people, religiously
inspired protests against the use of holy grounds, and violation of
religious celebration days. Also consider forms of resistance that mainly
stem from negative associations. Food conservation processes in which
radiation plays a role are often not accepted by fear of radiation.
Ethical standards and values also crop up in the acceptance of food,
which has been produced by means of genetically modified organisms.
Cheese, which is produced using chymosine obtained through genetic
modification, is identical to cheese produced using rennet obtained from
calves’ stomachs. Yet the “Gist-Brocades” company was unable to sell
chymosine because consumers did not wish to eat cheese produced in
this way.
C2) Here attention has to be paid both to the physical and the psychological
work environment. Workload, safety, stress, exposure to hazardous
substances, continuous shifts, possibilities for employees to be involved
in the organization, are important aspects.
Local environment:
3) Which are the physical effects of the production facility on the environment?
4) Which are the expected (primary and secondary) effects of the production on
employment? What level of schooling is required for the personnel?
5) What other consequences does the product have for the local environment?
6) What are the social implications of the production for the local community?
7) Does a potent breeding ground for local activism exist?
8) Can choosing a suitable location drastically reduce negative effects?
C3) Environmental impacts that are not severe overall can sometimes create
severe problems locally, such as the emission of “stench,” noise, use
832 K.F. Mulder
of precious space, “horizon pollution,” interference of electromagnetic

signals, risk of sabotage, and disruption of animal life.
C4) There are both employment effects directly related to production (both
for new as well as disappearing employment) as well as indirectly
related effects. Examples of indirect effects include farmers losing their
land, the building contractor building houses for the workers, a chips
stand in front of the factory gates, etc. New production activities can
also draw other industries into an area. The level of education of the
personnel needed often is very important regarding the possibilities of
local employment and the migrations caused by it.
C5) Here secondary effects like transport and traffic risks as a result of
supplies and distribution on the location of production come into play,
but also possible cooperative use of the infrastructure built for the
production facility. This cooperative use can lead to an improvement
of the traffic situation or to better public facilities. Also waste products
(like waste heat) can sometimes be used by the local community.
These effects can not be very clearly categorized at an early stage,
normally.
C6) Effects of migration and industrialization on the local culture. Does
the local community have an “open” culture? Here the existence of a
local industrial or trading tradition to which the new activity can add is
important. Also, the effects of migration on the local housing market can
be of importance. Other local consequences can be found in the area of
public amenities and local taxes.
C7) Local acceptance of nuclear power plants in the American situation
was linked to certain social-economic and political characteristics of the
area. Particularly the already present environmental lobbying activity
appeared to be directly linked to the strength of opposition against
nuclear power plants and a higher living standard (high average income,
few welfare-supported) appeared to be inversely proportional to it.
C8) Some of the negative effects of production will be negligible when the
production takes place within for instance a large industrial area. A
major urban agglomeration also offers different possibilities from a rural
area. On the other hand some rural areas may offer the best environment
for new production.
Society:
9) Which (either existing or planned) economic activities are threatened by
production?
10) Is the existing balance of power influenced by new production? Consider the
following relations:
1. Between employees (or unions) and employers
2. Between different producers
3. Between producers, clients, and suppliers
4. Between government and industry branch
5. Between different governmental institutions
11) What does new technology mean for the development of Third World coun-
tries? Are relations between global trade blocks influenced by production?
C9) Items to consider here are unemployment, destruction of capital (both
private and public) in this and other sectors. Reduction of employment
opportunities and/or investments can lead to powerful protests when it
concerns groups that are well organized. When current employment
opportunities can be maintained and the destruction of capital can be
avoided, these protests can be soothed.
C10) Technologies sometimes can radically change the balance of social
power. This is related to C4, also. The position of employees or the
union can be undermined when tightly organized professions become
obsolete, the government gains power over the citizens (and often also
over lower-level governments) by linking databases, and a company
can sometimes reinforce its position regarding its suppliers or clients.
This can lead to resistance within the groups losing their position
of power. Infamous is the resistance of British unions against some
technological changes (for instance in the mining industry).
C11) New technology can spell the death-knell for the development of
regions in the Third World. A more economical use of resources born
of environmental considerations (or a replacement by other resources
such as was the case with phosphates in detergents) can often lead to
a dramatic reduction in exports for an underdeveloped region. New
technology can also have consequences in trade politics.
5 Impact Assessment of Technology Is not Sufficient
About halfway through the eighties the claims which were implicit in the definitions
of Technology Assessment (foreseeing all impacts) turned out to be unattainable.
Moreover, Technology Assessment was being criticized as technocratic: By aiming
at a full assessment of consequences of a new technology, it could initiate a process
in which the decision makers could already formulate the replies to various kinds of
objections of stakeholders. So instead of leading toward democratizing technology,
it could lead to “repressive tolerance” (Wynne 1975).
Gradually, discussions with stakeholders regarding impacts of new technologies
and aiming at influencing the course of technology development became more
important. The approach of Constructive Technology Assessment was intended as
an answer to this challenge. It aimed at broadening decision-making processes and
focused on influencing technological decisions in an early stage. The implication
of this change is widening Technology Assessment from mainly a desk activity
to a far more social process involving interactions with various stakeholders (Rip
et al. 1995, See also: Engineers and Community: How Sustainable Engineering
Depends on Engineers Views of People). However, impact analyses, future studies,
creativity tools, etc., remain essential as they create the basis for stakeholder
interaction (Van den Ende et al. 1998).
834 K.F. Mulder
6 Summary
In this chapter the impact of new technologies on society has been discussed and the
way in which this impact has been perceived in the twentieth century. Difficulties
in foreseeing impacts have been discussed, and a checklist, including examples, has
been presented to assess societal impacts of new technologies.
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Life Cycle Thinking for Improved Resource
Management: LCA or? 46
Björn Frostell
Abstract
Life cycle assessment (LCA) has become one of the most widely applied
scientific and industrial methods for estimating environmental impacts of prod-
ucts and services. While the necessity to adopt a life cycle perspective as
such was rather quickly accepted, the practical application of LCA has met
considerable doubt and lagged behind. Strong contributing factors for this slow
adaptation have been (i) a poor understanding of the LCA idea as such, (ii) a
lack of useful tools for routine application of LCA, (iii) a lack of useful data
and databases, (iv) poorly developed practices and processes for monitoring and
data acquisition in industry and society in general, and (v) a general resistance to
introduce a new concept. Now that these barriers gradually are being overcome,
there is a need for some second and critical thoughts around the usefulness
and practical applicability of LCA as a standard routine procedure in society.
While doubtlessly having contributed to a revolution in systems thinking, the
practical current application of LCA has several shortcomings: (i) There is a
poor link between estimated emissions and (ia) the geographical location of
them and (ib) the occurrence in time of them, (ii) an LCA rarely discusses the
total emissions from a production site or service system since emissions are
reported and discussed in relation to the functional unit, (iii) the methodology
for LCA demands both categorization of material and energy flows into a
large number of impact categories while in practice only a few are selected
and sometimes in a rather arbitrary way, based more on the availability of
data than based on relevance, (iv) the necessity to pull the assessment through
the impact stage requires considerable extra skills and work by the assessing
B. Frostell
Assistant Professor Industrial Ecology, Department of Industrial Ecology, School of Industrial
Engineering and Management KTH – Royal Institute of Technology, Stockholm, Sweden
e-mail: frostell@kth.se

DOI 10.1007/978-1-4020-8939-8 50,
838 B. Frostell
industry or agent, (v) when gradually more complex systems are being assessed,
the system boundaries become more difficult to identify and the assessor faces the
challenge to assess life cycles in different dimensions. The chapter describes the
gradual development of life cycle thinking, LCA, and other life cycle thinking
tools. It argues for a more differentiated application of life cycle thinking in
practical tools in order to increase the practical usefulness of this important
approach.
1 Introduction
Sustainable development is a vision of a positive development allowing economic,

environmental, and social ambitions to be met both by those living now and by
coming generations (cf. WCED 1987). The last worldwide Summit on general
aspects of environment and development in Johannesburg (UN 2002) adopted in its
General Assembly a resolution on Sustainable Development. Here it was decided to
adopt sustainable development as a key element of the overarching framework for United
Nations activities, in particular for achieving the internationally agreed development goals,
included those contained in the United Nations Millennium Declaration, and to give overall
political direction to the implementation of Agenda 21 and its review (UN 2002).
Many large international companies have formulated policies and strategies
adopting the ideas of sustainable development. The World Business Council for
Sustainable Development (WBCSD) is a CEO-led, global association of some
200 companies dealing exclusively with business and sustainable development
(WBCSD 2012). Local governments are on their way, and universities cooperate
nationally and internationally to foster education for sustainable development.
Two important – and conflicting – results seem evident from the more than
30 years of intensive discussion of sustainable development and efforts to reach it:
Overall, the economic development as calculated in the form of global GDP has
increased rapidly and in total the global economic turnover has increased to 72.3
trillion dollars in 2009 (World Bank 2012). This is at least four times the 1975
level depending on the method of calculation. During the same period, the world
population has increased from 4.1 to 6.8 billion, an increase by 67%. It may thus be
concluded that economically, the world is far better off now than in 1975. On the
other hand, much evidence points at the fact that during the same period, the physical
global metabolism has increased very rapidly (raw material extraction, emissions of
materials, and heat).
Perhaps the most pressing current challenge from an overall sustainable devel-
opment point of view is the ecological. In recent years, a large amount of scientific
evidence sends warning signals to the global community on the increasing risks of
current development. Vitousek et al. (1997) concluded the following:
1. Between one-third and one-half of the land surface has been transformed by
human action.
46 Life Cycle Thinking for Improved Resource Management: LCA or? 839
2. The carbon dioxide concentration in the atmosphere has increased by nearly 30%
since the industrial revolution.
3. More atmospheric nitrogen is fixed by humanity than by all natural terrestrial
sources combined.
4. More than half of all accessible surface freshwater is put to human use.
5. About one quarter of the bird species on Earth have been driven to extinction.
6. Approximately two-thirds of major marine fisheries are fully exploited, overex-
ploited, or depleted.
In a thorough discussion of human impact on the ecological systems of the planet,
Lubchenko (1998) concluded that:
The individual and collective changes described above are so different in magnitude, scale
and kind from past changes that even our best records and models offer little guidance
concerning the scale or even the character of likely responses to these challenges. The
future is quite likely to involve increasing rates of change; greater variance in system
parameters; greater uncertainty about responses of complex biological, ecological, social,
and political systems; and more surprises. The world at the end of the 20th century is a
fundamentally different world from the one in which the current scientific enterprise has de-
veloped. The challenges for society are formidable and will require substantial information,
knowledge, wisdom, and energy from the scientific community. Business as usual will not
suffice.
During the last decade, much focus in the environmental debate has been on
the risks for increasing costs of climate change mitigation (cf. Stern Review 2006).
This has actually overshadowed both the other challenges and more seriously the
compound challenge of all changes as a whole.
Life cycle assessment (LCA) of products and services is a very recent approach to
estimate, analyze, and discuss the environmental impact of products and services.
The start of this development in the late 1960s has been described by Boustead
(1996), and a recent broad survey was published by Finnveden et al. (2009).
A widely used practical guide to LCA was published by Baumann and Tillman
(2004).
Invented and improved by engineers, LCA has later been standardized by
the International Standards Organization (latest version ISO 2006a, b). LCA has
become one of the most widely applied scientific and industrial methods for
estimating environmental impacts of products and services. While the importance
to adopt a life cycle perspective was rather quickly accepted, the practical routine
application of LCA in industry and society has lagged behind. Strong contributing
factors to this slow adaptation have been (i) a poor understanding of the LCA idea as
such, (ii) a lack of useful tools for routine application of LCA, (iii) a lack of useful
data and data bases, (iv) poorly developed practices and processes for monitoring
and data acquisition in industry and society in general, and (v) a general resistance
to introduce a new concept.
In this chapter, life cycle thinking as a basis for and broader concept than LCA
will be presented and discussed, together with possible applications of life cycle
thinking besides LCA.
840 B. Frostell
2 Aim and Objectives
The main aim of this chapter is to inspire and encourage engineers, economists, and
others to devote more effort to life cycle thinking and a more holistic and systems
oriented work with (mainly) quantitative methods and tools to account for material
and energy flows in connection to human activities. Important objectives of the work
are to:
• Present a pathway of original thinking on how to make the vision of (ecologi-
cally) sustainable development more operational
• Describe and define the term life cycle thinking and its application in practice
with the use of different tools and methods
• Discuss possible explanations to the slow penetration of knowledge from life
cycle thinking to practice
• Suggest a development path for a mandatory more extensive use of life cycle
thinking tools for improved overall resource management
3 Sustainable Development: From Vision to Work?
Traditionally, the SD vision has been presented and discussed as the so-called
triple bottom line approach (Elkington 2004; cf. Clift 1998). The term “triple
bottom line” refers to taking responsibility for three different pillars of a sustainable
development: economic, ecological, and social aspects. Typically, this is expressed
as three partially overlapping circles, intuitively giving equal weight to the three
aspects of sustainable development. Later, this view has been questioned and
other interpretations given (Giddings et al. 2002; cf. Strandberg and Frostell
2006).
In Fig. 46.1, an idea transformation path from traditional technical/economic
development to operational sustainability work is presented, showing:
(a) The traditional thinking emphasizing technical/economic development only
(b) The triple bottom line interpretation of sustainable development as based to
equal shares on technical/economic, social, and ecologic issues
(c) A nested interpretation (Giddings et al. 2002), emphasizing the ultimate depen-
dence of both the economic and the social system on the ecological capacity of
the global system
(d) A more detailed interpretation of the nested principal picture, showing the
physical metabolic interaction between human activities (including the formal
economy) and the global system as well as the social interaction between human
activities and the economy
Interpreting sustainable development using the last model in Fig. 46.1d allows
us to start discussing necessary actions to support sustainable development. In
Fig. 46.2, the metabolic expression of sustainable development is shown in more
detail.
a b c
Ecological
Social
Technical/ Social
Ecological
Economical Eco-
nomical
Technical/
Economical
d
Energy interaction
The Globe
Physical
metabolic interactions Human
energy & materials activities
Formal
Social interaction economy
System
Fig. 46.1 A thought path from traditional strive for technical/economic development (a) to the
triple bottom line approach to sustainable development (b), a nested sustainable development view
where economy is dependent on society and both on the environment (c) arriving at an operational
view of sustainability challenges in the form of both a physical metabolic interaction between
human activities and the global system and social interactions between the three parts of the global
system
Physical Metabolic interaction

• Extraction, processing and use of natural resources
• Materials emissions and heat release
• Radioactive emissions The Globe
• Noise pollution
Human
activities
Energy interaction
Formal
economy
Social interaction
• Social organization
System
• Distribution of resources
• Equity and power distribution
• Emotional interaction
Fig. 46.2 More detailed explanation of important interactions between different subsystems of
the overall global system. In this way of viewing the global system, it comprises human activities
as a subsystem and this in turn comprises the formal economy as a subsystem. Physical metabolic
interaction occurs between the global system and the entire human system (including the formal
economy). The formal economy is exchange of goods and services for money. Life cycle thinking
aims to include as many aspects as possible of the interactions between the human activities and
the global system into resource management and thus into the formal economy
842 B. Frostell
4 Life Cycle Thinking: A Broader Consideration of

Interactions
4.1 Life Cycle Thinking
Life cycle thinking is a strive to think in a more holistic way and consider a
broader set of interactions between human activities and the global system, be they
of physical, economic, or social character. Life cycle thinking tries to understand
(i) physical resource interactions and (ii) social resource interactions between
(ia and iia) human individuals and different social groups and entities in the
formal economy, (ib and iib) the formal economy and other human activities, and
(ic and iic) human activities and the global system. Social interactions could be, for
example, formal business activities between different parties, but also well-being
during a mountain hike or fear for wild animals when walking in the forest. Life
cycle thinking is strongly linked to resource management in all aspects relevant to
consider and is thus economy in its broadest sense. In a sustainable development
context, it involves considering economic, ecologic, and social aspects in an
integrated and preferably quantitative way, but also using qualitative considerations
when quantification cannot be achieved. In Fig. 46.3, some currently used methods
in the three core pillars of the triple bottom line approach to sustainable development
are shown.
Life cycle thinking is in practice almost impossible to implement in a satisfactory
way. This is because of the following:
Life Cycle
Thinking
Based on Based on Based on

economic ecological (mostly) social
science science science
LCI, LCA SIA

LCC
Extended CBA EIA, SEA MCA
Footprints RA
Fig. 46.3 Important life cycle thinking oriented methods – life cycle costing (LCC), cost-benefit
analysis (CBA), life cycle inventory (LCI), life cycle assessment (LCA), environmental impact
assessment (EIA), strategic environmental assessment (SEA), ecological footprint metrics (Foot-
prints), social impact assessment (SIA), multi-criteria analysis (MCA), and risk assessment (RA)
• The global system (the world including atmosphere, lithosphere, and biosphere
with society) is such an incredibly large and complex entity that we know only
very little about its details and the interactions between different sub-entities.
• A large part of the interactions in the overall global system are of a social
character between individuals, groups of individuals, or based on feelings, where
our understanding of the detailed mechanisms and outcomes is still and perhaps
forever impossible to predict quantitatively and/or with reliability.
• Only very recently have individuals and groups of individuals started to practice
life cycle thinking and thus there is still a subcritical mass of people seeing the
values of it.
• The results and suggestions for change emerging from life cycle thinking
many times stand in contradiction to personal and group interests and thus are
very difficult to accept for individuals and groups that may lose influence and
resources.
• Life cycle thinking favors long-term thinking over short term and therefore is in
contradiction to many aspects of current formal economy.
It is here recognized that life cycle thinking as defined above is extremely broad
and impossible to cover satisfactorily here. For this reason, combined with a belief
that the physical aspects of life cycle thinking – the world’s physical metabolism of
energy and materials – are the most burning issues for social stability and welfare in
the next decades, the following discussion will be focused on life cycle thinking for
improved resource management, here named physical resource life cycle thinking
(PR Life Cycle Thinking).
PR life cycle thinking emphasizes that raw materials and energy may be used and
emissions produced in many different places and parts of the world as a consequence
of operating a production and consumption system. It is thus not enough to discuss
the raw material use and emissions in a specific place. Instead, all the different
phases in a combined production and consumption chain need to be recognized. In
PR life cycle thinking, energy as well as materials metabolism as well as broader
implications of them, such as environmental impacts and economic and social
implications, are considered. From early life cycle–oriented research, it has become
clear that an increased reuse and recirculation of products and materials will result
in a lower overall resource use and emissions and thus higher overall efficiency. In
the future, a decreased raw material use, decreased waste production, and increased
recycling of materials may therefore be foreseen as illustrated in Fig. 46.4.
In Fig. 46.4, the traditional picture of a life cycle of a product system is depicted.
It is important to note that this way of illustrating the life cycle has no spatial
(geographical) connection or definition. This fact – that the traditional LCA does
not locate the resource use and the emissions of a product or service system – has
been a problem in some applications of life cycle thinking and LCA methodology.
A different means of expressing a life cycle system has been used in education at
KTH, The Royal Institute of Technology, Stockholm. This way of discussing a life
cycle defines three principal stages in the life cycle with a special emphasis on the
so-called core system (cf. Eriksson and Frostell 2000). Depending on who is the
principal stakeholder – the stakeholder interested in the inventory (and assessment)
844 B. Frostell
Transportation
Distribution
Raw material Processing Use/Reuse Waste

acquisition Manufacturing Maintenance management
Recycle
Life Cycle System Boundary

Energy Materials
Fig. 46.4 The principal life cycle of a product (rearranged and developed from SETAC 1991)
of the entire life cycle system – the core system represents the part of the life cycle
that belongs to this principal stakeholder. The core system therefore could be, for
example, a product line in a factory in a production/consumption chain, a factory in
a production/consumption chain, a service system, or a waste management system
in a production/consumption chain.
5 Life Cycle Assessment
Life cycle assessment has gradually developed into a highly standardized procedure
for assessment of environmental impacts of a product or a service (cf. ISO 2006a,
b). Many commercial tools for routine LCA are available and the European
Commission has published an evaluation of different approaches to LCA (Reimann
et al. 2012). In the previously mentioned recent review of LCA, Finnveden et al.
(2009) points at a few important challenges of current LCA practices. The most
important of them were considered to be the following:
• The product system is extended in time and space, and the emission inventory
is often aggregated in a form which restricts knowledge about the geographical
location of the individual emissions.
• The LCA results are also typically unaccompanied by information about the
temporal course of the emission or the resulting concentrations in the receiving
environment.
• The functional unit of the LCA refers to the assessment of an often rather small
unit.
• The LCA thus has to operate on mass loads representing a share (often near
infinitesimal) of the full emission output from the process.
Now that LCA is more widely used, the methodology sees other and perhaps
more serious problems and challenges. While doubtlessly having contributed to
a revolution in systems thinking, the practical application of LCA has several
shortcomings, for example, (i) the current methodology for LCA demands both
categorization of material and energy flows into a number of impact categories
that in practice typically are picked in a rather arbitrary way (an arbitrary selection
of impact categories in practical LCAs), often based rather on the availability
of data than on relevance, (ii) the necessity to pull the assessment through the
impact stage requires considerable extra skills and work by the assessing industry
or agent, and (iii) when gradually more complex systems are being assessed, the
system boundaries become more and difficult to identify and the assessor faces the
challenge to assess life cycles in different dimensions (see more below).
6 Different Footprint Approaches and Their Applications
6.1 The Ecological Footprint
The first footprinting concept that reached a broad worldwide recognition was the
ecological footprint (EF). Originally developed by Wackernagel and Rees (1996),
it has developed into a worldwide activity of accounting, where national footprints
are estimated and summed up to a global footprint by the Global Footprint Network
(GFN 2012).
The ecological footprint is a very pedagogic and illustrative indicator of ecologic
sustainability. It is calculated as the land area needed to provide current social
products and services in a sustainable way (with the best available technology;
Wackernagel and Rees 1996). The EF calculated is compared with the available land
area, and if the latter is smaller than the EF, the current situation is unsustainable.
EFs may be calculated for the world, nations, regions, individuals, and other entities.
Very obvious from EF calculations is that cities need a much larger area than they
occupy themselves and thus are totally unsustainable if not connected to rural areas
where resources for the city can be produced.
Alarmingly, according to the EF indicator, the world grand EF is larger than
the available productive land area on Earth (app. 30% larger). If all people on
Earth lived as in the west, we would currently need four to five earths according
to the EF method. Besides footprints as discussed above, the EF network calculates,
publishes, and discusses the so-called EF overshoot day. The EF overshoot day is
that calendar day of the year when the EF of that actual year is larger than the
available land area to serve the global population under current living conditions.
Calculated according to the EF methodology, the world overshoot day comes earlier
and earlier each year, indicating that from an ecological point of view, we are
846 B. Frostell
still departing from a more sustainable development despite more than 20 years
of intense debate and many years of political commitments to work for a more
sustainable development.
The EF methodology has been criticized as being nonscientific and thus not a
reliable indicator (cf. Van den Bergh and Verbruggen 1999; Ayres 2000). Fiala
(2008) criticizes it as (i) assuming zero greenhouse gas emissions in the technologies
used, (ii) using national and regional boundaries for footprint calculations that do
not account for the flexibility of the current global economy, and (iii) not considering
productivity increases in agriculture and thus not allowing showing the possibilities
of intense agriculture. He proposes to use methods that account more directly for
physical phenomena such as emissions of carbon dioxide and degradation of land.
Nevertheless the EF has reached a widespread application globally, thanks to its
very pedagogic name and indicator (a physical area).
6.2 Energy Footprint
An interesting way to assess ecological sustainability is in terms of energy and mass

balances over different system scales, for example, industrial products and product
systems, industrial processes, or for geographical areas. For energy, this may be
done in the form of different so-called energy footprints, mapping of energy turnover
in larger systems in a more holistic way.
Probably due to the broad recognition of the ecological footprint concept, the
energy footprint concept has been much associated with the EF methodology. Here,
the energy footprint is a measure of land required to absorb the CO2 emissions
from a certain human activity, for example, producing a product, running a product
system, running a region or a nation. Important in connection with this type of
energy footprint is the fact that it is not the actual energy need that is estimated but
the area required to absorb the emissions. This may give rise to ambiguities in the
discussion of the actual energy used in the process. An advantage of the approach is
that a system with renewable energy supply would result in a smaller footprint than
the same system operated with “dirty” energy.
An alternative use of the term “energy footprint” was in a project at the University
of Southampton. The aim here was to look at the energy footprint for waste
management. The project brought together data on waste quantities, material flows
and made mass balance studies for a range of materials including glass, paper,
plastics, metals, and organics. These data were combined with information on
the energy use for different types of collection and processing systems for reuse,
recycling, recovery, and disposal of waste. Also considering energy recovery from
any of these options, the information was used to produce an energy and materials
balance, and the results showed an “energy footprint” and materials output of the
current waste management practices in Southampton (Dacombe et al. 2004). This
use of the term thus was connected to the actual energy turnover in different parts
of the studied system.
The energy footprint is probably the least spread footprint method. A method
for energy footprinting has been developed and marketed by the US consultant
Energetics. Their method is based on energy flow studies in different industries and
on development of energy balances. One study focused on the chemical industry
energy footprint (Energetics 2012) and was much recognized. Triantou (2009)
used LCI cradle to gate system boundaries to calculate energy, carbon, and water
footprints for three AkzoNobel plants producing chemicals for the pulp and paper
industry.
6.3 Carbon Footprint
The Greenhouse Gas Protocol (GFN 2012) is an accounting tool for governments
and business leaders to understand, quantify, and manage greenhouse gas emissions.
For more than a decade, the World Resources Institute (WRI) and the World
Business Council for Sustainable Development (WBCSD) have cooperated with
different stakeholders to develop the idea and use it together with businesses,
governments, and environmental groups for combating climate change.
The GHG protocol is supplemented by a number of electronic calculation tools,
freely available on the GHG Protocol website (www.ghgprotocol.org/). Guidance
on calculating GHG emissions from specific sources (e.g., stationary and mobile
combustion, process emissions) and industry sectors (e.g., cement, pulp and paper
aluminum, iron and steel and office-based organizations) is also provided. It covers
the accounting and reporting of the six greenhouse gases covered by the United
Nations Framework Convention on Climate Change.
The carbon footprint is a measure of the total releases of climate impact gases
caused by a business activity or for a product. It may be regarded as a simplified
LCI (life cycle inventory) of carbon (or carbon dioxide equivalents) for the activity
or product. As such, in practice, it may be calculated in different ways. A first
attempt to create a standard for carbon footprinting was presented in a first edition
of The Greenhouse Gas Protocol: A Corporate Accounting and Reporting Standard,
published in 2001 and revised in 2004 (GGPI 2012).
The standard is based on reporting three types of direct and indirect emissions
and covering six greenhouse gases (CO2 , CH4 , N2 O, SF6 , HFCs, and PFCs). For
each of the emissions considered in the carbon footprint, the contribution from the
above-mentioned six compounds is calculated in the form of CO2 equivalents and
added up to the footprint.
Scope 1: Direct GHG emissions (Mandatory to report)

• Generation of electricity, heat, or steam.
• Physical or chemical processing.
• Transportation of materials, products, waste, and employees.
• Fugitive emissions. These emissions result from intentional or unintentional
releases, for example, equipment leaks from joints, seals, packing, and
gaskets.
Scope 2: Specific indirect emissions (Mandatory to report)
• District heating and purchased electricity
848 B. Frostell
Scope 3: Other indirect GHG emissions (Voluntary to report)

• Employer’s flights and work travel
• Purchased transportation services
• Suppliers share of emissions
In Fig. 46.6, the carbon footprint methodology according to GHG protocol has
been compared to a principal LCI, dividing the entire life cycle of a product,
a process, or a service into the three stages core system, upstream system, and
downstream system. Here it is clear that the carbon footprint methodology to an
important part covers an LCI of climate gases (climate impact LCI), but also
that potentially important flows are non-mandatory or not considered. Of flows
considered are, for example, carbon emissions to water and in waste, that later could
be transformed to CO2 in biological and chemical processes and cause secondary
impact. It would therefore be tempting to have a more stringent definition of the
carbon footprint, preferably in line with a strict life cycle inventory of carbon.
6.4 Water Footprint
The water footprint (WF) analysis may serve as an indicator of overall water use
for a certain product or service chain, but may also be used to indicate water
consequences of global trade and its links to water resources management. Hoekstra
and Hung (2005) showed that over the period 1995–1999, at least 13% of the
water used for crop production was not used for domestic consumption but was
exported to other countries in virtual form. An important outcome of this finding
was the argument that virtual water trade between nations and even continents could
improve global water efficiency and enhance water security in water-scarce regions;
instead of producing water-intense products, water-scarce countries could adopt a
strategy to import them.
Industry has been increasingly interested in understanding, applying, and adapt-
ing WF methodologies in order to manage production and supply-chain water
issues. By definition, the WF of a product or a product supply chain is the total
volume of freshwater used in all parts of the product or supply chain – generally
expressed per year or per ton of product. WF thus reflects a life cycle perspective,
providing an overall estimate of a product’s water requirements. Besides being used
for industrial water management, calculation of WF is also feasible for different
groups of consumers (individual, family, municipality, nation etc.).
Besides for products and community groups, a WF can also be calculated for
different business operations, giving a picture of both a company’s freshwater
requirements and water use at the product or service scale, offering a business
sustainability indicator (Chapagain and Orr 2009). A corporate or business WF here
corresponds to the total volume of freshwater used directly or indirectly to operate
and support the business; it comprises two components: the operational or direct
WF and the supply-chain or indirect WF (cf. Gerbens-Leenes et al. 2009).
The WF analysis is a geographically connected indicator system; the volumes of

water used and polluted are shown both in quantities and locations. Attempting to
track all relevant water uses of a product or service chain is analogous to life cycle
studies (LCI studies), although following a novel accounting. The methodology
of WF calculation theoretically comprises three components: the green water use
(green WF), the blue water use (blue WF), and the use of water to assimilate
pollution (gray WF). These three components have different characteristics, and
so it is proposed that their values, weighed equally in calculating the total WF, are
presented explicitly along with the total WF (Hoekstra 2008).
Green water is rainwater stored in soil, and blue water consists of surface and
ground water resources. The difference is obvious if one considers that the green
water can only be used in a productive way for crop production and by the ecosystem
itself. On the other hand, blue water can be withdrawn to irrigate crops, but can
also have other industrial and domestic end-uses. It is emphasized that water use
as calculated with the WF methodology, especially for the blue component, has
a different meaning than in life cycle assessment (LCA); thus, consumptive and
degrading use that intervenes with the local hydrological cycle and stands in conflict
with other uses, including the ecosystem, is in focus. This is in contrast to the
traditional withdrawal or consumption accounting in LCA.
The so-called gray water should – according to the methodology developers – be
calculated as the water volume needed to dilute pollutants to the extent that water
quality standards are met. This means that the gray water is a fictive water quantity,
normally much larger than the actual volume discharged to the environment.
This has raised an intense debate among members of the rapidly expanding WF
community and will be further discussed below; a plant with extensive wastewater
treatment and following the national and local laws and regulations, for instance,
could very well have to add a considerable part of its water footprint from gray
water with the suggested definition.
In many ways, this new method appears to be very well suited when it comes
to understanding and addressing water-related resource management issues and
risks. Several companies, primarily from the agro-industrial and the food sector,
are working hard to put it into practice as a management indicator. Methodological
challenges, impact assessment and gray water calculation to name two, are still not
resolved in a satisfactory way, but with more effort and more actors involved, a
common standardized WF methodology will most probably be settled. Additionally,
the interest in finding a common approach to LCA and WF – perhaps in a common
tool – is growing (Koehler 2008; Pfister et al. 2009; Canals et al. 2009).
7 Discussion
Life cycle thinking is a broader means of thinking than ordinary management

thinking. More and more, it may be argued that it is a necessary intellectual basis to
reach a more sustainable development in a globalized world. In its broadest sense,
it involves many different dimensions of human life, human activities, and their
850 B. Frostell
embedment in the globe system. The practical application of life cycle thinking is
still in its infancy and involves many, many different activities, practices, methods,
and tools. Emanating from the physical resource side, most of the discussion hitherto
has focused on the ecological aspects of life cycle thinking. Important starting points
in this discussion have been the industrial metabolism concept (cf. Ayres 1994)
and life cycle assessments as discussed above. The European Union Joint Research
Centre defines life cycle thinking in the following way: Life Cycle Thinking (LCT)
seeks to identify possible improvements to goods and services in the form of lower
environmental impacts and reduced use of resources across all life cycle stages
(European Commission 2012a). UNEP takes a somewhat broader approach and says
that life cycle thinking . . . is about going beyond the traditional focus on production
sites and manufacturing processes so that the environmental, social, and economic
impact of a product over its entire life cycle, including the consumption and end
of use phase, is taken into account (UNEP 2012; cf. UNEP 2004). An important
point in this chapter is that life cycle thinking needs to develop in all areas of human
activity, now that we live in a globalized economy.
7.1 Emanating Life Cycle Thinking in Regulation
To some extent, life cycle thinking may still be regarded as somewhat irrational
in ordinary business activities, since no economic laws, business operations, envi-
ronmental permits, or other regulations require it. An important first step, however,
toward a more mandatory life cycle thinking may be found in the so-called extended
producer responsibility (EPR) concept that has gradually been introduced in the
environmental laws in different countries. OECD defines EPR as an environmental
policy approach in which a producer’s responsibility, physical and/or financial,
is extended to the post-consumer part of the product’s life cycle (OECD 2001).
In Sweden, that has been a forerunner in this area, EPR has been introduced in
regulation of the following six product groups (cf. SEPA 2005):
• Packages
• Batteries
• Cars
• Electronics
• Drugs
• Radioactive products and noncontrolled radiation sources
In Sweden, the EPR involves a mandatory requirement for producers to collect
and handle used products in an environmentally responsible way. It is an instrument
to reach the national environmental goals and the aim is to motivate producers to
develop products that are less resource demanding, easier to recycle, and do not
contain hazardous compounds.
From a principal point of view, it is interesting to note that the ERP initiative
only extends the responsibility from the core system to the downstream system in
the principal life cycle system depicted in Fig. 46.5. Nothing is stated about the
upstream system and thus the life cycle thinking in ERP is only partial.
Air Air Air

emissions emissions emissions
Materials Materials
Upstream Core Downstream
FLOWS FLOWS
Energy system system system Energy
Water Water Water

and Waste and Waste and Waste
Life cycle system boundary
Fig. 46.5 An illustration of physical resource life cycle thinking (PR life cycle thinking)
emphasizing the core system complemented by an upstream and a downstream system and thus
allowing a geographical connection of life cycle thinking. The core system is always subject to
mandatory environmental impact assessment (EIA), legal permits, and legal reporting practices
Scope 2 indirect (M∗) Scope 1 direct (M∗) Scope 3 indirect (V∗∗)

District heating Transports with own Use of products
purchased electricity vehicles, people, goods
Waste
Scope 3 indirect (V∗∗) Own power generation,
boilers etc.
Employer’s flights/
work travel Chemical or physical
processes (industry)
Purchased
transportation services
Suppliers
Air Air Air

Materials Materials
Upstream Core Downstream
FLOWS FLOWS
Energy system system system Energy
Water Water Water

and Waste and Waste and Waste
∗M = Mandatory; ∗∗V = Volontary Life cycle system boundary
Fig. 46.6 Comparison between the GHG Network definition of carbon footprint ingredients and
a division of the life cycle of products, processes, and services in an upstream, a core and a
downstream system, permitting also a geographical allocation of metabolism
852 B. Frostell
7.2 System Boundaries, LCA, and Life Cycle Thinking
System boundary discussions represent an important aspect of LCA and life cycle
thinking. The system boundaries define what is included in an appraisal or assess-
ment and what is excluded. When a studied system is small and easily understood,
the system boundaries are rather easy to identify and communicate. With LCA –
that in itself by definition represents a system broadening – system boundaries
increasingly cause discussion and problems. Guinée et al. (2002) identified three
major types of system boundaries in the LCI phase of LCA:
• Between the technical system and the environment
• Between significant and insignificant processes
• Between the technological system under study and other technological systems
Finnveden et al. (2009) have a broad discussion of these three types of system
boundaries. They also mention time and geographical limits as potential boundaries,
but regard them as special cases of boundaries toward the environment or other
technological systems.
In application of LCA, the goal and scope definition phase in practice also in-
volves a system boundary definition and that implies selection of impact categories.
An inherent practical problem for all LCA applications is the difficulty to include
all impact categories in the study, most typically because of difficulties with data
availability. Thus, in a typical LCA study, only four to five impact categories are
included, despite at least ten would have a relevance for the outcome of the study.
Which are the main influencing factors in this delimitation of LCAs – and thus
definition of system boundaries – that always take place? Which impact do they
have on the final result and on the conclusions to be drawn?
Further broadening the discussion to general life cycle thinking, the identifi-
cation, decision, and implementation of system boundaries into practices form a
formidable task. This is since from a principal point of view, at least the following
system boundaries will have to be considered in life cycle thinking:
• What principal pillars of sustainability shall be included in the study (the
procedure) – economical, ecological, social?
• In what ways will the economical, ecological, and social pillars be characterized?
Impact categories, flows and stocks calculations, qualitative characterizations of
different aspects, by other means?
• How many different impact categories (flows and stocks; aspects) shall be used
for each pillar of sustainability? Which impact categories (flows and stocks;
aspects) should be selected?
• How shall the retrieved information be processed and communicated? Per func-
tional unit (LCI/LCA), per decision/responsibility unit (accounting approach, per
geographical unit, others?
• How shall the cutoff issues be handled (decisions on where to stop data
retrieval, how to allocate between different products/functions, how to han-
dle compensatory functions included to make a comparative study more
appropriate)?
Looking at the system boundary challenges described above, it becomes clear that
LCA and its discussion cover only a part of life cycle thinking. This makes the
selection and use of methods and tools for life cycle thinking even more difficult
and delicate than LCA application. Thus, it will be very important to find broadly
accepted approaches to practical application of life cycle thinking.
7.3 Data Availability, LCA, and Life Cycle Thinking
Data availability has for long been a problem in practical application of LCA and
generally for systems oriented quantitative analyses based on life cycle thinking.
This situation is rapidly improving for LCA with a number of initiatives at national
(Australia, Japan, Korea, Singapore, Taiwan, Denmark, Sweden, Switzerland,
Canada, and USA; cf. Curran and Notten 2006) and business raw material level
(aluminum, copper, iron, and steel, plastics, paper, and board; cf. Finnveden et al.
2009). Curran and Notten (2006) prepared a summary of global life cycle inventory
data resources on behalf of SETAC/UNEP. It is a thorough compilation of ongoing
activities in the world until 2006.
The European Reference Life Cycle Database (ELCD core database) has been
compiled and improved into a version II by the EU Joint Research Centre’s
Institute for Environmental and Sustainability (IES), a work that was presented
in early 2009 (European Commission 2012b). The database contains life cycle
inventory (LCI) data from different EU-level business associations and other
sources. Data are provided for key materials, such as energy carriers, transport,
and waste management and a special focus is on data quality, consistency, and
applicability.
The EU LCA Tools, Services and Data homepage (European Commission 2012c)
is an ambitious resource with extensive information on available methods, tools, and
databases for LCA practitioners.
Besides these governmental and industrial branch initiatives, there have been a
great number of different LCA tools developed, sometimes offered for free and
sometimes for a license fee. Often, commercial suppliers of LCA software have
their own databases, access to which forms an important part of the licensing idea.
Two important commercial tools are Simapro (PRé Consultants 2012) and Gabi
software (Gabi 2012). It is very interesting to note that Gabi software at the moment
offers software for a number of different life cycle thinking–related calculation tools
according to the following list (Gabi 2012):
• Life cycle assessment according to ISO 14040/14044
• Product carbon footprint
• Design for environment and ecodesign
• Environmental product declarations
• Resource and energy efficiency
• Water footprint
854 B. Frostell
Table 46.1 Potential uses of life cycle thinking and LCA by different stakeholder groups
(inspired by Wentzel et al. 1997)
Stakeholder group Application Examples
Central and local Policy formulation Resource accounting policies
governments Product policies
Community action plans Incineration versus recycling
Environmentally conscious Cars, office supplies
Public Purchases
Consumer information Ecolabels and Standards
Business Monitoring of progress in a Footprints of different kinds,
broader perspective than e.g., energy, carbon, and water
currently practiced Monitoring of social aspects of the
business
Raise environmental Identify areas for improvement
awareness
Broadening of management Product-oriented environmental
policies Environmental
management
Design choices Concept selection, Component
selection, Material selection,
Process selection
Environmental ISO certification, Ecolabels
documentation
Academia Research on products, Knowledge formation Method
services, and sociotechnical development
systems
Education LCA courses
NGOs and the public Consensus development Own assessments in preparation of
public hearings
Education Reports and results dissemination
7.4 Current and Potential Future Applications of Life Cycle

Thinking
With the broad definition of life cycle thinking used here, the number of potential
applications is very high. Hardly any research, development, or practical work
area will do without it. It should become at the center of all future resource
management discussions, be they physical or social resources in line with Figs. 46.1
and 46.2. A compilation of potential uses of life cycle thinking is presented
in Table 46.1.
8 Summary
From ecologically oriented research, there is now overwhelming evidence that

current actions and plans of the global community threaten the survival of civi-
lization in its present form. The world is caught up in a growth paradigm – based
on a rapid extraction and use of natural resources, mainly fossil energy and mineral
resources, combined with excessive emissions to air, water, and soil of rest materi-
als. This cannot be sustained in the long run without a radical shift in functioning
of the system (cf. Ayres 1998). Current economic theory and practices have failed
to address this challenge in a satisfactory way, and new theories and practices
for improved overall resource management need to be invented and implemented.
A promising new conceptual approach to improved resource management is life
cycle thinking – the understanding that actions in one place may cause resource use
and emissions in many other places on earth. This new conceptual approach has led
to the development of LCA, a method to assess the overall environmental impacts
of products and services. While increasingly supporting the development of more
resource-efficient product and service systems, LCA has failed to support many
other areas where an improved resource management is important, for example,
organizations and infrastructure systems. For this, there is an urgent need to arrive at
improved information collection, accounting, and reporting practices. A recent more
popular concept is to discuss different footprints of human action. Several different
approaches to so-called footprint analyses have been discussed and promoted, such
as ecological footprints, water footprints, carbon footprints, and energy footprints.
The scientific stringency of these new approaches – as discussed within different
scientific disciplines – is, however, from an overarching industrial ecology point
of view many times doubtful. It is therefore necessary to develop scientifically
more stringent and quantitative metrics for footprints of different kinds, be they, for
example, energy footprints, carbon footprints, water footprints, nitrogen footprints,
phosphorus footprints, and others. These footprints could from a scientific point of
view very well be based on the principles for LCI (life cycle inventory) of material
and energy flows and stocks. Three primary candidates for increased footprinting
work should perhaps be energy, carbon, and water footprints.
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New Business Models for Sustainable
Development 47
Renate van Drimmelen
Abstract
This chapter provides an overview of various ways by which companies can earn
money with sustainable practices.
When a company turns to a more sustainable way of working, up-front
investments and cost often increase and products and markets change. Therefore,
it requires a shift to new business models. If the business model of the
company does not change, the company cannot expect to receive the rewards
of value creation, and the continuation of the activities might be threatened. The
challenge is to contribute to all three sustainability goals of the business model:
environmental goals, economic goals, and social goals. To do so is a challenge,
and not many companies manage to strike the right balance.
Section 2.3 provides examples of innovative business models that aim at
contributing to at least two out of these three goals. It also covers business models
that combine all three strategic goals. Business models are thus given to:
• Achieve economic and environmental goals
• Achieve economic and social goals
• Achieve economic, social and environmental goals
The category where social and environmental goals only are achieved can only
exist if funded by charity, public interest organizations, or government subsidies.
From a sustainable engineering perspective, business models that aim for
economic and environmental goals are the most interesting. Engineering can
especially contribute to a reduction of the environmental burden of companies.
R. van Drimmelen
Section Technology Dynamics & Sustainable Development, Delft University of Technology,
Delft, The Netherlands
e-mail: R.vandrimmelen@tudelft.nl

DOI 10.1007/978-1-4020-8939-8 53,
860 R. van Drimmelen
Business models are grouped into four categories, which correlate to the four
types of strategies a company can choose to implement sustainable practices:
• Eco-efficiency strategy
• Beyond compliance leadership strategy
• Eco-branding strategy
• Environmental cost leadership strategy
These are the existing sustainable business models. Sustainable value in-
novations are totally new strategies and business models, in which economic
and environmental goals are combined, that do not fit into any of the previous
strategies. New companies are often in a better position to go for a completely
new business model. Not being limited by existing protocols, they have the
opportunity to be really creative and think of new sustainable ways of making
money.
Section 2.4 illustrates, using stock market performance data, that new sustain-
able business models do not necessarily lead to better economic performance.
However, economic performance does not get any worse either. This makes
sustainable business models a serious alternative for companies.
Section 2.5 gives an insight on the role of governments in supporting
new business models for sustainable development. National governments have
economic, communicative, and legal policy instruments and can use these either
positively or negatively for specific business activities.
Section 2.6 focuses on public-private partnership as a successful policy tool
to support sustainable business models in large, mostly infrastructural, projects.
1 Introduction
For a company, contributing to sustainable development means focusing on long-

term value creation instead of focusing on short-term money making. The business
model serves as a plan to appropriate the rewards of that value creation.
The issue of sustainable development is on the agenda of more and more
companies, especially as a result of the recession that affected the global economy
between 2007 and 2010. Companies and the people within it aspire to create long-
term values while at the same time contributing to a better world for the generations
to come. This can be done not only by greening existing businesses, but also
by practicing sustainable entrepreneurship. This implies that a company not only
aims for economic goals, but also for environmental and social goals. Of course,
creating strong economic value to ensure corporate continuity is a main driver.
This implies not only making profits, but also aiming at other economic values
such as a strong market position and a healthy equity and solvency. Company
owners, however, increasingly realize that without dedicated strategies and measures
that improve the environmental and social performance of the company, there is a
risk of compromising on the economic goals. A lagging environmental and social
performance might easily backfire.
47 New Business Models for Sustainable Development 861
Financial aspects have been dominant in business, and still are, ever since the
abolishment of the guilds. In medieval guilds, admission to crafts was strongly
curbed and price competition was absent. The financial aspects of a craft business
were rather limited. Nowadays, financial aspects are important, but they are not the
only matter of concern. Since the 1960s, ecological and social goals have become
increasingly important. The argument was and is that the earth’s carrying capacity is
itself at risk, and a catastrophic breakdown of the climate and other natural systems
is possible. This would, in the longer term, affect the company itself and thus
challenge its continuity.
There have always been companies that were aware, or were made aware,
of the environmental and social impact of their activities. As a consequence of
this awareness or their direct dependence on natural resources, they adapted their
strategies and processes. For example, the medieval breweries in Delft made sure
that the canals were kept clean because they used the water from the canals to
brew their beer. Various social industrial experiments have taken place in which
entrepreneurs have aimed at developing the abilities of their workers and improving
their social conditions. Information on how sustainable technologies can contribute
to sustainable entrepreneurship is crucial. Implementing new technologies or
improving existing technologies, the concept of sustainable entrepreneurship can
be brought into practice. Examples of these sustainable technologies are:
• Renewable energy generation (including the production of energy from waste
heat)
• Materials recycling technologies (collection and sorting systems; burning timber
waste, reprocessing paper, plastics, and so on; reprocessing organic waste)
• Green product design and applying materials that minimize the environmental
burden of the life cycle of a product (zero-emission buildings, green products)
• Technologies that mitigate the environmental burden of other products (flue gas
cleaning, extracting CO2 to be used for horticulture)
• Products that promote or facilitate the reduction of environmental impacts,
aiming for long-term economic well-being and promoting social awareness
(measuring devices that display energy consumption and energy savings)
The market introduction or implementation of sustainable technologies can be
a large hurdle for companies. Many environmental-impact-reducing technologies
are available, and many would like to see such sustainable technologies being
implemented. But the payback times are not always competitive as compared
to traditional technologies, and risks and uncertainties will be higher, as new
technologies might still contain unknown flaws. The introduction of new products
often means entering new markets that are largely unknown. What legal and social
rules apply there?
To face this risk and/or to make the introduction of the sustainable technologies
possible, there is a need for the development of new business models that combine
a longer term economic perspective with improving social well-being and envi-
ronmental protection – a business model that seduces consumers and companies
to go for sustainable technologies, also referred to as green products and green
technologies.
People
Bearable Equitable
Sustainability
Planet Profit
Viable
Fig. 47.1 People, planet profit
The approach is also phrased as people, planet, profit, and alternatively known as
the Triple Bottom Line (TBL). Figure 47.1 illustrates this concept. It will be further
discussed, and brought into practice in the following sections.
To combine economic goals and sustainability goals is a complex task. Despite
its apparent clarity: Sustainability cannot be produced by bankrupt companies, and
companies cannot flourish by devastating the planet that provides labor, capital, and
material resources.
This chapter provides an overview of currently existing business models. It will
illustrate the models using many examples that hopefully will inspire the reader to
work with these new business models or even to develop new sustainable business
ideas.
Technology is not the only solution to the current sustainability challenges.
Various other measures might be taken by companies, but they will get less attention
here. An example of sustainable entrepreneurship that is not related to technology is
offered by the airline KLM: It collects unused frequent flyer points of its customers
and donates the value to charity programs.
The ideas of sustainable entrepreneurship have a large overlap with the ideas
referred to as corporate social responsibility (CSR). Under the title of CSR, an
international quality standard has been developed within the International Stan-
dardization Organization (ISO 26000 2010), although in 2010 it was still not used
for official certification. Figure 47.2 shows the seven subjects that this standard
focuses on.
As shown in Fig. 47.2, the ISO standard for CSR deals with a broad range
of topics. It not only contains human-social elements, but also compliance with
environmental issues. Consequently, the business that embraces CSR takes on the
responsibility for the impact of its activities on consumers, employees, communities,
the environment, and other stakeholders. Also, the business promotes public interest
by encouraging community growth and development, and by voluntarily eliminating
practices that harm the human and natural environment. CSR aims at supporting an
Social responsibility: core subjects
Holistic approach
4.4*
Community
4.3*
involvement
Human rights
and development
6.3* Organizational
6.3* 6.4*
Consumer ORGANIZATION Labour
issues practices
governance
6.6* 6.5*
Fair operating The environment
practices
Interdependence
Fig. 47.2 Social responsibility
organization’s mission as well as communicating what the organization stands for

to its stakeholders. The idea behind it is a more honest, more social, and a more
liveable business environment, based on fair trade.
An explicit part of CSR is the transparency of the business administration and
openness of the management toward the employees, for example, clarity in wage
distributions and in the decision-making process. Business accountants are asked
to control these transparencies besides their traditional accounting tasks, and check
their content as a separate volume of the annual business report (Bennett and James
1998).
To conclude, we have come across two terms in the preceding text, which are
defined as follows:
• Sustainable entrepreneurship that is mainly focused on the TBL: people, planet,
profit
Fig. 47.3 Sustainable

entrepreneurship and CSR Sustainable Entrepreneurship
Corporate Social Responsibility
• CSR that is mainly focused on the responsibility of a company toward wider

stakeholder groups than customers, stockholders, and personnel
Sometimes CSR is seen as part of sustainable entrepreneurship, filling in the
social component only, but the two definitions are often used interchangeably. The
difference between the two is hard to pinpoint. Actually, the differences are futile. It
is a matter of definition and the use of the terms depends on the purpose of the user
(see Fig. 47.3).
2 Sustainable Business Models
2.1 The Strategic Choice for Sustainable Entrepreneurship
Sustainable entrepreneurship is a company strategy in which companies simultane-

ously aim for three main goals:
• Long-term profitability goals: Simply put, if this goal is not met, the company
will cease to exist.
• Long-term ecological goals: With modern legislations and proper penalty sys-
tems, companies have to be aware that noncompliance with regulations might
also imply the end of their existence.
• Long-term societal goals: If a company misjudges any impact of its product
and/or behavior, tough times may lie ahead as well: markets might vanish by
a ruined public image, social conflict might arise or the company might be
confronted with liability claims.
None of these goals can be neglected. Traditional companies tend to focus only
on short-term return on investment, which makes them laggards in regard to new
environmental legislation and in regard to the growing green market segment. The
pressure of the stock market plays an important role here. Short-term profitability
determines stock price. Family businesses often tend to have somewhat more long-
term strategies, as the family property has to be turned over to the next generation
in a good condition.
In Fig. 47.4, the importance of sustainable entrepreneurship is visualized as a
model, with suggestive items that indicate the pathway to become a green company.
Examples for each of the items are given for greenhouse horticulture companies.
• Light Pollution
• Legal workforces
• Education
• Ergonomics
• Charity
• Transparency
• Fair salaries
Social
• Energy savings Bearable Equitable

• Depletion of oil and gas
Sustainable • Company efficiency
• Insecticides
• Turnover
• Recycling waste water Environment Economic • Profit
• Recycling rock wool etc. Viable
Fig. 47.4 Goals for a company to aim for while practicing sustainable entrepreneurship (examples
are given for greenhouse horticulture)
As can be seen in Fig. 47.4, combinations of goals need to be found to make

the company really sustainable, and thus so bearable, viable, and equitable at the
same time. It is a challenge, but these goals can often be reconciled if one takes into
account that sustainable alternatives have various advantages. These are:
• It will create direct value by reducing energy costs and reduced waste pro-
cessing costs, and by avoiding pollution taxes that embraces CSR embraces
responsibility.
• It will stimulate learning and innovation.
• It will diminish vulnerability regarding future energy costs and other material
costs as one would consume less.
• It will be the basis for a sound and positive reputation.
• It might result in a stronger company spirit and a collective company goal
improving the company’s synergy.
• It will facilitate the acquirement of licenses.
• Last but not least, it will lead to more employee satisfaction. It can fulfill
people’s desire for good citizenship. Personal motivation of management and
other employees can increase, improving social behavior and other business
results.
2.2 What is a Business Model?
This term is often used these days, but has no clear explicit definition. In this chapter,
the following definition is used:
A business model describes the rationale of how an organization creates,
delivers, and captures value – economic, social, and environmental or other forms of
value (Osterwalder and Pigneur 2009). The process of business model design is, as
explained in the previous section, part of business strategy. The business model takes
into account purpose, offerings, strategies, infrastructure, organizational structures,
trading practices, and operational processes and policies. A business model refers
to the total setup of a company, its position in the market and how it creates value
in terms of money and other values in the shorter and longer term. So how does
this combine with sustainability? This will be further explained in the following
sections.
2.3 From Sustainable Entrepreneurship to a Sustainable

Business Model
Before a company can develop a business model, the company strategy has to first
be devised. Naturally, when sustainable entrepreneurship is what is aimed for, this
strategy should be of a sustainable character as well and should be formulated
around the three values – economic, ecologic, and social. The challenge is to
combine these three values in such a way that they reinforce each other and do not
deteriorate. The following sections explain how these three values can be combined.
First, business models are analyzed based on a pair of two values, and then business
models that aim at combining all three values leading to complete sustainable
business models are analyzed.
2.3.1 Business Models Combining Ecological and Economic Goals

When ecological and economic goals are combined in a company, various strategies
can be followed. Figure 47.2 presents these strategies.
Figure 47.5 Strategies for combining ecological and economic goals (Orsato
2009). For each of these strategies, business models can be designed.
Companies can choose between a cost reduction strategy and a differentiation
strategy to distinguish themselves from their competitors. This can be seen on the
left-hand side of the figure.
For cost reduction, the next choice is to go for green processes (eco-efficiency
strategy) or for green products (environmental cost leadership). Combinations
can be made, but generally the more a company focuses the better the market
understands and accepts it.
When the choice is to differentiate, a company can go for smart process
improvements, leading to structurally less pollution that goes beyond compliance
(so more is done than required by law) and show off with it. This is called
the “beyond compliance leadership” strategy. If the same is done for products, a
company develops and sells a product that is structurally more environmentally
benign than the alternatives. This can be used as a unique selling point. This is called
the eco-branding strategy. With beyond compliance strategies, companies can spin
their investments in greening internal processes into external reputational advantage.
When a new company is created that aims at delivering all its products and
services in a fundamentally new way (not an adaption of existing business models)
leading to drastically reduced environmental burden, this is called “sustainable value
SUSTAINABLE STRATEGIES
FOUR STRATEGIC CHOICES NEW CONCEPT
ENVIRONMENTAL
REDUCING COSTS ECO-EFFICIENCY
COST LEADERSHIP
SUSTAINABLE
VALUE
INNOVATION
BEYOND
DIFFERENTIATING COMPLIANCE ECO-BRANDING
LEADERSHIP
PROCESS PRODUCT
Fig. 47.5 Strategies for combining ecological and economical goals (Orsato 2009). For each of
these strategies, business models can be designed
innovation.” Below, these strategies are elaborated and further examples of business
models for each strategy are given.
As mentioned earlier, there are four strategic directions that a company can adapt.
These are further explained in the following and examples are given.
(a) Eco-efficiency business models
The eco-efficiency strategy is basically a cost reduction strategy. It implies
economizing on internal operations. Direct cost savings are achieved by using
less resources and by polluting less, thus saving on purchases and pollution
taxes, respectively.
Examples of eco-efficiency business models are:
• Greenhouse horticulturists in the Netherlands (flower or vegetable growers
that use extensive lighting to make their products grow faster) have been
implementing technologies like heat and electricity cogeneration in combi-
nation with heat buffering tanks in their greenhouses. Waste heat can be used
and electricity generated more or less independently. In the Netherlands,
cogeneration has been stimulated extensively by the government, making
it economically attractive to implement such a technology. Relatively high
electricity prices and relatively low natural gas prices make this eco-efficient
technology the most economically attractive option for heating greenhouses
as long as the relative energy prices for electricity and gas (so-called spark
spread) remain large enough.
• JC Deceaux, a leading outdoor advertising company, aims to optimize the use
of natural resources, by closely managing its consumption of water, energy,
and detergents used for cleaning of its outdoor furniture and by using outdoor
furniture that can easily be recycled. The company pays particular attention
to the choice of its suppliers on the basis of economic as well as qualitative,

environmental, or ethical values. Regular audits are carried out.
(b) Beyond Compliance Leadership business models
The beyond compliance leadership strategy is a differentiation strategy. The
core of the strategy is transforming the green investments into reputational
advantages.
Examples of beyond compliance leadership business models are:
• Asphalt production plants: Although innovation in asphalt production is
slow, some production companies are distinguishing themselves from others
by producing cleaner asphalt. They use production processes that are less
energy intensive by using waste heat or by producing asphalt at lower
temperatures. Their customers are mainly public authorities who often have
green purchasing policies and sometimes are willing to pay more for a green
product. Companies that, for example, produce asphalt that is based on a
larger percentage of recycled material have a competitive advantage.
• 3M is a US based multinational company producing a wide range of products
for a.o. health care and highway safety, office products, and abrasives
and adhesives. In 1975, the company started its Pollution Prevention Pays
(3P) program depending on voluntary participation of employees. Due to
this program, over the past 34 years, emissions of 1.4 billion kilos of
pollutants were avoided. The 3P program helps to prevent pollution at the
source – in products and manufacturing processes – rather than removing it
after it has been created. When 3P was launched, the concept of applying
pollution prevention on a companywide basis and documenting the results
was an industry first. The 3P project was updated in 2002 to provide more
opportunities for participation of employees.
• Air traffic companies using airplanes that are more energy efficient, less
polluting, and more silent than required by law. The Dutch KLM is one
of the leading companies in the Dow Jones Sustainability Index (DJSI). It
leads to operational cost reduction, but goes beyond that. Boeing and Airbus
also compete to provide lowest operating cost planes, which is virtually
equivalent to lowest fuel consumption per passenger per kilometer.
An alternative way for companies to get a reputational advantage is by
joining Green Clubs, for example, signing up to voluntary industry/NGO
standards such as GRI, ISO14000, CDP, or by joining a more exclusive
club such as Ceres’ BICEP or Pew’s BELC. Firms can get value in terms
of brand and reputation, as well as influencing standards and regulations,
but it is suggested that the primary value is defensive, to avoid criticism
and campaigns of opponents. It might be that club joiners are the dirtiest
companies looking to get a free ride from club membership (Orsato 2009).
(c) Eco-branding business models
Eco-branding is, like the previous one, a differentiation strategy. Differentiation
can be achieved by introducing cleaner products in the market. If the improved
environmental performance is hardly noticeable for the customer, the use of
eco-labels is crucial to certify environmental claims. This strategy may be
extremely expensive and may sometimes result in rather limited value for
customers.
Examples of eco-branding business models are:
• Hybrid cars with increased fuel efficiency. Toyota set a trend by introducing
the Toyota Prius into the market. Although analysis shows that, including
the environmental harm of mining the heavy metals that are used for the
batteries, the car is equally or even less clean than a fuel-efficient diesel car,
it is recognized by the customer as a green product.
• Tetra Pak, a multinational company based in Sweden, has increased the
recyclability of its drinking containers and uses materials with a low envi-
ronmental impact. The company clearly uses the environmental friendliness
of their product as an important selling argument.
• MarQt is a supermarket that sells biological food. Located at the center of
Amsterdam, it wears a modern look with its environmental friendliness.
It attracts customers with a conscious and trendy lifestyle and combines
the ease of supermarkets with an assortment of environmentally sound
products.
• Interface carpet tiles. By using environment-friendly glues, yarn, transport
methods and dyes, they differentiate themselves from their competitors. Also
they lease out their tiles, making recycling of the tiles easier.
• Ecowasbol. This product is made of ceramic material, and if washing powder
for washing machines is put in it before being put in the washing machine,
it saves up to 50% of washing powder. The special thing about this business
model is that it is sold only via exclusive market channels. There is only
one trendy shop in Amsterdam where it can be bought, which gives it
exclusivity.
(d) Environmental Cost Leadership business models
Environmental cost leadership is a cost reduction strategy that goes a step
beyond the eco-efficiency strategy. It competes explicitly with other companies
by offering the cheapest products that are produced on its own terms. These
extremely low operating costs can be achieved by completely dematerializing
the product or service. Some examples are:
• Various companies producing notebooks made of recycled paper.
• Various companies producing gray toilet paper.
• Various companies producing LED lights for bicycles. These are very cheap
and super low on electricity use.
• Walmart with simple and straightforward but drastic environmental goals: To
be supplied 100% by renewable energy; to create zero waste, to sell products
that sustain people and the environment.
Business Models for Real Sustainable Value Innovation

To make a real leap in the environmental impact of a company’s activities and
products, all strategies above are usually not enough. They all imply the gradual
improvement of an existing product or service.
Sustainable value innovation is a stimulating strategy. Looking at the definition

of a business model in Sect. 2.2 it can include a new product or service, but also
a new company purpose, a different infrastructure, other organizational structures,
other trading practices, and other operational processes and policies. Examples of
business models for sustainable value innovation are:
• Companies selling Brazilian ethanol biofuel from sugar cane. When this was
introduced, it had clear strategic advantages over corn-based ethanol: Brazil’s
sugarcane-based industry, requiring a tropical or subtropical climate, is far more
efficient than the US corn-based industry. Production of ethanol from corn is five
to six times less efficient than producing it from sugarcane. Ethanol production
from corn is highly dependent on subsidies, and it consumes a food crop to
produce fuel.
• BreedofBuilds offering a combination of engineering capacity and investment
capital. The company offers joint development of energy projects with industry,
bringing in capital and technical know-how. As energy shareholder, the company
accepts longer pay back times than usual in industry.
• Rabobank offering green mortgages. These mortgages are integrated with the
energy consumption of a house, facilitating eco-efficient improvements like
double-glazing and thermal wall insulation.
• Philips offering LED lighting combined with a loan used for the purchase. The
loan is paid back with the money saved by energy savings.
• Octalix offering a building energy and comfort management system. This
system controls the climate, but also monitors exactly how much energy savings
are achieved in the building by control functions like switching off lights,
temperature control per room, etc.
• Greenwheels offering car sharing. The customer pays for a car only when it is
used.
• Internet trade platforms selling used products. Before the Internet could offer
this functionality, many products were thrown away and destroyed. Now many
products get a second life.
• Thermo Bello in Culemborg (Netherlands) offering the inhabitants of the village
their own private energy installation extracting energy from groundwater. By
making the inhabitants also the owners of the installation they accept more easily
the up-front investments that green energy needs.
• Selling high-quality videoconferencing at an airport instead of airplane tickets.
• Empress offering to reduce energy usage at other companies. The company earns
its money by receiving part of the savings that have been achieved on the energy
bill of its customers (Dobes 2010).
2.3.2 Business Models Combining Social and Economic Goals

Social values can be explicitly included in the company strategy and in the business
model and also combined with economic values. Most of the time, these business
model elements are translated into company programs (like a healthcare plan) and
costs are kept in balance with the main operational costs.
Examples of social elements that can be included in business models are:
• Wages, worker education, health-care, affordable housing. This leads to in-

creased employee satisfaction, leading to less people leaving the company, less
strikes, less recruitment cost, and less cost to retain employees. Thus, overall
there is also economic benefit.
• Workplace safety and local resident’s safety (risk management). This leads to
fewer accidents and less illnesses, which implies less cost in payments for sick
leaves.
• Maintenance of local environmental/ecological quality. This leads to fewer
claims of health damages by the people living around the plant. Thus, again there
is economic advantage.
• Local employment, and support for the local community. This leads to higher
chances of getting the required licenses for operating the company and easier
procedures to get the licenses without political and legal conflict with the
neighbors of the company. There will also be less recruiting cost. Thus, overall
there are economic advantages.
• Transparent management and decision making and stakeholder dialogues. This
leads to trust of the shareholders in the company, which leads to better stock
market prices.
• Compliance with laws, company ethics, and norms, also leading to cost
reductions.
All of these business model elements lead to a better public image, which in turn
leads to more sales and profits. The fact that companies have social goals implies
that they maintain relations of a social character: sharing mentality, knowledge, and
benefits. Naturally, one of the aims goal is to be economically healthy, but not
a lesser aim is to reach social goals, which in turn will result in a good social
atmosphere, with possibly positive economic consequences, like employee and
consumer loyalty.
Examples of business models combining social and economic goals are:
• KLM collecting unused frequent flying points and giving its value to charity
programs. KLM is improving its company image by doing so.
• Douwe Egberts/Sara Lee selling coffee with a Fair-trade quality label. The coffee
is sold for a higher price than regular coffee, but the coffee farmer gets paid
a decent salary. Consumers are happy to pay more for the product and Douwe
Egberts makes a good profit.
2.3.3 Business Models Combining Social and Environmental Goals

Combinations of social and environmental goals are actually made in many
companies. As the profit element is not considered here, this often concerns charity
organizations or typical nonprofit organizations.
Examples of business models where social and environmental goals are com-
bined are:
• NICE – next-door Internet centers in Gambia. They are solar powered. These
Internet education centers can only be operated by Dutch subsidies and charity.
• Development programs in the Amazon rainforest, aiming at giving indigenous

people a better life and at the same time trying to save the rain forest from being
destroyed (Prahalad 2004).
2.3.4 Business Models Combining All Three Goals: Economic,

Environmental, and Social
Naturally, the best business model would be a business model that contributes to all
three sustainability goals: good profit, less or no damage to the environment, and
better social circumstances.
Be aware that there are many companies that sell products and claim that they
contribute to a better environment and better social circumstances. But this is not
the same. Most companies imply that they do their best not to do too much harm
to the environment and social circumstances. This is, however, different from really
integrating the three goals into the business model. From such a business model,
besides making profit, the environmental and social conditions really should get
better.
The complex identity of the general problem has to be simplified to a company’s
specific layout. To take the economic, ecological, and last but not least, the social
goals into account, a company will have to comply with laws and puzzle with
investments; to improve the social and ecological benefits. It is a big and noble
challenge that can be easily attacked by exchanging experiences and investigations.
But who goes first, and who wants to follow?
It is a challenge to find good examples. Some companies that have come close
to having a business model where social, environmental, and economic goals are
combined are:
• IKEA, which uses its environmental impact reduction actions to reduce cost to
the extreme. All packaging is minimized in terms of materials and transport
volume. The product designs are based on a minimum use of materials and the
use of environment friendly materials. Besides, they have a range of products
of which part of the sales prices is donated to charity, and some products are
produced in poorer countries as part of social development programs. These
measures aim not only at improving corporate image, but also directly increasing
sales and profits (IKEA 2010).
• Ragbag, which produces and sells bags made of recycled plastics. The plastics
are collected at landfills in India, and the bags are also produced in India. It gives
people living in India a fair income.
2.4 Are Companies with Sustainable Business Models

Performing Better?
There have been several attempts to measure the performance of sustainable versus
not-sustainable companies over the past decades. One well-known attempt is the
evaluation of the financial performance of the companies that are in the DJSI. The
DJSI is made up by the average stock market values of a subgroup of companies
300 00
DJSI World (in EUR)
200 00
DJGI World (in EUR)
200 00
100 00
48% DJSI
100 00 24% DJGI
00 00
12/93 6/94 12/94 6/95 12/95 6/96 12/96 6/97 12/97 6/98 12/98 6/99 12/99 6/00 12/00 6/01 12/01 6/02 12/02
Fig. 47.6 Dow Jones Sustainability Index. Comparison between the Dow Jones General Index
and Dow Jones Sustainability Index
120
100
80
60
DJSI World 80 (EUR, TR)
Dow Jones Global Titans 50 Index (EUR, TR)
40
Aug- Oct- Dec- Feb- Apr- Jun- Aug- Oct- Dec- Feb- Apr- Jun- Aug-
08 08 08 09 09 09 09 09 09 10 10 10 10
Fig. 47.7 DJSI World 80–Performance. Since Launch, 08/09–08/10 (EUR, Total Return)
claiming to be sustainable. Figures 47.6 and 47.7 show the DJSI for the first years
after its launch and its more recent results (Dow Jones Sustainability Indexes 2010).
Figure 47.6 illustrates that during a long period the participating companies
were indeed outperforming their peers in terms of shareholder value. However, the
gap has been narrowing since 1999. Nowadays, there is no significant difference
between the DJSI and the general Dow Jones index (see Fig. 47.7). Differences are
mainly due to over- and underrepresentation of certain sectors in the DJSI. There is
neither evidence that sustainability is just a cost factor, nor that it brings business
success within a decade.
2.5 Role of Governments in the Shift Towards New Sustainable

Business Models
In its simplicity, it may be concluded that sustainable entrepreneurship at present

consists of adding societal goals to business models with economic and ecological
goals. As it is not, or not yet, always possible to implement green technologies or

products without compromising economic or social goals, governments have to play
a role. Sustainable development is about the common good. A tension between the
common good and company interests cannot always be prevented. Lawmaking is
bound by general principles (generally applicable, equality of actors, controllability
and feasibility of laws) that often prevent governments from endorsing the optimum
solutions that companies favor.
Sustainable development of a country might well be the basis of its international
trade policies, and the more countries that agree to such strategies, the better the
basis to discuss international sustainability problems.
Governments have several policy options to accelerate the transition of compa-
nies toward sustainable business models. These are outlined in the table below:
Type of measure Constraining Stimulating

Economic Fine/Tax Subsidize
Communicative Propaganda Inform
Legal Prohibit Order
The former minister of environmental affairs in the Netherlands, Mr. Winsemius,

called the choice between these policy instruments a choice between “the carrot, a
sermon or the whip.”
The measures generally speak for themselves and do not need any further
explanation. However, there are some specific measures that are worth explaining
further and have been elaborated on in the next sections.
2.5.1 Emission Trading Systems

Emission trading is the ultimate measure to fully integrate the environmental
regulation with market economy principles. The extra value gained by reducing
emissions is regularly used to make business models, leading to less environmental
pollution, feasible.
The price of emissions is based on demand and supply. Governments might
gradually decrease or increase emission rights. This might be used to put pressure
on emitters, that is, limit the greenhouse gas emissions from industry. The scarcer
the emission certificates get, the higher its price.
Emission trading systems have been implemented in several countries for various
industrial sectors. In these sectors, the government has set a limit on the amount of
pollutant that can be emitted. The limit (or cap) is allocated or sold to firms in the
form of emissions permits, which represent the right to emit or discharge a specific
volume of the specified pollutant. Firms are required to hold a number of permits
(or carbon credits) equivalent to their emissions.
If an industry wants to increase its emissions, it needs to buy permits from
other industries that do not use their permits. This has resulted in official emission
trading systems. Governments are pushing more and more industries into this
trading system. The largest trading platform is the European Union Emission
Trading Scheme. Trading of CO2 emission permits is well known. In the USA, there
is also a national market to reduce acid rain and several regional markets in nitrogen
oxides. Markets for other pollutants tend to be smaller and more localized.
In 2005, 374 million metric tonnes of carbon dioxide equivalent (tCO2 e) were
exchanged through projects, a 240% increase relative to 2004 (110 mtCO2 e) which
was itself a 41% increase relative to 2003 (78 mtCO2 e). The first emission trading
systems were introduced in the USA during the 1990s after a period of simulation
and testing and have extended to other countries and other industrial sectors ever
since.
2.5.2 Green Energy Subsidies

Another accepted way to make business models, leading to a more social or
environment friendly product or service, economically viable is by using subsidies.
Many initiatives would never have been executed if not supported by governmental
subsidies.
Quite often governments face the problem that subsidies are not properly used, or
are used for activities that a company was pursuing already. Subsidies also remain
unused as they might be insufficient to make a new business activity profitable, or
they are regarded as too insecure to be the foundation for a business plan. Subsidy
programs for investments in renewable energy that required longer pay-back times
were changed with every new administration (i.e., every few years). This implies
a tremendous risk for renewable energy companies who make use of it. When the
subsidy stops, the initial investment (in training of personnel, know–how, etc.) might
be almost entirely lost.
For this reason, Germany adopted a law in 1979 prescribing a green electricity
feed in tariff. Especially photovoltaic solar-energy facilities – mostly rooftop
installations – are supported with feed-in rates that guarantee minimum prices for
the electricity they generate. As a result, the amount of subsidies paid by these
higher feed-in tariffs is now far greater than estimated when the regime was put in
place. In 2009, the Rheinisch-Westfälische Institut für Wirtschaftsforschung (RWI)
projected that the costs of solar subsidies could reach an accumulated e77 billion by
2013, as much as e11 billion more than expected. In July, the German government
decided to cut solar subsidies on new capacity by as much as 16% in two steps to
curb this rapid expansion and help keep costs from spiraling out of control. These
new reductions in subsidies are in addition to the normal annual cuts in feed-in rates.
For companies, investment subsidies are more attractive in that respect.
2.5.3 Covenants
In the 1990s, “covenants” were made between government and industry to reduce
industrial pollution. A covenant is a solemn promise to engage in or refrain from a
specified action. The reason for using these covenants was that the existing system
of licenses and fines was not effective enough.
These covenants did have some effect, but the sense of urgency was not enough
to really achieve the proposed changes that were aimed for. To overcome this, in
most covenants, over time a deadline was included. If the pollution reduction had
not been reached before the deadline, other governmental measures would follow.
This threat pushed the industry more, although it was not certain that the threat
would actually be implemented.
An example is the litter reduction covenant in the Netherlands. It was signed
in 2002 and was in effect until the end of 2005. It stated: “Industry will introduce
packaging innovations aimed at controlling and reducing litter” (Weever 2006). As
the Dutch government threatened to introduce a deposit system on small plastic
bottles and beverage cans if litter reduction was not achieved, the covenant on
littering initiated a lot of activity from the packaging industry. It mainly resulted
in communication actions to stimulate civilians not to throw their trash on the
streets.
Covenants do not directly lead to new business models, but at least they make
existing business models of all industries in the same sector more sustainable. As
the whole sector contributes, it creates a level playing field. If the sector is not
sufficiently organized, free riders could frustrate the execution of the covenant.
2.6 Public-Private Partnership
For some transitions toward a sustainable way of living and working, governmental
investments play a major role. Examples are drilling for deep geothermal heat,
waste heat infrastructures, off-shore wind parks, and the development of fuel cells.
The investments in such projects are high and payback times are unacceptable for
industries. On the other hand, the government cannot realize these projects by itself.
The required knowledge is not available within governments, but is more likely to
be found within industries. And in relation, it would not be wise for governments to
carry the risk alone.
There was a clear need for a new business model as problems occurred with tradi-
tional ways of handling large infrastructure projects, especially the ones outsourced
by the government in the Netherlands in the 1980s and 1990s. Because of a lack of
control, prices paid to contractors were too high. Thus, as a solution to this problem,
between 1990 and 2010, new ways of collaboration have been developed and
introduced – the so-called public-private partnerships (PPPs). Positive experiences
have been built up over the last years with these models.
A general definition is:
A Public-Private Partnership (PPP) is a collaboration between the public and the private
sector, while maintaining own identity and responsibility, in order to realize a project with
a clear division of tasks and risks (EU Green Paper 2004).
This means, practically speaking, that a private company operates a technological

system within the boundaries set by a public organization dealing with the well-
being of humans and the natural environment.
Evidence has shown that the private sector performs better than government
institutions in terms of construction costs and time, operation, and customer service.
It also creates new market opportunities, knowledge, and investment options.
PPP CONCEPT
CONTROL EXECUTION
CONTRACT
PUBLIC PRIVATE
ORGANIZATION COMPANY
SOCIAL GOALS CONSTRUCTION

COST REDUCTION OPERATION
QUALITY INCREASE CUSTOMER SERVICE
REACH VALUE FOR MONEY

EXPLOIT SYNERGIES
Fig. 47.8 Public-private partnership
The public sector, on the other hand, realizes social goals and creates an opportunity
to reduce project costs and increase quality.
A PPP project is characterized by an optimized risk allocation and a holistic life
cycle approach. For example, a guaranteed performance of a public road might be
delivered via proper maintenance. The task to maintain that road can often be best
allocated to the private sector.
Also, financing might be a service that a private contractor can deliver to the
public sector in times of crisis when national governments put budgets on hold.
The goals of a PPP are to reach value for money both in providing public
services and in private commerce. Synergies might be found and exploited in the
joint innovative use of resources and knowledge (see Fig. 47.8).
To make public-private partnership projects viable, it is of key importance to act
in a transparent manner, establish mutual trust and complementary goals, and avoid
a strong interdependency of actors as that could lead to unfair business practices.
Further conditions to form public-private partnerships are a good distribution of
risks, clear separation of responsibility and authority, and a market- and success-
oriented thinking. In function, a PPP should have a reliable image and create a sound
revenue flow.
Despite the wide recognition of the superior results of PPPs, it is not the dominant
method in the procurement of governmental infrastructure projects. The main reason
for this is that the small private developers are often not capable of covering the large
financial debt and the large private developers rather work unaccompanied.
3 Summary
How to earn money with sustainable development? Many companies nowadays

succeed in making sustainability their strategy toward success. “Sustainable
entrepreneurship” is introduced as the name for this strategy. Sustainability is a
strategic choice of companies to reach three different goals in parallel: economic
goals, ecological goals, and societal goals. None of them can be omitted.
• If economic goals are not met, the company will vanish.
• If ecological goals are not met, the company may also vanish as it runs the
risk of high penalties, the introduction of new legislation that outlaws corporate
activities, or customers that do not accept the environmental unfriendly products
anymore.
• If societal goals are not met, the company may also vanish as it may become the
focal point of social conflict, or it might be hit by a market that does not accept
the corporate behavior.
This chapter discusses the advantages and disadvantages of sustainable en-
trepreneurship and the models that might shape it. It stimulates efficiency, brings
down emission- and waste-removal costs, stimulates innovation, mitigates risks,
contributes to a better reputation, contributes to a strategic focus, and might be
helpful in acquiring licenses. Disadvantages might be higher up-front investments,
limited returns, necessity to initiate a learning process, and the extra managerial
efforts that are needed as with all innovations.
For some sustainability strategies, the company might need new business models:
Leasing might persuade users to go for sustainable solutions that require
high investment costs. PPPs are required if the main sustainability results are of
great public value. Outsourcing might be important if a business activity requires
specialized knowledge. New mortgage and loan systems might facilitate higher up-
front investments in energy efficiency. A bottom of the pyramid strategy might turn
poor people to customers while providing them with the means to acquire income
thereby both improving local livelihood and business prospects (Prahalad 2004).
Innovation in business models will continue as sustainable development and
the growing complexity of the globalized society require new forms of economic
organization. There is no ideal business model. Like technological innovation,
business model innovation requires creativity and ingenuity, which are key elements
in the search for sustainable development.
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Strategies for Sustainable Technologies:
Innovation in Systems, Products, and 48
Services
Karel F. Mulder
Abstract
Engineering is about designing efficient products, processes, and systems. But
if it is not so clear which products, processes, or systems will provide the
most sustainable solutions to the current challenges, engineering efficiency is a
dangerous thing as the wrong things might be designed efficiently, which might
make things worse at the end! The question is what to design to contribute to SD.
Raising this issue might easily lead to a long treatise of definitions of SD.
But clearly SD is an issue that depends on place and time: Contagious diseases,
suppression, and starvation were for long the most pressing sustainability issues.
Now resource depletion, climate change, and inequity appear to be much more
important articulations of sustainability.
To work as an engineer on the whole concept of SD is too encompassing.
More specific articulations of SD, like “energy efficiency,” “zero waste,” and
“accessible for all” could be guiding principles for engineering design. However,
one should be aware not to identify one single SD articulation as the essence
of sustainability. Various articulations of SD always play a role, and dilemmas
between these SD articulations might occur.
A fundamental question is whether an engineer, by consciously altering
a design to make it contribute more to SD, can change the main stream of
technology in a sustainable direction. Many attempts to change the main stream
of engineering design failed. Can anybody actually influence the course of
technology, or are engineers forced to move along in the mainstream of techno-
scientific progress? For long, this has been a heavily debated issue in the history
and philosophy of technology.
K.F. Mulder
e-mail: K.F.Mulder@tudelft.nl

DOI 10.1007/978-1-4020-8939-8 34,
882 K.F. Mulder
There are various mechanisms that limit designers from successfully

introducing radically new designs. However, under some specific conditions,
radically new technological options might be rapidly introduced. Can these
transitions be stimulated and managed: Can large-scale and radical socio-
technical systems changes be guided in desired directions? Or do these historic
transitions just happen more or less coincidentally?
Development of new technologies is no longer an individual endeavor. The
time of the great inventors is over. An innovation takes not just research and
design, but also well educated staff, entrepreneurial facilities, adjacent technolo-
gies, market development, and political support. The technological innovation
systems approach systematically analyzes what it takes to produce innovations
and be regionally successful with it. Currently, various regions of the world aim
at becoming the high-tech area that produces the solutions for climate change
and the energy crisis. Which regions will be the winners that are able to produce
the sustainable technologies of the future?
1 Introduction: The Need for a Technology Strategy
In our time, new technologies are rarely created by a single person. Successful
innovation is often not even just a matter of a single company. It often takes
customer supplier-cooperation, e.g., when new materials are applied to make lighter
or cheaper products or public-private cooperation when infrastructures have to adapt
to facilitate a new technology. Innovation might fail by many reasons that reside
outside the company. Moreover, decisions regarding the development of a new
technology can have far-reaching consequences.
For a company, success in developing a new technology might create the know-
how base and the market position to achieve more successes and become the leader
in that technological area. For society at large the choice of specific standardized
technologies is almost irreversible.
The means for innovation are limited. Research and development are expensive
and so are the costs of innovation failures that will undoubtedly occur. Societies
need to make strategic choices in order to contribute optimally to sustainable
development. Choices have to be made regarding:
1. Prioritization of problems
2. The time frame in which solutions are required
3. The most promising technological way to solve problems: by changing complete
socio-technological systems, technological components, or parts
4. Dilemmas regarding (unintended and unforeseen) side effects that are attached
to various technological solutions
Without being aware of the choices that are behind our efforts to innovate for SD,
innovation intended to support SD could turn out to counteract it.
48 Strategies for Sustainable Technologies 883
2 Sustainable Development as a Challenge for Technology
2.1 Articulations of Sustainable Development
Sustainable development is not one thing, it is many things. The principle of

sustainable development, providing for all on this planet, now and in the future,
leads to various more concrete goals for engineers: Closing materials loops,
providing energy from renewable sources, and cutting pollution are rather concrete
goals. Engineers could easily work on them. But part of sustainable development is
also that the technological systems are safe, do facilitate development processes to
create more equity, and do not destroy ecosystems. These more specified demands
are articulations of sustainable development. For engineers articulations of SD are
crucial as they allow setting doable targets for engineering design. But various
articulations of SD are not well aligned. They might sometimes create dilemmas:
Nuclear power stations create electricity with low levels of CO2 emissions, but
create long-lasting waste and create a safety risk. Hydropower is renewable energy,
but often not CO2 free and might devastate river basin ecosystems. Biofuels
close the carbon cycle, but their cultivation might be a threat to food production
and an incentive to convert natural ecosystems to agricultural land. All of these
energy technologies might be called sustainable ánd unsustainable. Sustainable
development creates many dilemmas for technology development. But given the
magnitude of the challenges, the choice on these dilemmas should be made
publicly and transparently. It is a political choice if safety or ecosystems should
be compromised to produce CO2 free energy. And of course the real challenge is
to turn these dilemmas into paradoxes, i.e., developing innovative technology that
could contribute to all articulations of SD (Mulder et al. 2011).
2.2 Incremental Innovation and Radical Innovation for SD
“Normal innovation” is very often not as exciting as one thinks reading the
many stories of the great inventors. The images of innovators that are painted by
the glorious stories on inventions do not represent the day-to-day praxis of the
laboratory. “Normal innovation” is generally incremental. It aims at improving
existing technologies by small modifications, removing “bugs” from the production
process, or in general improving efficiency. Incremental innovations are often
almost unnoticeable improvements of details. However, over a longer period, these
small improvements accumulate to significant improvements. For example the
fuel efficiency gains in civil aviation were between 1960 and 1980 in total about
55–67%, between 1980 and 2000 in total about 20–26%. One expects that another
20–26% can be achieved until 2040 (Peeters et al. 2005). The energy efficiency
884 K.F. Mulder
gains of a car are even lower. The energy efficiency of cars improved between 1972
and 2000 with 30% at maximum (Kwon 2006).
If one relates these efficiency improvements to the sustainability challenges that
the world is facing, it is quite clear that the required improvements will not be
produced.
In the early 1970s, scientists debated which factors mainly contributed to
the environmental problems: consumption growth, overpopulation, or the state of
technology. Ehrlich and Holdren (1971) formulated a relationship between these
factors, the so-called IPAT equation:
IDP*A*T (48.1)
I = Total environmental impact of mankind on the planet

P = Population
A = Affluence, number of products or services consumed per person, i.e., for
economists the annual gross national product per capita
T = Environmental impact per unit of product/service consumed. T is often
called the factor “technology efficiency.” However T diminishes as technologies
become more efficient. Moreover, T also includes more or less non-technological
issues like product reuse and the organization of production.
This IPAT equation gives more clarity regarding the magnitude of technological
efficiency improvements that have to be achieved. Comparing the situation in 2000
with the one in 2050, an estimate for the required improvement in the T factor can
be inferred.
• Environmental impact. Our current use of natural resources is unsustainable.
Suppose a goal of cutting it by half.
• Population growth has been exponential. In the year 2000, world population
was approximately six billion. In the past decade, population growth rates have
been declining. This is especially due to the devastating effects of the HIV/AIDS
epidemic. Not only is the direct death toll important, but also and especially the
fact that youngsters do not reach the age of reproduction. Population growth is
hardly affected by wars. Only long-term demographic policies might stabilize
the global population. The global population in the year 2050 is predicted to
be between 8 and 11 billion people. Therefore, a rough estimate of population
growth is a factor of 1.5.
• Affluence. The economies of the rich world are growing on average by 2%
annually. Over a 50-year period this implies a growth factor of 2.7. In order
to reach a more equitable world, the developing nations need to grow by 7.8%
annually. The combined consumption of rich and poor countries will then be 10.8
times the starting level.
If the I factor should be halved, P grows by 50%, and A grows by a factor of
10.8, then T should be 32.4 times reduced, i.e., technology should be 32.4 times
more environmentally efficient than it is today (Mulder 2006).
Based on similar analyses, several authors argued in favor of radical or systems

innovation. Examples are:
• Von Weizsäcker et al. 1997 who promoted a factor 4.
• In October 1994, a group of 16 scientists, economists, policy makers, and
business leaders published the “Carnoules Declaration.” The declaration called
for a radical increase in resource productivity and expressed the hope that within
our generation, nations can achieve a tenfold increase in the efficiency with which
they use energy and materials (Factor Ten Club 1997).
• The Netherlands Sustainable Technology Development (STD) research program
(Weaver et al. 2000) aimed at improvements by a factor 20.
These leaps in efficiency of technological systems are regarded to be only realis-
tic by radical innovation, i.e., groundbreaking technological and socio-organizational
change. Radical innovation often implies “systems” innovation as the radical
innovation can only be achieved by changing the configuration of the various
elements within a technological system, instead of merely improving on a single
element.
First attempts for “radical innovation” quite often occur. In industrial laboratories
various groundbreaking ideas are explored. However, when closer to actual indus-
trial introduction, the industry is more reluctant as:
• New technologies require new thinking in the organization.
• Sunk costs: current investments will be (partly) lost.
• Gains are often controversial.
• Technological/financial risks are large.
• Cooperation of external parties is crucial but cannot be enforced.
For these reasons, many promising sustainability-oriented systems innovations in
the lab phase were never introduced in “real life” (Moors and Mulder 2002; Moors
et al. 2005).
Although the world needs radical innovations to create leaps in the environmental
efficiency of production, incremental innovations are important. If radical inno-
vations are introduced, they are often rather inefficient in their early stages. Then
incremental innovations can rapidly increase their efficiencies.
3 The Course of Technology: Engraved in Nature,

Coincidence, or Social Construction?
What drives technological change? A view that is often implicit in popular media
is that technological change is autonomous. This means that technological change
is not influenced through economic, social, and legal powers. “The progress of
the technology cannot be halted,” or “As Einstein had not invented the general
theory of relativity, someone else would have done it.” Often, the core of this
way of reasoning is the assumption that technology is fed by scientific knowledge.
886 K.F. Mulder
Scientific knowledge is accumulating (as results are published and stored), and
therefore technology development can utilize more and more knowledge. Moreover,
improved technologies help to improve other technologies. Hence, technology will
improve continuously, autonomous of any actor in society. Technology policies
and technology strategies are in this vision futile, as nothing can influence this
process.
One of the best-known philosophers that approached technology as an au-
tonomous force is Jacques Ellul 1967. Ellul’s constant theme in all his publications
is the imminent “technological tyranny over mankind.” Ellul creates a sharp divide
between the traditional (for him: preindustrial) technology and modern technology.
Traditional technology was according to him:
• Limited in its application (because technology had been made for specific
functions on a specific place).
• Only marginally dependent on resources and especially dependent on craftsman-
ship.
• Local in its character (because local circumstances are used, and local culture has
to be taken into account).
• The result was that classic technology allowed the possibility of choice, that is to
say individuals and local communities could to a far extent determine the shape
of the technology that they applied.
Contrasting to traditional technology, Ellul characterized modern technology
through:
• Automatism, i.e., there is only one “best” way to solve a particular problem,
which is compelling wherever one is on this planet.
• Self-replication, i.e., new technology strengthens the growth of other technolo-
gies. The result is exponential growth.
• Indivisibility. In order to participate in modern society, the technological lifestyle
must be accepted completely, with its good and bad sides.
• Cohesion, i.e., technologies of different areas have much in common.
• Universalism, i.e., technology is geographically as well as qualitatively om-
nipresent.
For Ellul this meant that modern technology is devastating human freedom.
In his view, the future of mankind is extremely gloomy, for there is no way
back.
Besides these fatalistic views, there are also very optimistic autonomous tech-
nology views. Especially a number of futurists propagate bright images of future
technologies. Unimaginable speeds of transport, the conquest of space as the “final
frontier,” living at the ocean floor or on Mars, it can all be done. Whether society
really needs these techniques is of no concern. It is imaged as the inevitable
“progress.”
The autonomous technology worldview is dubious:
• It supposes one-way traffic between science, technology, and society. Technology
is the product of scientific growth and technological self-replication. However,
historically this is incorrect: Technology often pre-cedes the formulation of
underlying scientific principles. This holds for instance for the steam engine that
was already a century in use before Sadi Carnot formulated the Carnot cycle
in 1824. The Carnot cycle explains the transformation of heat in work. The first
airplane flew in 1903, but the aerodynamic theory that explained why this worked
was only discovered by Prandtl around 1920 (Anderson 1997).
• Historical analyses show that technological innovation is not a process that
inevitably leads to one specific result. The context in which a technology is
developed determines the resulting technology.
Governments, companies, but also NGOs and citizen groups can influence the
course of technology. Especially in infrastructures, there are many examples where
this has taken place.
However, this does not imply that “anything goes.” There are strong mechanisms
that limit the options for technological change. One of those is positive feedback:
The more successful a technology becomes, the more production costs can be cut,
the more specially designed accessories (or software) become available, and the
more people are accustomed to the product. This in turn contributes to the success
of the product, which makes the product invulnerable for attempts to replace it
by new technologies. The result is often spontaneous standardization: one product
spontaneously becomes the market standard (DVD, software, batteries, Operating
Systems: “many people hate Windows, but still use it!”). Moreover, the more
a technology is adopted, the more attractive the technology becomes for further
optimization. If companies develop new technologies under conditions of positive
feedback, it typically leads to “winner takes all.” The first on the market will set the
standard that cannot be broken anymore after being accepted. The consequence is
also that the “best” technology does not necessarily win: after a standard has been
established on the market, a better technology has no chance to compete, unless it
is really accepted as being very much better.
Although the autonomous technology view is not very fashionable these days, it
cannot be denied that there is a core of truth in it: In our globalizing society, there is
very little scope for individuals, groups, or even national authorities to influence or
even steer processes of technological change.
3.1 Technologies as Socio-technical Systems
Only very few technologies are inherently unsustainable. Very often, the sustain-
ability of a technology is dependent on the SD articulation that is evaluated, and on
the scale of use. For example, the car is one of the main pollutants of the urbanized
society. Around the world, there are about 900 million cars and light vehicles. Given
the rapid growth of motorized transport, especially in Asia, that number will soon
surpass one billion (Plunkett Research 2010). Cars emit CO2 and various other
pollutants, especially in densely populated areas, cause almost one million fatalities
and even far more casualties every year (WHO 2004), and deplete finite resources
like fossil fuels and various ores. This is clearly an unsustainable situation. But is
888 K.F. Mulder
“the car” unsustainable? For example, in regard to the SD articulation depletion of

fossil fuels, one could calculate how much fossil oil is formed by natural processes,
and how many cars could be fuelled by that. For such a calculation, one needs some
assumptions such as the speed of oil formation which has differed over time, and
fuel efficiency and annual mileage are not exactly known. The number of cars that
can drive using the naturally formed fossil oil is somewhere between 100 and 1,000.
This number is at least a million times less than the number of cars that are actually
on the streets.
The car is not just a single technology. It is the core of a whole system that
includes oil exploration, transport, refining and distribution, steel, aluminum and
polymer production, car factories, road construction, traffic police, garages, etc.
Without cars, many people could not reach their work places anymore and most
economic sectors would be instantly crippled. By this system of production, use,
and maintenance the car is “entrenched” in society. This means that change is hard
to achieve (Collingridge 1980).
In the early 1970s, the emissions of lead due to lead additives in gasoline, were no
longer acceptable; it created lead poisoning, especially for small children in urban
areas. However, replacing leaded fuel by unleaded fuel took about 25 years. Car
engines had to be adapted, but especially the introduction of an extra fuel type
took a lot of efforts for the logistic chains of the oil companies. History shows that
lead additives in gasoline could have easily been avoided. In the late 1920s, lead
additives were just the cheapest chemicals that could solve the knocking problem of
internal combustion engines. There was considerable ignorance in regard to toxicity
of chemicals and there was no need for action at a time when automobilization
still had to take off. Lead additives to gasoline are a good example of a more
general phenomenon: At the moment that options are still open, nobody knows the
consequences; once society is fully aware of the consequences, there is no scope for
change. This is known as the control dilemma (Collingridge 1980).
But then how to change these entrenched socio-technical systems? Naturally, the
first step should be to recognize that there are several options, and that some of these
options might be contradictory. For example:
• One can optimize the internal combustion engine car and its components.
• Introduce cars that use renewable energy.
• Improve public transport.
• Develop IT options that provide us products or services without the necessity to
use a vehicle.
But can the world develop all these options and should that really be done?
The first option is most in line with the current automobile system as it leaves the
configuration of the current car transport system almost as it is. The second option
might be called a system innovation as it aims at adapting the configuration of the
existing car system by changing major features of the energy supply part of the
system. The third option is aiming at promoting an existing competing system, and
the fourth option could be called a transition as this option aims at establishing
a completely new system that requires a completely different behavior of users.
There is no compelling necessity to choose a specific option; it is a socio-political

choice. Perhaps given the urgency of the problems, all options are needed.
4 Steering Technological Change
4.1 Technology Policy
Innovation is important nowadays as it could help in bridging the gap between

demands for affluence and the capacity of the Earth’s natural systems. But what
should be the role for governments in orchestrating this innovation? Should the
government even have a role, if environmental effects are efficiently and effectively
translated in costs, i.e., “the polluter pays” principle?
The point here is that no matter how sophisticated “polluter pays” measures
are “the market mechanism alone fails or does not adequately ensure the optimum
allocation of resources for the benefit of society, for industry in general or even for
the individual enterprise itself” (Coombs et al. 1987).
There are several reasons why the government should (sometimes) intervene in
innovation:
1. The development of new technology sometimes requires too high investments
for individual firms; nuclear fusion is a typical example.
2. Innovation is an important success factor in international competition. Support-
ing specific sectors will bring more economic success for the nation.
3. The Government has an important role in infrastructures (energy, transportation,
telecommunications) and therefore in infrastructures innovation.
4. Industry hardly invests in basic research that will lead to new technologies in
the long term. These investments carry too much risk; even if successful patent
protection is only 20 years, the research investment will not give a competitive
advantage.
5. Industry invests only few resources in subjects that do not directly lead to
technological advances (e.g., measuring methods, mathematical modeling) and
in specialized education and training.
6. Small-scale companies, e.g., farms, cannot do research independently.
7. Some research topics involve ethical or cultural values, like health care, that
restrict market relations as the outcome of the market is seen as unacceptable.
8. Public goods, like defense and justice, are the responsibility of the government.
9. Innovation contributes to the national prestige which often played a role in
stimulating large projects (e.g., Concorde aircraft and space technology).
10. Innovation sometimes is expected to bring undesired side effects, like environ-
mental problems, occupational safety and health, public risks, and privacy issues
which require regulation/measures.
Any of these reasons might urge governments to introduce technology policy
measures. Some of these issues also play a role at the regional level (Coombs et al.
1987).
890 K.F. Mulder
4.2 Methods for Steering Technology Toward SD
In general, there are many types of government policy instruments to support

innovation: research subsidies, loans, guaranteed prices for products, etc. Many of
them are applied to stimulate the development of specific cleaner, more efficient
technologies. Some approaches have been specially developed to stimulate the more
radical innovations that are required for SD.
Various sustainability problems are really “wicked” problems (Rittel and Webber
1973). These problems are hard to solve because the problems are connected to
features of our societies that are deeply entrenched in institutions and culture. Very
often, it is not even clear what would count as a solution of the problem as there
are contradictory requirements, and some of these requirements may not even be
known yet. Moreover, there are various interdependencies. Solutions for a specific
aspect of a situation might make things much worse for other aspects. Many wicked
problems are therefore left unsolved.
Problems of road transport might act as a typical example. What “the” problem
is, is often not really clear: congestion, air pollution, depletion of nonrenewable
resources, or deterioration of (urban) conditions. Most “solutions” that are discussed
today, only aim at one of these problems. However, in order to be able to innovate,
the vague and ill-defined set of problems should be translated into something
“doable,” something that can be translated into an engineering project plan. “Road-
pricing” is such a doable translation of traffic problems. Road pricing will contribute
to soften some of the effects of traffic. However, all of the effects as such remain.
How could industrial society change to a different state that requires far less (car)
transport, consumes less energy, space, and materials, and creates less nuisances?
First of all, it is important to analyze what functions our traffic system fulfills for
us. In this way, solutions can be found that are not part of the traffic system. Access
to products and services is an important function of the traffic system. Information
technologies might also provide access to services and products. Access to work
might be provided by the same means, but also by public transport, while the
remaining transport needs might be covered by easy accessible rental car services.
Ultimately, various combined developments might lead to a new steady state.
4.2.1 Transition Management

Transitions are encompassing changes of societal systems (including technological
systems, users, and governance). They have happened, and will happen. Historically,
sailing boats were replaced by steamers, which were in turn replaced by (oil
powered) motor vessels. These transitions seemed necessities given the progress
of technology, but on closer observation, technology was only one of the factors. In
transitions, sets of connected changes occur, which reinforce each other. Steamers
created more predictable transport options, but required bunkering stations, expen-
sive coal and the coal required space on board. Steel hulls facilitated steamers,
just like increased efficiency of the engines, and the introduction and improved
propellers (Geels 2005). These developments enabled shipbuilders to develop large
steam liners that greatly spurred emigration to the USA (Cohn 2005). Moreover, the
development of steamers enabled new developments that facilitated steamers: e.g.,
the Suez Canal was not suitable for sailing ships, but shortened the route between
Europe and Asia considerably (Geels 2005).
History shows us many examples of transitions. But can these processes be
initiated and steered in order to produce Sustainable systems, i.e., is transition
management possible? Certainly, this cannot be achieved by management in the
classic sense of using methods that will produce known outcomes. Transition
management is probably able to spur a process of change, but as the complexities
and nonlinearities are so dominant in the process, there is little certainty if the
transition will actually lead to the improvements that were aimed for. That is a risk,
but can be acceptable as there is often no alternative (Cf. Rotmans et al. 2001).
4.2.2 Niche Experiments

For sustainable development, governments should aim at stimulating the more radi-
cal innovations in order to produce leaps in environmental performance. Generally,
those innovations involve technological as well socio-cultural and organizational
changes. These changes are rather complex and users and producers might develop
adaptations that trigger new adaptations: Learning takes place by which the fit
between technology and its social environment is improved. Technologies will be
better able to cope with the (hidden) demands of actors, and the actors should
learn to benefit from the characteristics of the new technology in their own way.
These experiments take place in market niches, parts of the market that offer more
beneficial conditions for the introduction of the innovation. In this way there is some
protection against the competition of the established, fully developed technologies.
If the learning process in the niche leads to an improved fit between technological
performance and social demand, then the innovation might be better able to cope
with market competition.
Half a century ago, the markets in various countries demanded rather different
products. New technologies developed in one country were only introduced much
later in other countries, after many adaptations and learning had taken place.
Although larger countries had various car manufacturers, there were typical “Amer-
ican,” “German,” “French,” and “Italian” cars. That seemed to have disappeared in
the world of today. Nowadays, conditions have become much more homogeneous
around the world. Globalization has destroyed these naturally occurring niches.
Hence, less variety of conditions is naturally present.
4.2.3 Backcasting
(see Backcasting and Scenarios for Sustainable Technology Development)
4.2.4 Stimulating Learning and Network Building

Many innovations fail somewhere in the innovation journey that connects various
different activities. This journey does not necessarily start with research and end
with market introduction, as it might start with a market idea, and might contain
various feedback loops.
892 K.F. Mulder
Scholars reflecting on innovation emphasize the need to learn from others for a
successful innovation, the necessity to understand the perspectives of others and
cooperate with people with other skills. As there are often high fences created
around innovations, there is a need to tear these down in order to reach these
different perspectives (Cf. “open innovation,” Chesbrough 2003). Especially in SD
innovations, various articulations of SD might play a role, and various public as
well as private actors and NGOs might contribute to valuable learning processes.
Sometimes this requires careful social network creation: Various actors are not
involved in the innovation journey, and some hardly interested in playing a role
in it. Others might have an interest but mainly to derail the process. For instance,
basic scientists are often hardly interested in pushing their results into an innovation
journey, as this would require them to put lots of efforts in developing indications
of commercial prospects. This leads to a phenomenon called “the valley of death”;
promising ideas are not elaborated any further, as serious funding is required to
elaborate the ideas, but very little certainty exists on the commercial prospects.
The early stages of the innovation journey are often dominated by engineers and
scientists. Their perspectives on efficient products and processes are often not in line
with the people that in later stages have to work with these processes and products,
or even the people that have to carry the burden of (side) effects of that innovation.
Radical technological change requires the cooperation of various stakeholders.
Moreover, it requires learning. In order to facilitate these processes in early stages,
when the technology is still malleable, stakeholder involvement is very important,
and sufficient scope for learning constructive technology assessment processes,
consisting of carefully prepared interactions of various actors, can contribute to
reflexive learning in early stages of innovation processes and to a better alignment
of innovations and sustainability demands (Rip et al. 1995).
5 National and Regional Technological Innovation Systems
Innovations for sustainable development, like any other innovations, will not occur
at random spots of our planet. In information technology, biotechnology, and
probably nanotechnology, there are hot spots of innovation. Being a hot spot of
innovation is very attractive for a region, as it brings to the region high-paid jobs
without industrial nuisances such as pollution. Various mayors dream of developing
an innovation hot spot in their municipality.
But what does it take to become an innovation hot spot? Why are innovative
companies concentrated in specific areas?
The best known innovation hot spot is probably “Silicon Valley,” an area South
of San Francisco. This area got its nickname in the 1970s, when it became the world
center of microelectronic development. A little later, Silicon Valley also was the
center of development of computers and various computer appliances, software, and
Internet technology. At first glance, such a concentration seems rather irrational:
The required experts are not available locally, and prices will rise due to growing
demand.
However, the concentration of innovative activities attracts experts to the region.

Experts easily might find interested companies/investors for their ideas and might
easily find a new opportunity in such a region after their projects have finished.
Companies might benefit from being in such a region by the constant flow of
expertise and ideas between them, the availability of various specialized facilities,
services, and customers for their business, etc. If the activities have sufficient
clout, clever entrepreneurs will offer additional services that increase the innovative
productivity and attractiveness of the region. A developed technological innovation
system propels itself. But how to create such a system? How to get it started? The
stakes are high for regions.
A technological innovation system is technology specific. The functions that it
fulfils are:
• Entrepreneurial activities that turn resources and ideas into action.
• Knowledge development, i.e., research and development but also development of
market information, etc.
• Knowledge diffusion through networks.
• Guidance of the search, i.e., activities that contribute to clarify the specific needs
of users of the potential innovations.
• Market formation. Markets for new technologies are not self-evident. Regulation,
training of customers might be insufficient. Protected spaces might help the new
technology to survive competition of incumbent technologies.
• Resource mobilization. The system requires financial and human resources that
need to be acquired.
• Creation of legitimacy/counteract resistance. New technologies often meet resis-
tance that is related to vested interests related to existing technology (Hekkert
and Negro 2009).
Often, authorities aim at creating a technological innovation system around
existing research facilities. Facilities for (starting) entrepreneurs are often created,
but real access to existing markets and customers is often lacking.
6 Summary
This chapter has argued that a sound strategy is required in order to work on
innovations that will really contribute to long-term sustainable development. First
it is crucial to recognize various articulations of SD, and recognize that there
could be dilemmas. The chapter has emphasized the need to produce radical
innovations. But to what degree is the progress of technology really a matter
of social choice or an autonomous development? It is claimed that there are
strong forces that prohibit steering of technology in specific directions, but it is
not entirely impossible. Common legitimations for government interference in the
innovation process are provided. As radical innovations are important to innovate
for SD, the chapter discusses three approaches that aim at facilitating/stimulating
(radical) technological innovation processes. Finally, it was discussed what it takes
894 K.F. Mulder
for regions to become successful in specific types of innovation. The concept of

technological innovation system was discussed.
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Successful Contextual Technology
Transfer and Determinants of Culture 49
Kassahun Y. Kebede, D. J. Ndegwah, and J. O. Kroesen
Abstract
Why do so many projects in which technology transfer is involved, fail? This
chapter analyzes this problem and offers an alternative for well-intended but
unreflected ways of dealing with technology transfer. The authors offer a
comprehensive approach, taking into account the needs of the receiving society
and the sociocultural context in which the technology should be embedded. Many
examples, positive and negative, are mentioned from which such a methodology
should learn and which in turn illuminate the methodology.
The challenge consists in finding the right fit between technology and social
needs, technology and social environment, and in addition to get the right
management capacities and systems in place. This results in a comprehensive
model of technology transfer. Its application requires cooperation between
engineers and sociocultural researchers and takes the involvement of a diversity
of stakeholders.
Topics that are addressed include:
1. Which products and technologies suit the needs of the local society?
2. Which redesign do technologies need to suit a specific local context? How
could institutions of higher education coordinate their efforts in order to
find/invent/design technological products that suit local contexts?
K.Y. Kebede ()

Chair of Industrial Engineering, AAiT, Addis Ababa University, Addis Ababa, Ethiopia
e-mail: ykassahun@gmail.com
D.J. Ndegwah
Institute for Social Ministry in Mission, Tangaza College, Lang’ata, Nairobi, Kenya
e-mail: ndegwahdavid@yahoo.com
J.O. Kroesen
Faculty of Technology, Policy and Management, Delft University of Technology, Delft,
The Netherlands
e-mail: J.O.Kroesen@tudelft.nl

DOI 10.1007/978-1-4020-8939-8 49,
896 K.Y. Kebede et al.
3. What are the real needs and sociocultural requirements of the local context?
People’s participation and sociocultural research supported by NGOs and
other stakeholders should provide the answer. Deep interviews, question-
naires, pilot projects, etc., may be part of this type of research.
4. Feasibility study: what does it take to run a technology – and is this a feasible
option or can a business case be made out of it?
5. What skills are required for the production of contextualized technologies?
6. Capacities and cultural characteristics: along with business skills, what will
be the characteristics of the business culture and how can they be trained?
7. What intercultural learning or training processes need to be in place to make
the technology transfer successful? How can a viable equilibrium be created
between traditional values and a modern business culture, or within a project?
8. How can diffusion of this technology along with skills, capacities, learning
processes, be realized?
The chapter analyzes the historic origin of various value systems and describes
tools to analyze these differences. The value systems and ways of life that have
emerged in history can be considered as a collection of repertoires of dealing with
each other and with technology. Four types of such repertoires are distinguished
in relation to the perspectives of time (past and future) and space (inside and
outside). Different cultures cultivated a different set of such values. In the era
of globalization these repertoires become a common stock for all members
of world society. This approach opens the field for a deliberate trade-off and
choice depending on time and situation between so-called traditional and so-
called modern values. Sometimes training will be necessary in those human
qualities, which may help at some time to speed up the functioning of the
business or at another time slow down the rhythm in order to gain time for mutual
understanding during a meeting. Sometimes collectivism and solidarity may be
necessary, and at other times individual judgment and choice, etc. Successful
technology transfer may depend on the right mix and equilibrium of such human
qualities and values.
1 Introduction
For developing countries, sustainable development first means providing for the un-
derprivileged. To achieve this, the transfer of technology and its introduction in their
economies and societies is high on the priority list. Mostly, developing countries do
not have the R&D resources and facilities for production of their “own” technology.
Hence, they go for the technology transfer option. This does, however, not mean
that experiences with technology transfer are always satisfactory. On the contrary,
many times after a while the transfer appears to have failed and the technology
stands idle (Sharif 2003; Putranto et al. 2003; Mulder 2006). In this contribution the
authors will go into two main causes of such failures. The first is the lack of a proper
49 Successful Contextual Technology Transfer and Determinants of Culture 897
assessment of the needs that have to be fulfilled by the transferred technology and
the second is concerned with the cultural differences and related capacities to deal
with the new technology. Examples will be given of stand-alone technology transfer,
which do not meet the needs and sociocultural requirements of the receiving society.
Against that background a positive contribution is given, which includes practical
and feasible options, which nevertheless are often “forgotten.”
The authors argue that the way forward for policies and projects is to find the
right fit (1) between technology and social needs, and in addition getting the right
management capacities and institutions (2) in place to bridge the gap between the
culture of origin of the technology and the receiving culture.
As part of showing the limitations of the existing technology transfer models,
a special section is devoted to different theoretical models of technology transfer
proposed by different researchers at different times. In the end the authors will
introduce a comprehensive and practical method, constituting a logical order of
steps to be taken into consideration while transferring technology, mainly toward
developing countries. Emphasis is put on needs assessment and on taking into
account cultural values.
2 Technology Transfer Models
Several researchers in the field of technology transfer toward developing countries

proposed a model for technology transfer focusing on different aspects. These
models were proposed at different times with different approaches and emphasis:
1. The general model for international technology transfer by Samli (1985) com-
prises five components: the sender, the technology, the receiver, the aftermath,
and the assessment. The model focuses on factors related to geography, culture,
economy, people, business, and government (Luper et al. 1991). It was stressed
already in this model that cultural barriers are the greatest challenge for
successful technology transfer (Samli 1985).
2. Fried and Molnar (1978) proposed a transdisciplinary model that considers
man-artifact tasks, and coordinating components of technology properly with
communication, domain, and legitimacy of the social organization.
3. Madu (1988) developed a model that helps making a decision to transfer
technology. He included defining needs and objectives as a second step in the
model; in addition, he added three more considerations, (a) the purpose of the
transfer, (b) environmental factors, and (c) the transfer mode while transferring
technology to less developed countries. He has put the success factors in a graph
(Madu 1988).
4. Linstone (1989) suggested a multiple perspective approach that considers tech-
nical, organizational, and personal factors while transferring technology to
developing countries (Boomer et al. 1991).
5. In another model proposed by the Technology Atlas Team, each technology
transfer process encompasses the four technology components – technoware,
humanware, inforware, and orgaware. The team defined the technology com-
ponents as follows:
• Technoware: object-embodied technology such as tools, machines, and phys-
ical facilities
• Humanware: person-embodied technology such as skills, experience, and
wisdom
• Inforware: document-embodied technology such as process specifications and
theories
• Orgaware: institution-embodied technology that facilitates the integration of
the previous three components (Putranto et al. 2003; Boomer et al. 1991)
This team has identified specific factors and emphasized the fit between the
technology being transferred and the infrastructure of the receiving country. They
also argued that technology is a combination of both the physical equipment
(tool) and the associated know-how which helps either to make or use the
technology/tool.
In this chapter, the focus is on the two main aspects: needs and cultural barriers.
After having elaborated on these aspects an integrative model of technology transfer
is developed, taking these proposals into account.
3 Technology Transfer Adapted to Human Needs
More often than not, technology transfer to developing countries is unsuccessful;

and in most cases, the failure occurs a little while after the actual technology transfer.
A case in point is the Green Revolution, by which agricultural methods of the West
were transferred to developing nations, in order to increase food production (Wright
1992). The difficulties only popped up some time after the initial success, at the
very moment the technology really needed to get indigenous. The reason behind
this, as already mentioned above, is the lack of needs assessment as well as the
lack of an account of cultural differences as part of the technology assessment.
Often the technologies are taken over just because they were successful in the
West. The receivers expect the same success after having taken them over, but a
proper technology assessment has not taken place. And yet in the West the same
technology may have been introduced only after a long process of adaptation and
accompanied by thorough assessment and evaluation processes. This, however, is
not to say that technologies should be confined to one particular context. Once the
development of new technologies has been invested in at one particular place, the
technologies free themselves from their context of discovery and spread to contexts
with other social and economic conditions. Also developing countries pull them
in; and there is logic behind this. Compared to design costs, production costs are
modest; and for this reason replicating is attractive. But intercultural technology
transfer is an often underestimated and complicated process (Putranto et al. 2003),
because different cultures have different needs. Mere imitation of the technology,
without serious consideration of these needs often leads to failure. In a certain
sense, technology transfer was easier in the colonial times, because the process
was coordinated by the colonial authorities, ordering technologies from their home
countries. The advantage was that they were experienced with the technologies on
both sides, and also shared the same cultural outlook (cf. Ravesteijn and Kop 2008).
A proper process of needs assessment should take three key elements into
consideration:
• Firstly, it should identify the needs to be satisfied by the technology.
• Secondly, it should specify these needs into detailed requirements and constraints
• Thirdly, it should specify and assess the direct and indirect effects, which may be
expected of the technology transfer (Awny 2005; Madu 1988).
In many cases, technologies are blindly transferred. After a while it turns out
that they are unsuitable to the national interests of the receiving country. Flag
carrying airlines or the purchase of military equipment may serve as cases in
point. For example, the Indonesian aircraft manufacturer IPTN, which was set up
to supply the Indonesian archipelago with appropriate means of transport, was a
sink for government subsidies; and as such, it could only sell its ill-suited aircraft
by government enforcement (Towery 1998). This example shows that it is also
important to assess who the “owners” of the needs are. In addition, it is important to
distinguish “need” from “demand,” in the process of technology transfer. Demand
is dependent on purchasing power and price levels, but needs have deeper roots in
the society. Part of a proper needs assessment is the evaluation of the technology
under scrutiny within the framework of an integral development plan. A capital
intensive technology, introduced in a country with high unemployment rates, may
not be a good alternative as compared to a labor-intensive technology. Furthermore,
it is important that the needs of all stakeholders are included in the national strategic
development plan (Awny 2005). In the final analysis, it is necessary to identify the
different options that can satisfy the same need by clearly describing the potential
and weakness of each technology.
In industrial societies both formal and informal technology assessment is mostly
conducted before introduction of the technology takes place, as already mentioned
above. On the one hand, informal technology assessment takes place in many
industries, government agencies, and by public opinion, whenever their advantages
and disadvantages and risks are discussed. On the other hand, formal technology
assessment involves the work of experts, and takes place when important decisions
need to be taken, and in cases where the society holds strongly conflicting views.
The reason for this is that policymakers should be able to take an informed decision,
and be aware of unintended consequences, prepare stakeholders for changes, and
facilitate them in decision making (Smits and Leyten 1988). As the situation
stands now, neither formal nor informal technology assessment takes place in
developing countries, as a matter of course, a state of affairs that can have enormous
consequences. Take, for instance, the introduction of the nonindigenous Nile perch
in Lake Victoria, in the 1950s. It created a new fishing industry, but it also had
devastating effects on the local fish stock (Masciarelli 2005).
In order to ensure efficiency, stability, and sustainability, every technology
transfer should fulfill the three basic criteria of environmental soundness, economic
advantage, and social acceptance (IETC 2003). Apart from the above elements,
there is need for appropriate infrastructure for the technology, without which it will
appear to be underutilized and all sorts of inefficiencies will show up. Subsidies,
macroeconomic, and market conditions should also be taken into account, as well
as patenting and licensing of intellectual property rights. The technology should
also be socially acceptable, in the sense that it contributes to the development of the
local community and to the country. This also involves cultural and organizational
characteristics like the level of hierarchy, the working habits, and so on, issues which
will be discussed in the next paragraph.
4 Technology Transfer and Cultural Differences
Culture and technology are inextricably intertwined, and as such, the introduction
of technology is not culturally neutral. Implied in technology as such, and for that
reason in any particular technology, is kind of a script, a set of requirements and
conditions of how to handle the technology. This relates to management skills,
maintenance, and institutional backing, values, and priorities, as well as ways
of being human. That often technologies fail or become detrimental to people’s
livelihood is not due to the technology itself. A case in point is the debate in Kenya,
on the destruction of the Mau Forest, and its resultant environmental catastrophe.
Timber harvesting and charcoal burning have not only destroyed the forest, but
also the livelihood of Kenyans, Ugandans, Sudanese, Ethiopians, and Egyptians
by endangering Lake Victoria and the River Nile. Although the current timber
harvesting is a result of technological development, through the introduction of the
power saw, it is not the technology by itself that causes the damage. Human action
is mostly the root cause of the failures. In every case where scientists and policy
makers concentrate on technical problems and fail to solve them, they are referred
back to the social root causes of the failure. The point here is that social issues
like lack of agreement, lack of cooperation, pursuit of different values and priorities
stand in the way of effective implementation of technical solutions.
Another example may illustrate this statement. In Nairobi a project was recently
implemented for the recycling of plastic by a group of young entrepreneurs; it
was named “Nairobi’s Recyclers.” This project was calculated to be financially
sustainable, providing some 50 young people with employment. However, unex-
pected problems showed up. The young people came from poor families, often
with traumatic psychological experiences, and they frequently needed help from
hospitals and medical clinics. In addition, some of them stole the recycled products
and sometimes the machinery as well. Moreover, the project was heavily dependent
on one person, the only one capable of managing it. Electricity and maintenance
turned out to be more expensive than expected. This, coupled with frequent power
failures, resulted in the machinery standing idle for many hours. In the end it turned
out that although the project was technically sound, the sociocultural capacities to
run it successfully were not in place (Solid Waste Management in Nairobi 2010).
Culture, values, habits, and capacities were the main impediment for the success of
Nairobi’s Recyclers.
Another example of blind technology transfer can be exemplified by the attempts
of many NGOs in arid and semiarid lands to bring clean water to the people. They
drilled boreholes to ease the problem of women trekking long distances to fetch
water. The assumption was that then these women could spend the extra hours
they gained on more economically productive activities. This brought about two
problems: one, women needed that time for socialization and interaction, but with
water just around the corner it became difficult for them to share their tribulations
and support each other in the face of adversity. Another problem was lack of
technical know-how on the maintenance of the boreholes once they dried up or
when the system broke down. In the case of the latter women were happy to get a
reason to go out and fetch water in far off places and as such also get time to ease
their domestic stress: they did not, therefore, nag their husbands to take action. But
even when they finally did, solutions had to come from as far as the capital city,
which is over 500 km away!
These examples show that technology is not culturally neutral, but is in fact
culturally conditioned. Most technologies, especially if they have some scale, even
apart from their specific makeup, imply cooperation between many stakeholders,
who cooperate anonymously in systems of large-scale labor division. That may
create problems in affective- and particularistic-oriented cultures, in which coop-
eration depends on personal relationships of selective trust. Most technologies,
in addition, require maintenance systems, and this, in turn, requires disciplined
labor and meticulous supervision. Every technology is, in a sense, socio-technology
because it comes with, and requires, a set of social codes to deal with it. There are
specific values that it serves and a specific mentality or mind-set that it promotes.
Even in the technological hardware, there are cultural values that are inscribed and
encoded in it (Winner 1980). Give a ball to a boy and you know exactly what he is
going to do with it, because the ball only asks for, or is oriented to, that specific
function. Technology and codes of behavior, ways of handling the technology,
values, and lifestyles, are always implied in each other and they go together. This
takes place in different ways. At least three ways can be distinguished:
• Sometimes the technological hardware comes first. Specific technologies, after
their design and implementation, often unexpectedly appear to bring about
cultural change. Cell phones, for instance, promote individualism. Increased
connectivity and mobility promotes modernization, turning rural life into city
life and causing, in the long run, the loss of traditional values like family ties.
• It also works the other way around. A set of values may lead, almost automat-
ically, to the adoption of a specific technology, which promotes and articulates
this value. In this case particular values are materialized in the specific design
of a technology. An information management system within a company which
authorizes different people to access information to a different degree, depending
on their place in the hierarchy, reproduces, reinforces, and materializes this
particular type of authority. The value of open communication between scientists
and the value of progress in science have given an important impulse to the
coming into being on the Internet, e.g., (Misa 2004).
• A third case is also possible. Specific technologies may require to be managed
according to a specific set of values. In this case the technology and the
corresponding values and ways of behavior have to be introduced in one package,
at the same time. A particular technology can only be introduced if new values,
ways of behavior, and management are also introduced. This means that if a
specific set of cultural values is not in place, such a technology cannot be dealt
with effectively. The navigation of sixteenth century sailing ships may serve
as an example. It required a disciplined line of action, a division of labor and
machinelike behavior of all the people involved. Only if people are willing to
organize their behavior in such a way can such a technology be handled properly.
An important cause for Spain losing the Armada in the battle against Great
Britain, in 1588, was the fact that the Spanish nobility had separate command
and management lines for firing and navigating. Noblemen would fight for honor,
but not navigate. The British nobility, which was not too proud to combine
the management of firing and navigating at the same time, could move in a
much more flexible way, and thereby won the battle. They named themselves
“Commons” and gathered in the “Lower” House, which to this day is referred to
as the House of Commons. Their values made it possible to deal with technology
in a new way that made it more effective.
Technology transfer, in many respects, requires the introduction of new values and
new ways of behavior. In general, management of technology requires sequential
time management (planning), disciplined labor, and functional action according to
role descriptions. Other requisites for the management of large production systems
are individual responsibility, teamwork, and an open attitude toward novelty and
creativity. Even more important, for sustained efficiency, is a specific equilibrium
between hierarchy and open criticism from bottom to the top in order to prevent the
petrification of hierarchical control.
5 Toward a Responsible Equilibrium Between the

Traditional and the Modern
In this section our goal is to find a framework that enables us to make a conscious
and reflexive deliberation on the cultural heritage (which is value laden) of different
societies throughout the world. Such an exercise has two main functions:
• Firstly, it increases the awareness of the fact that humans have always been on
the move, culturally speaking.
• Secondly, it enables us, depending on time and situation, to make the next – path
dependent – move, making use of our common cultural heritage.
We have always been on the move: although it often is imagined that humanity
has known some “natural state,” a universal static nomadic or rural culture, it is
more suitable to assume that there has always been turmoil, change, divisions, and
conflicts even in the tribal phase of history. Naturally all tribes refer their present
to an immemorial past, but in reality there are many traces of past conflicts, tribes
splitting up, starting anew, etc., the memory of which has been effaced once the
new order had been established. As to the second point, the heritage of different
cultures, in terms of values and ways of life that are entering global society, becomes
increasingly accessible for all of us. The repertoire of values and ways of life can
be considered as a kind of a common stock from which everybody can draw. In
general it is neither the one nor the other value which makes us more human than the
other, but the right order and rhythm, the right and timely priority between different
values.
5.1 Four Layers of History
The cultural achievements of mankind can be considered as geological layers

sedimented on top of each other. Throughout history people needed to organize
society, to be able to face the enemy with some internal cohesion, to meet the
challenges of nature, and to respond to the changes of new times. To this end,
people created institutions, values, and human qualities, which are necessary to
support such institutions. At the first stage of civilization the institution of tribal
organization, with a chief in the lead, was supported and accompanied by the
values of tradition and authority. In other words, the external institution (chiefdom)
was supported by internalized values (tradition and authority). These values were
expressed in ways of speaking and rules of social intercourse. In short, they were
expressed in human qualities, often referred to in an old-fashioned word as “virtues”
by ethicists and philosophers.
In the prevailing literature on cultural differences this diversity of human qualities
is presented to the reader mostly without mentioning the institutional framework
or the historical background of such qualities. All of these qualities are present
in all cultures, in a rudimentary or embryonic form. However, in the course of
history specific cultures developed and articulated specific human qualities, which
can be considered as “emergent” in the sense that first they were not there and
then they appeared. That means that in particular phases of human history, new
human qualities popped up by surprise, mostly in critical transitional phases,
periods of crises. They built upon the older achievements and “geological” layers of
culture; but in their articulation, they also represent a new development of these old
achievements – putting a new layer of human culture on top of former ones.
We propose to group these historical achievements and human qualities around
two axes: past and future as well as inside and outside. It is our claim that the
oldest layer of human culture is oriented toward the past (Rosenstock-Huessy 1993;
Berman 1983; Gauchet 1985). This refers to tribal society in which authority and
tradition, in relation to the past, are of primary importance. In later imperial cultures
a new orientation emerged, together with a new set of institutions and human
qualities. These were primarily directed to the control of nature outside, by means
of hierarchy and labor division. This is the phase of great agricultural empires, often
located in river valleys like, for instance, the Nile. The Emperor, son of the gods and
of the stars, was at the top of the hierarchy, which indeed literally was a hierarchy,
a sacred order. It was sacred because the secular state had not yet developed
(or more correctly, emerged), and the whole idea of a separation of secular and
sacred was unknown at that time. However, during the axial period of human history
(named for the first time this way by Jaspers), roughly between 500 BC and the
beginning of the Christian era, several traditions emerged which wanted to break
with this cosmopolitical hierarchy. In this way a third more future-oriented layer of
culture emerged in manifold forms. Taoism, Buddhism, Zoroastrianism, and, most
effectively and most pronounced, Judaism emerged as countervailing powers to too
much hierarchy. The imperial powers caused too much suffering and oppression of
the masses of farmers at the bottom of the pyramid. These traditions break with the
cosmopolitan imperial tradition and for that reason, they all point to transcendence
beyond the top of the pyramid – beyond the Emperor and the stars, “above” the
heavens. In the process, they dethrone the gods or the cosmic order, representing
traditional authority and hierarchy, and claim divine power beyond the visible
powers, a divine power which is sensitive to the sufferings of ordinary human beings
or which is not a divine power at all. By doing that they called for change, putting
the acquisition of a new set of future-oriented human achievements and qualities on
the agenda of history.
Is it possible to add still a fourth characteristic to this list? Can something new
be added to the list of (1) orientation toward the past, (2) orientation toward the
world outside, and (3) orientation toward the future? Could it be that only after
these three orientations were fully deployed a fourth one could be added to it, i.e.,
the need of an inner center, which makes it possible to switch between the three
orientations mentioned? Different orientations and different value priorities need
to be combined, and, as it were, married to each other, in a process of dialogue,
a process of gaining support for moving in either this or that direction. This is the
achievement of Western Christian and secular culture. It is the capacity of constantly
reaching compromises and agreements, which only function for the time being, for
a particular period of time. At the moment such a compromise or composition of
different value orientations stops being a living process, and becomes petrified,
a new step is taken, in a revolutionary move forward, and in this way a new
compromise between the values of the past and the needs of the future and also
of the requirements of the world outside is installed. The medieval equilibrium
– and competition – between Pope and Emperor, in their secular and spiritual
jurisdiction, may serve as a case in point (Rosenstock-Huessy 1993; Berman 1983;
Gauchet 1985; Holland 2008). They mutually recognized their different spheres of
jurisdiction, but nevertheless constantly competed and struggled with each other on
where to draw the line between them. An inner center of deliberation and judgment
is necessary to decide between such pluralistic value priorities. The compromise
between Pope and Emperor served this purpose. It came to an end, when, at the
beginning of the Reformation, the authority of the Pope himself was challenged.
At that moment, this particular time span was over and another time period started.
Such temporary compromises constitute a common present, i.e., a common horizon
of meaning and agreement, which lasts for a while. This characteristic of the West,
constant change and innovation, is what has put the West on the track of modernity.
A new set of capacities was acquired in the process, like rule by law and of
law (universalistic rule instead of particularistic despotism), neutral, non-affective
relationships, i.e., regulated by anonymous rules instead of personal relationships,
and a sequential ordering of time (planning), to mention but a few.
This short historical overview makes it possible to bring some order in the list of
cultural differences, which can be derived from different sources of the prevailing
literature. There are four basic orientations to which such cultural differences
can be attributed. This may give an understanding of their interrelatedness, and
their historical embeddedness. In addition, it prepares the way for a continuous
intercultural dialogue about path-dependent and context-dependent compromises
between these different value priorities. This dialogue is not conducted only in
the academic sphere (like in this chapter), but also, and foremost, in a most
practical way. That is, by the introduction and development/design of a host of
different technologies, as mentioned above. More mobile phones introduce more
individualism; more infrastructures introduce the erosion of family values; and these
introduce more civil society relationships, and so on and so forth.
5.2 Cultural Differences and Layers of Culture
In this paragraph the cultural differences mentioned in the prevailing literature are
analyzed and are attributed to the four large layers that have been distinguished. In
these few pages this can be done only in a sketchy way. Since often the literature
offers either/or alternatives (for instance individualism versus collectivism), it is
somewhat arbitrary where such alternatives belonging to different layers of culture
are put according to the distinctions that have been made so far. Nevertheless, what
the exercise will render is a rough overview of the achievements and meanings of
those layers of culture (Hofstede 1997; Trompenaars and Hampden-Turner 1999;
Weber 1972; Taylor 2007; Rosenstock-Huessy 1993; Gauchet 1985; Hess and
Hampden-Turner 1995).
5.3 Priority of Tradition and of the Past
1. Collectivism versus individualism. Collectivism means priority of the group over

and against individual judgment. A collectivist attitude belongs to tribal life, and
to family life. The group is a unity in which the individual participates. In order to
reach some form of individualism, the individual person needs, somehow, to be
singled out from the group. The old tribes did not allow for individual judgment.
Instead, they did everything they could to prevent the individual from subverting
the tradition and authority of old, since it could cause anarchy. Real individualism
emerges during the axial period and is further developed in Western history.
Hierarchical societies too have a form of collectivism, but somewhat different

from the tribes. In hierarchical societies, family life and group life often is also
important, and in many cases these societies represent a mixture of hierarchy
and family life. There is, however, a difference between collectivism in Africa
and collectivism, for instance, in China. Within a hierarchical society of imperial
origin, like China, collectivism means mutual adaptation in order to function
smoothly, within the cosmic order. Here the cosmic order replaces the tribal
order.
2. Masculine, feminine. Competition and role differentiation versus care and coop-
eration between the sexes create a form of tension in the development agenda.
Although tribes and collectivist societies can differ on the scale of masculinity
or femininity, mothers mostly are the custodians of tradition and of belonging.
This, in general, makes tribal life more feminine than masculine. However, the
traditional tribes do not allow for role exchanges between men and women. The
distinction of Hofstede (1997) between masculine and feminine societies is often
criticized as not being conceptually very clear (De Jong and Kroesen 2007).
3. Long-term orientation was added to Hofstede’s list by Chinese researchers
as an alternative to uncertainty avoidance. What Westerners call “uncertainty
avoidance,” the Chinese prefer to call “long-term orientation.” They admit that
Chinese culture too has to give into the daily changing priorities of human life.
For that reason change and uncertainty is accepted, but only temporarily. In the
long run, and via many detours, traditional and lasting values will win. The
cosmic order, of Confucian style, and universal harmony in the end will always –
in the long term – return.
4. Guilt or shame. In a guilt, or shame-oriented culture, there is an inner center
and norm, which serves as a yardstick for good and wrong. Shame is felt when
one falls out of a group. Guilt is felt when one is lagging behind an internalized
standard.
5. Closedness or cooperation. Here the question is: do people easily cooperate with
people they do not know, or do they always need relations and intermediaries to
be introduced to the in-group or to the network, clientele, or clan? On the insti-
tutional level this cultural characteristic is related to the degree of development
of a civil society: open cooperation and free association of individuals, instead
of selective trust. If this characteristic has become more common, trust is easily
established even between anonymous persons.
6. Monologue-like speech or pluralism. This raises questions in relation to the
way people communicate: Is the external exchange of opinions part of an
internal dialogue, going on in each individual, or do people tend to follow one
monologue-like discourse, which dominates everybody else? Is the exchange of
opinions part of an egalitarian intercourse, or is expressing different opinions
in public sensitive and limited? In a traditional culture, where people generally
share common opinions, there is little dialogue going on in public and for that
matter also within the individual members of the society. In individualistic and
pluralistic societies the plurality of values of the society is mirrored in the internal
consciousness of the individuals themselves. They are, as it were, presiding over
a continuous discussion going on within themselves, contrary to the traditional

culture, where people tend to have their opinions in conformity with the tradition,
and that is it.
5.4 Priority of the Realities Outside
1. Power distance versus equality. This is about the acceptance of hierarchical

relationships versus communication between equals. In a hierarchical culture
power distance is an accepted phenomenon. Just like in collectivist cultures those
in power derive status from their position. But there is a difference: In collectivist
cultures people in power derive their authority from tradition and age, whereas
in a hierarchical society those in power derive their status from their position
within the hierarchy. In many cases, though, these two forms of status merge.
Hierarchies are very effective in the struggle against nature and everything else
outside, because, obedience and efficient labor division bring the external nature
under control, while age and tradition bring about the necessary experience of
perfecting the art of realizing your objectives.
2. Value of discipline. The question to be raised is: do people act according to
strict discipline, or do they give in to impulses or momentary influences from
other people? In hierarchical cultures, the people at the bottom of the hierarchy
are used to working hard. Imperial cultures often developed agriculture, in river
valleys, and introduced complex systems of labor division, requiring disciplined
functioning, cooperation, and control. In hierarchical societies, however, labor
is not considered a value in itself. Those who can afford leisure prefer a
contemplative life of not working, but ruling and spending their time to art,
philosophy, and the like, just as Aristotle and Plato did.
3. Value of labor. On the issue of labor, one needs to ask whether people only work
hard because they have to earn a living, and because they are under command
or is labor considered inherently valuable, so that even people at the top value
hard work? Only in future-oriented cultures could labor become an intrinsic
value also for the top layer of society, like in monastic orders and later in the
Protestant West. This is because they had a drive to bring about change, and
were ready to pay the price. In such a climate the intrinsic valuation of labor,
also for intellectuals, could lead to experimental scientific work, replacing the
old contemplative attitude of the Greek philosophers, who did not experiment,
but only thought and observed carefully. Cultural characteristics, like the value
of labor, a sequential ordering of time and discipline, are often interconnected
and reinforce each other (Taylor 2007; Weber 1972).
5.5 Priority of the Future and of Change
1. Uncertainty avoidance. This brings us the question, whether people stick to the
traditional habits or are open to new and challenging situations. When people are
dissatisfied with the status quo and the heritage of the past sooner or later the
time comes to prioritize the unknown future above the well-known present and
the past, which is a painful process. Different cultures made such discoveries,
at different stages of the axial age, devaluing the status quo, by striving for
nothingness (Buddhism), emptiness (Taoism) or an invisible God, promising a
future of justice (Judaism). Everywhere, people who in our time take a risk in
order to attain a better future, turn against the group, and are singled out as
belonging to a future, which is not yet realized, repeat the past performance of
these traditions.
2. Creative or repetitive. This asks the question, are people valued for being
innovation and creativity oriented, or for their adaptation and incorporation
in tradition, and in the common group life? Generally, uncertainty avoidance
stiffens creativity, because thinking “out-of-the-box” often means standing alone.
Many have suffered for such an attitude in the history of humanity, and others
have given their very lives for it. A few examples would suffice: Socrates was
forced to take hemlock, because his thinking did not conform to that of the
society (Läertius 1972, p. 240), while Aristotle was forced to flee his mother-
land, claiming that he would not allow ancient Athenians to sin twice against
philosophy (Copleston 1985, p. 268). Galileo Galilei was excommunicated by
the Church and banished, while Jesus Christ, before him, was crucified among
common thieves, like a criminal. And yet their only crime was that they thought
the unthinkable, and saw what nobody else could see, in their age and milieu.
3. Value of ordinary life. Under this point, one needs to ask two key questions: do
people strive for the top, for status and power, or do they consider ordinary life
and “ordinary” relationships (friends, marriage, and family) as more valuable?
Is service toward others only a matter of obedience, in terms of hierarchy
and collectivism, or is it considered valuable in itself? To reach the stage
where labor, ordinary life, being unnoticed at the top, can become part of the
bloodstream of humanity, people first have to give up their pride, status, and
self-esteem. In order to enter the future a degree of formlessness is required,
a humility and openness for further developments, what is sometimes called
“servant leadership” (Greenleaf 1977). The real leader is not in control but at
the front.
4. Criticism and respect. This point carries three questions as follows: can criticism
only function as criticism from the top to people lower in the hierarchy, or is it
possible to criticize people with high status and power as well? Is criticism the
end of a respectful relationship or can it be integrated into it? Is disagreement
accepted as part of the process of finding agreement or is it “dangerous” and
should it be avoided at all costs? Often people feel they lose face if they are
criticized or make mistakes, because, in many societies, it is culturally not an
accepted fact that nobody is perfect. Criticism is allowed and necessary, however,
in a society that allows a rupture with the past. Perfection, in such a culture,
is beyond reach anyway, hidden in the future. To accept criticism is always
problematic, even in the most progressive societies, because if an individual takes
the next step into the future and goes beyond accepted opinions, nobody will be
grateful.
5.6 Priority of Inner Initiative and Deliberation
1. Universalistic versus particularistic. The key question here is about decision

making. Is a decision taken on the basis of general rules and regulations,
or is it induced by special bonds and relationships in specific situations and
circumstances? In the West loyalty to family ties (clan, tribe) has been pushed
to the background, and at the same time, the power of the state hierarchy is
tuned down. In this way, a free space was created for a civil society, based on
free association of individuals (Stackhouse 1984; Wiarda 2003) as equals. But in
order to make this happen, new arrangements for social cohesion needed to be
developed and put in place. One of these achievements is rule by law and rule of
law (Berman 1983): From now on arbitrary rule was replaced by universalistic
rule, according to the regulations of Canon law and common law. By these
institutions a culture of playing by the rules, instead of cooperation on the basis
of relationships and affinities, could take off. Selective trust could be substituted
by anonymous cooperation.
2. Neutral versus affective. The key questions here are two: Are emotional neutral-
ity and analytical rationality in high esteem in taking decisions, or do contingent
situations and affective preferences turn the scales? In social dealings, like
trading for instance, is an affective relationship important, and do people show
their feelings in negotiations, or is a business-like professional and neutral
attitude more suitable?
This cultural characteristic of the West is more developed in the Protestant
Northern countries. It came about as an internalization of the rule of law, in social
roles, in the secular sphere of trade and production. The attitude is that like and
dislike, as well as personal relationships of friend and foe, should not play a role
in workshops and business and social relationships in general. This makes public
cooperation and teamwork possible, irrespective of family loyalties and state
authority; and as such, it is an important ingredient of a smoothly functioning
civil society. Every person is counted and dealt with by the same standards.
3. Specific versus diffuse. One needs to ask oneself, whether people differentiate
between roles and persons, or are they mixing them up? Is a good relationship
immediately connected to a good treatment or do people stick to their formal role
and task?
This characteristic too, like neutral and universalistic behavior, is a precondition
for social cooperation between anonymous persons, as required by a civil society
that functions independently from family loyalties and state authority. As such it
is related to individualism and equality. Civil servants, for instance (this started
in Germany in the time of the Reformation), were supposed not to accept bribes
and to do their work conscientiously and according to universal principles.
4. Achievement or status. Are people valued for what they have achieved as an
individual or on the basis of their status in the family, tribe or clan, education, and
profession? In a future directed society of equal citizens status is derived from
achievement (labor!) and not from power relationships, position, and family or
age. This value is related to labor as an intrinsic value, and as a means to realize
a better future.
5. Sequential or synchronic. This has to do with the way people operate. Are people
doing things in parallel and responding to the requirements of each separate
moment, or do they work in a sequential order according to plan, and do they plan
ahead? By planning, time is dealt with in an instrumental way, i.e., as a means
to reach a goal. The present is valued in its function for realizing a better future.
The importance of future success turns the present into merely a means, which
implies quite a change of attitude. In a synchronic culture the present moment is
more important than the future, in the sense that the person entering the room at
this particular moment, even without an appointment, always deserves priority.
A functional attitude, generally, values the present in function of future goals,
and takes things in space as related to (in function of, analytically) far-off things.
The present becomes a function of the far-off in time and space, and is less lived
as a separate moment to be valued in and for itself.
6. Analytical or metaphorical. In a metaphorical culture, the living experience is
expressed in stories and metaphors, poetic images, and narrative details, whereas
an analytical attitude is looking after the numbers and the data. This analytical
attitude is related to planning and instrumental dealing with time in the sense
that it reduces living reality to its mechanical functions in order to reach a
goal. Generally speaking, if Africans describe poverty, for instance, they use
qualitative metaphors and stories about suffering, and use images of desolation
and hopelessness, whereas Western donors ask quantitative questions, such as
how much food is available, and how much clean water is needed.
7. Voluntaristic or fatalistic. Are people in control of their environment on the basis
of their own initiative (from an inner center, as it were) or are they exposed
to the influences of their environment, without any control, and do they take
things as they are? Fatalism is connected to traditionalism: Whatever happens,
group traditions are repeated and prolonged. Intervening in the usual course of
events, however, comes down to taking a decision from an inner center of action
in response to a future challenge. Where change and going against the group is
not valued, a traditional society becomes more or less automatically fatalistic,
taking things as they are. Thereby life comes to mean repetition of traditional
values (fate literally means what is foretold – what was once foretold determines
our course of action, whatever happens).
The figure beneath shows that human life is always at the crossroads, both
individually and socially (Fig. 49.1). Constantly and irreversibly humans have to
choose either to continue the heritage of the past or to change their ways. And at
the same time constantly decisions have to be made who are partners and who are
adversaries, whom to speak to and whom to compete with, who is inside and who
is outside. Depending on such decisions and priorities humans cling to the different
qualities listed above. This implies that none of these human qualities (or virtues or
modes of behavior) is good or bad in itself. All of them may be temporarily good
and justified, and, at other times, not functional but detrimental. Western history,
for instance, may be considered as equalizing and democratizing, but still there is
hierarchy which is crucial. The country which started with democracy (the French
Fig. 49.1 Overview of Most

cultural traditions Inside: Subject
Western history
Past: Traject Future: Project

Tribal society Axial period
Outside: Object
Empires
by their Revolution) also introduced compulsory conscription for the military to

defend itself from outside forces (Winkler 2009). This means that to be democratic
all the time, or under hierarchical authority all the time, would be wrong, for all
practical purposes. The example also shows that the integration of different cultural
values does not mean to find a middle ground, but to alternate between them. Thus
to alternate, in our behavior, between different values is constantly done in every
society.
In our days of the emergence of a global society the different geological layers of
culture become a common stock to draw upon for all of us. Granted, no society can
change all of a sudden and just overnight, but there is always a next step in which it
can integrate the human heritage of any other society. Cultural transition, from this
perspective, does not mean a total change, but the introduction of human qualities,
derived from other societies, into the existing framework. All of us change our roles
from time to time and from moment to moment. Hierarchical relationships call for
obedience, but how long and how much of it? Open discussions are very nice, but
here too, in the end somebody needs to take a decision, even if this is done by means
of voting, in which case the majority wins. Intercultural management systems and
projects connected to the transfer of technology should deal with this differentiated
intercultural heritage – consciously and deliberately. In general, it may be clear that
the introduction of large-scale technological applications is linked up, inevitably,
with future-oriented human qualities, and with human qualities, related to the
achievements of Western history, an inner center. Technological applications require
a specific type of human subject, to deal with them effectively. That means that in the
introduction and transfer of these technologies to non-Western societies somehow,
these societies need a conscience trade-off, equilibrium, or path-dependent change
in one package with the introduction of the technology. That does not mean that
these human qualities can merely be copied from the West. Never have such
historical achievements, even if they were taken over, merely been copied. The
adaptation to the indigenous cultural system always requires also a renewal of such
qualities. It needs to get a specific version of such qualities in each new situation.
Even among Western nations there are considerable differences in human types and
qualities, there are different versions of democratic and egalitarian societies. The
integration of different cultural values in the end is a creative process, in which both
the indigenous and the incoming values are innovated, as soon as they are coupled
to each other. Time and again, a new version of these qualities is created. A case
in point is the adaptation of money transfer through the mobile phone handset, in
Kenya, popularly known as M-pesa, needless to mention its variance of M-kesho.
This spread its tentacles to UK and USA, even though it developed, as a response to
the needs of a concrete situation, where money transfer was cumbersome, because
the majority of the people lives in rural areas without bank accounts and never
bothered to buy mobile phones.
6 A Comprehensive Model for Technology Transfer
So far this chapter provided an approach to needs assessment and an approach to

dealing with cultural characteristics, which influence the reception of technology.
The consideration of such cultural characteristics should contribute to a better
understanding of cultural differences between the technology transfer’s country of
origin and the country of destination. Sometimes training in a specific set of values
and human qualities may be required in order to cope with a specific technology
(Kroesen and Rozendaal 2010). Putting these two approaches together, a model
for the transfer of technology can be presented, consisting of a number of steps
in logical sequence and addressing the “forgotten” but crucial considerations in
technology transfer.
The model that has been developed in this chapter actually describes a social
system, similar to the concept of a technological innovation system, in which a
wide range of different actors should cooperate to make the technology transfer a
success. Universities from developed and developing countries should cooperate
in development and research, for contextualized technologies, applicable in the
local contexts. Business organizations, governments, NGOs, and vocational training
institutes should be involved in the technology transfer process, feasibility studies
should be conducted, and skills for the production of contextualized technologies
should be put in place (Fig. 49.2).
In each phase of the technology transfer process, different actors may be
predominant. This model of technology transfer consists of the following steps:
1. Needs assessment (problem identification). This is the first step in the technology
transfer process. Needs have to be identified, and also the basic characteristics
of the needs, in terms of quantity, price levels, and cultural preconditions. This
involves identifying, not so much the needs of the political elite, but much more
NGOs +
University University Government Businesses +
Vocational
Europe Africa Institutions Finance
training
Specialized General Contextual Regulation Implementation,

scientific scientific knowledge, support, realization
knowledge, and training, facilitation
and specific education
general contextual
cross-cultural knowledge
knowledge
Fig. 49.2 Technology transfer system
the needs of the receiving society. Basically, the society is the center of analysis,
not the available technologies and not the demand in terms of money available.
In this regard policy makers, politicians, NGOs, universities, the press, in short,
the society in general, have to play a role. None of these agents has a complete
overview, and none can do without each other’s adjustments and criticisms.
2. Analyze how to satisfy the needs (options identification and design). The needs
identified require options to meet them. These options of how to satisfy the
needs may not necessarily be technology related (in its “hardware” aspect).
More often than not, organizational skills and capacities are sufficient to help
people help themselves. If that is not the case, and of course mere transfer of
organizational skills is insufficient, then the first assignment is to design, or
redesign, the incoming technology, to suit the local conditions and sociocultural
requirements. This is to be done primarily by institutes of higher education, and
in this cooperation, universities from the West give an input from the specialized
knowledge they have. Universities from developing countries may not have such
specialized knowledge, but they know much more about the culture and local
conditions, in which the technology is meant to function.
3. Analyze the technology within the bigger perspective of sustainable develop-
ment. The criteria of such an analysis can be contained in a national development
plan of the developing country, or in other policy designs. In general, developing
nations have set their priorities by strategic plans, or development plans. These
plans might constrain the resources that governments are willing to commit to
the options. But these, too, do not necessarily respond to the real needs of a
society. In any case, technology transfers should consider the larger framework
in which they operate. It does not, for instance, make much sense to introduce
tube wells, for large-scale irrigation for one village, if the aquifers clearly do not
contain enough water for the whole region. This is a matter of policy makers,
universities, NGOs, government institutions, and civil societies to sort out.
4. Decide between indigenous production, or transfer/contextualization. Even
though most of the technologies of developing countries are transferred from
overseas, there are technologies that can be developed and used locally. The
“make option” is attractive, if the resources and skills needed to produce it are
locally available, and the technology is of great economic or strategic interest
for the society. However, it is important to point out that investing in the “make
option” only for reasons of strategic interest can lead to disaster.
In the contextualization of the technology, institutes of higher learning, which
design the technology for local use, need local knowledge and experience in
order to make the technology work. Here NGOs, and via them end-users,
should be involved in the design and development process. A good example
of what happens, if that is forgotten, is the building of biogas installations,
which were donated by a foreign NGO as a pilot project to some farmers in
Northern Ethiopia – at a village in Wukro. The NGO paid and the farmers had
to build them. The NGO even provided a small (Western type) cooking stove
for burning the biogas. However, the NGO did not consider that in Ethiopia
cooking stoves should be suitable to baking the large pancake-like Injera, which
the Ethiopians use as bread. Since the cooking stoves were not adapted to this use,
the farmers did not use the biogas installations either. A feasibility study should
show whether the technology can find customers/users, in what ways customers
would like to use the technology, what they are willing to pay, and so on. Such
a feasibility study, in turn, feeds into the design process in order to adapt the
technology to customer preferences, and make it marketable.
But it is not only the end-users that the design and contextualization of the
technology should consider: Availability of materials, maintenance skills, the
option of local production of spare parts, and user-friendliness of the technology
for the local community must also be considered. Other aspects to be considered
are adaptation of maintenance, organization, management, and replacement at
the end of the life cycle to local cultural capacities (or otherwise to develop such
capacities and train them as part of the project, in order to deal with new forms of
management). All of these issues need attention, and should be listed as design
requirements for the proper design of the end product.
At this stage vocational training also has a role to play in the sense that the
technologies should be designed for local production and maintenance as much
as possible, and it is vocational training institutes which have to teach and build
capacities and skills among their students to make, install, and repair them. The
technology should properly be designed to that end. It should, in addition, be
not only economically and socially, but also financially sustainable. In the end, it
should be possible to run an independent business by the use of the technology.
5. Assess the technology considering economic, social, cultural, and environmental
impact. Analyzing the possible impacts of a technology makes it possible to stop
the process timely, if necessary, or otherwise to introduce compensating policies
on the level of economics, environment, as well as culture. Assessing the tech-
nology with economic-related criteria and policies is essential. Countries may
have their priority sectors – for instance, Ethiopia is engaging more on leather
and textile industry and biotechnology, besides agriculture. Developing countries
may also prefer labor-intensive technology to capital-intensive technology in

order to exploit abundant labor forces. For a responsible technology transfer,
it is important to clearly analyze the kind of cultural transition expected by
implementation, or/and required for the introduction of a particular technology.
This is reflected in the training of required skills and capacities (for instance
disciplined and correct maintenance, planning, cooperation with other partners,
and the like), and also in cultural values and attitudes (like selective or anony-
mous trust, universal rules, and neutral roles). This does not only apply to the
end-users, but also to skilled workers, managers, business people, and all other
stakeholders. Universities and NGOs can play a role in making handbooks for
vocational training, and develop modules and courses.
6. Decision on a technology. After assessing the possible alternative technologies
the most appropriate technology is selected in combination with the economic,
environmental, and cultural adaptations it requires. Such a decision cannot
be taken, or for that matter cannot be a positive one, if a business case for
the implementation of the technology cannot be made. After the design and
development of the technology, the proper order of implementation is first to
conduct a feasibility study, which should show whether there is a business case
(i.e., whether a profitable business in principle can be run in the present state
of the market forces) and thereafter make a business plan, by which a smaller
or larger business can be run on a daily basis. Universities, vocational training
institutions, and NGOs, as well as business enterprises, government agencies and
banks, should be involved in this process in order to put the right regulations and
government support in place, where necessary.
7. Physical and sociocultural transferring process. This includes the physical move-
ment or transfer of the “hardware” (both finished and semi-finished technology)
and the “software,” which includes design skills for universities, design and
development skills, for vocational training institutes, and managerial skills for
NGOs and businesses. It also involves awareness campaigns and the creation of
new institutions: All of this is making possible a reflexive and path-dependent
cultural transition, either on a business level, village level, regional level, or even
national level, in order to deal with the technology effectively.
8. Implementation. The final step of the technology transfer is implementing the
technology. Additional recommendations for developing countries, as stated by
Awny (2005), are worth mentioning here, i.e., absorption and further modifica-
tion of the technology should be taken into account. This should not take place
only in one moment in time, but rather as a continuous process, which, again,
takes a long-term involvement of a great many actors.
9. Establishing the success and evaluating the transfer process. Once the whole
transfer process is finished, measuring the success or failure of the transfer
process helps the implementers to learn from mistakes, and it leads to improving
the next transfer processes. Experiences of users should be taken up as feedback
into the design and development process, making the circle of invention,
production, and evaluation round, as shown in Fig. 49.3.
Fig. 49.3 The suggested

technology transfer process Needs Assessment.
Analyze how to satisfy the needs.
Analyze the technology with respect

to sustainable development.
Make a decision between make,

and buy/contextual transfer.
Assess the technology with respect

to economic, social, cultural and
environmental factors.
Make a transfer decision on a

technology.
Physical and socio-cultural

transferring process.
Implementation.
Establishing the success and

evaluating the transfer process.
7 Conclusion
In this chapter the process of technology transfer has been analyzed and evaluated,
taking into account its complex nature and with special attention for proper needs
assessments and the assessment of cultural differences. An inventory of culture-
specific values has been presented, and it has been pointed out how these values
can function as a common stock to help design a path-dependent way forward, in a
combination of technology transfer and cultural transition. In the end, the steps to
be taken have been listed, consciously and reflexively.
This model could contribute to mutual adaptation processes between technolog-
ical design and social needs, in which the social needs and cultural values of the
receiving culture feed back into the decisions on transfer of the technology, its
feasibility, and the business opportunities it creates. This approach to technology

transfer, as such, requires the equivalent of an “innovation system.” The term
“innovation system” implies a holistic perspective toward the whole process of
technology creation. The whole chain of such an innovation system and all its parts
should work well, otherwise the process will fail, because the chain is no stronger
than its weakest link.
Finally, it is quite important to educate a kind of engineer who has exper-
tise and experience in dealing with technology transfer across cultural barriers,
taking into account all the factors and actors of such an innovation system. It
takes a combination of technical knowledge, which should be deep enough, and
sociocultural knowledge, which should be broad enough, to accommodate this
approach. But this is not only a matter of knowledge. It also takes the capacity of
communicating, according to different sets of values, as it were speaking different
cultural languages, and being able to translate the one culture into the other. This
intercultural understanding is important in order to keep the work smoothly going
and maintaining harmony. But, it is also important in helping the stakeholders
to judge when to go along with existing cultural codes, and when change is
necessary, in order to keep the technology transfer in tandem with the development
of the culture. In addition, because such a process of cultural transition is both
unpredictable and creative, it is not only judgment that is required, but also the
capacity to act in such contexts, and participate in the process of bringing about
such intercultural learning trajectories along with the technology.
8 Summary
In development policies, either business or project oriented, thorough needs assess-

ment as well as an account of the different cultural values and habits of the receiving
country have often been neglected. Due to this neglect many technology transfer
initiatives have failed, of which the authors mention several examples. Having
considered existing approaches and models of technology transfer, the authors offer
a more comprehensive model, integrating an approach to needs assessment and to
cultural characteristics into their proposal. In a thorough needs assessment it is of
particular importance to sort out whose needs are served, preferably not (only) the
needs of those actors with purchasing power, but the needs of the society as a whole,
especially the poor. Also the suitability of the technology in terms of environment,
long-term policies, suitability to the state-of-the-art of social capacities, etc., are to
be considered.
For assessing the cultural characteristics of the receiving country in comparison
to the country of origin a fourfold model of cultural achievements and human
qualities is offered, differentiating between more traditional either collectivist or
hierarchical cultures as well as more future and intervention-oriented cultural
repertoires, sets of values and ways of life. In technology transfer, either business or
project oriented, a conscious and deliberate trade-off and equilibrium of such values
should be sought for in order to turn the transfer into a success. The capacities,
skills, ways of dealing with technology and with other actors, values, and human
qualities, which the technology requires, should be put in place in one package
with the technology itself. This means either adaptation of the technology to the
local culture and habits, or training and education in those human qualities and
values, capacities, etc., which modern technology requires, capacities like planning,
anonymous trust, universalistic rules and regulations, etc. Such equilibria and trade-
offs should be constructed in a path-dependent way building on former experiences.
In many projects often without explicitly knowing such equilibria and trade-offs
are tried, including training of new patterns of behavior and organization. There
are only few projects in which the construction of such trade-offs and equilibria
are made deliberately part of the project itself. More such experiments should be
tried, even if this approach may be somewhat sensitive in that it touches on the
inner core of norms and values of individual persons and cultures. Part of such
experiments should be the question: how did we get here and where do we go from
here? This is an important question for everybody involved in intercultural dialogue.
This question is also important as a matter of further research. The question should
be researched and experimented with, whether on a global scale there can also be a
labor division in terms of values and ways of life, maintaining different paths into
the future. This type of questioning and research is only in an embryonic stage. But
in order to avoid a clash of cultures the question should be put on the agenda. As a
matter of fact, no society has reached its final stage. This type of questioning instead
turns all societies into developing countries.
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Section VI
Energy Sources of the Future
Energy Sources of the Future:
Introduction 50
Fabio Orecchini
1 Introduction
Going beyond the limitation of the present is the essential feature for an energy
source to be defined as “energy source of the future.”
The limitations of the present energy era are well understood and widely
recognized. As the world energy system is nowadays based approximately at 80%
on coal, oil, and natural gas, the world population is committing its development to
sources:
• Exhaustible
• Geographically not homogeneously distributed
• Primary source of greenhouse gases
The consequent instability on the global economy and political equilibrium and
the inequality on the energy accessibility for the world population are evident
worldwide.
Summarizing all the possible implications, the main limit of the present energy
system, due to the energy sources on which it is based, is the un-sustainability.
In such a way, it comes clearly to light the key feature of the energy sources of
the future: sustainability.
A clear definition of energy sustainability, according to sustainability science, is
to be based on the following pillars:
• Renewability of energy resources
• Efficiency in energy conversion, distribution, and use
• Lowering of environmental impact
• Increasing of energy accessibility
• Tailor-making of energy systems on local social, economic, and environmental
conditions
F. Orecchini
Interuniversity Research Centre for Sustainable Development, University of Rome La Sapienza,
Department of Mechanics and Energy, Guglielmo Marconi University, Rome, Italy
e-mail: fabio.orecchini@uniroma1.it

DOI 10.1007/978-1-4020-8939-8 128,
924 F. Orecchini
The present section aims to discuss the energy sources able to match with the
five pillars above, i.e., the renewable resources solar energy, biomass energy, wind
energy, earth energy, and water energy.
Going into the chapter’s details, “Renewability of Energy Resources, Energy
Vectors, and Energy Technologies for Mobility” is the first chapter where the
implications of source’s renewability are discussed.
The connection between the renewable energy sources and the closed cycles,
where the concept of “consumption of the resources and waste” is substituted by the
concept of “use (and endless reuse) of the resources without waste” is discussed. The
role of the energy vectors to satisfy the need of energy transportation and storage,
implied by the fact that the primary resources are generally available in a different
place and in a different time comparing with the energy demand, is highlighted.
Attention is paid to the crucial changes required to the mobility system (responsible
today for more than 60% of world consumption of liquid fuel) to integrate at best
the new energy vectors.
The following five chapters discuss in detail about the energy sources and the
analysis includes the most relevant sources for the energy global balance of the
Earth.
The Earth system, in which the human beings operate, in fact can be considered
a close physical system on the point of view of the matter exchange with the outer
space, but not on the point of view of the energy exchange. On the point of view of
the energy exchange is definitely an open system and a continuous energy input is
guaranteed by different naturally available sources.
The main energy input is from the Sun: the direct solar power accounts for
99.98% of the entire energy available on Earth. The other sources contribute to
the energy balance of the Earth for the remaining 0.02% and include energy from
gravitational interaction, as well as the thermal energy present inside of the Earth,
conveyed to the surface through conduction and convection.
The chapter “Solar Energy” is therefore dedicated to solar power: also, nearly
30% of the solar incident radiation is reflected by the Earth’s surface and dispersed
in the external space; the atmosphere, the surface of the Earth, and the oceans absorb
nearly 47% of the total (roughly 81,00012 W). If only the 0.1% is converted by
current photovoltaic or thermal technologies, the theoretical potential corresponds
to nearly 80 1012 W with an annual energy availability of 7 1014 MWh (5:9
104 Mtep) per year.
The chapter “Biomass Energy” is dedicated to biomass: this source also can
be directly ascribable to the solar power of which nearly 40 1012 W (0.05%) is
transformed by the chlorophyll contained in plants, fixing the carbon in the leaves
and storing the energy as carbohydrates. The biomass is the first energy resource
used by human from time out of mind and also nowadays remains the only energy
source readily available for the most part of the world population. One big limitation
is the low energy density (10–20 MJ/Kg), and also the fact that it is historically
converted into thermal energy, the less flexible kind of energy, but new technologies
are oriented to higher efficiency power and heat-generation processes.
50 Energy Sources of the Future: Introduction 925
According to estimates, the conversion from biomass might provide 23

1010 MWh (2 104 Mtep) per year.
The chapter “Wind” is dedicated to wind, generated to the small fraction of
solar radiation (around 0.2% – nearly 370 1012 W) “embedded” by air nonuniform
heating and subsequent circulation and other processes. To exploit the wind as
energy source, for electrical power generation, the region’s mean wind speed and
its frequency distribution have to be taken into account, and it is meaningful to use
wind turbines only where wind power density is at least 400 W/m2 at 30 m above the
ground. Taking in account only the exploitable part of wind, the technical potential
is estimated around 15 1012 W, to which corresponds an annual energy amounting
to nearly 13 1010 MWh (10 103 Mtep).
The chapter “Geothermal Energy” is dedicated to the geothermal power, the
so-called energy source of formation coming from the formation processes that
originated the Earth itself. The energy source is the heat flow coming from the
inner part of the Earth, able to originate a thermal gradient of 3ı C/100 m along
the first vertical kilometers, with a fast increase in the next vertical section (the core
temperature is estimated at 4,500ıC).
The mean value of the energy flow amounts to 0.063 W/m2 : considering the
Earth’s surface to be around 510 1012 m2 , an overall exploitable power of about
32 1012 W corresponding to an annual energy of 28 104 MWh (2; 4 104 Mtep
can be calculated).
The chapter “Energy from Water” is dedicated to the micro-hydro, sea currents,
and wave energy: also, in such a case, a part of the source can be ascribed to the solar
radiation as around 23% (nearly 40,00012 W) is used in the water cycle.
Only the convolution of water’s runoff offers a theoretical hydropower potential
estimated as 5 1012 W, with an annual energy amounting to 4:3 1010 MWh (3:7
103 Mtep). Then the potential from the gravitational interactions, manifested by the
tides, and the sea currents, can be taken into account, amounting to more than 3
1012 W, which corresponds to an annual energy of 2:61010 MWh (2:2103 Mtep).
Each of these chapters includes a short description of the technologies currently
used to exploit the energy resource and proposes the design of a small-size plant.
After a short introduction to the resource, the technology, and the components, a
case study is described and an economic analysis is included.
The last chapter “Ensuring Sustainability of Bioenergy in Practice” makes the
point on the energy accessibility and tailoring of energy systems on local social-
economic-environmental conditions. It is concerned to underline the importance
of the socioeconomical aspects in the growth of a new and sustainable energy
system. No energy system can be sustainable without a correct share of resources,
according to the increase in the energy accessibility, through valorization and correct
exploitation of all the resources offered by each local environment.
Biomass Energy Field
51
Vikram Seebaluck
Abstract
This chapter gives an overview of biomass resources for the production of
bioenergy with emphasis on the production of electricity from renewable sug-
arcane crop. The benefits of bioenergy production are given after which the
techniques and technologies for the conversion of alternative biomass feedstock
into energy products are outlined. A case study of commercial-scale electricity
generation from sugarcane biomass is then given together with the associated
design aspects, efficiency, performance indicators, benchmarks, and economic
and environmental aspects. The opportunities for replication of such experience
worldwide are finally discussed in particular in the context of sustainable energy
development.
1 Introduction
Biomass accounts for a major share of primary energy consumption among

renewable sources and represents the main source of energy in many least developed
and developing countries. While they are traditionally and mostly consumed for
cooking, heating, and for small industries, in the form of fuelwood, charcoal,
and residues from agricultural and industrial production, the gradual adoption of
more efficient and higher quality modern bioenergy options represents an important
element in the global transition to clean and sustainable energy. Many such modern
bioenergy projects are being undertaken on different scales worldwide and are
gradually fetching momentum to contribute significantly to the global energy mix.
Modern bioenergy can reduce the dependence on fossil energy sources, facilitate
V. Seebaluck ()
Department of Chemical and Environmental Engineering, University of Mauritius, Le Reduit,
Mauritius
e-mail: v.seebaluck@uom.ac.mu

DOI 10.1007/978-1-4020-8939-8 118,
928 V. Seebaluck
the creation of rural livelihoods, and offer new development paths that can meet key
environmental goals and sustainable development patterns.
Biomass is present in different forms worldwide but the dominant source is from
crops which draw on the biophysical and climatic advantages of world regions.
However, on average, biomass crops in tropical and subtropical climates are five
times as productive, in terms of photosynthetic efficiency, compared to biomass
produced in temperate regions; Smeets et al. (2004) reported that Africa has
the greatest potential for bioenergy development of any world region while it is
currently highly dependent on inefficient uses of biomass that deliver low-quality
energy services.
The production of modern biomass and biofuels can bring multiple benefits;
at the domestic level these will include health improvements, reduced regional
emissions, and the creation of rural livelihoods while the macroeconomic impacts
will include foreign exchange savings and reduced dependence on imported sources
of energy. There is also significant potential for greenhouse gas (GHG) emission
reductions from expanded use of modern bioenergy, with the latter earning credits
under the Kyoto Clean Development Mechanism (CDM). However, harnessing the
potential of bioenergy requires coordination with respect to economic policy, trade,
and resource practices and regulations.
2 Biomass Resources
Biomass energy is solar energy absorbed by photosynthesis and stored as chemical

energy in plants, and whenever the latter is consumed by animals, this energy is
passed on to them. Hence, any organic material of plant or animal origin including
cellulosic or lignocellulosic materials contains energy and is generally termed as
biomass which has the potential to create bioenergy in the form of electricity, heat,
steam, and biofuels. The raw potential of biomass for energy depends primarily
on photosynthetic efficiency, which varies considerably across plant species and
varieties. There are two main photosynthetic pathways, namely, C3 and C4, whose
names derive from the fact that the first products of photosynthesis are the formation
of 3-carbon and 4-carbon organic acids, respectively (El Bassam 2010). The
C4 pathway operates optimally at higher temperatures and is characterized by
higher water use efficiency, greater CO2 exchange, and greater biomass yields;
sugarcane, sorghum, and maize are the most relevant C4 crops. The C3 pathway
plant species include many food crops such as potato, rye, wheat, barley, rice,
and cassava but also include many oil-bearing crops such as soya, sunflower, and
rape (Johnson and Seebaluck 2012). Different biomass plants will have varying
ecological requirements and yields depending on factors such as the varieties
chosen, location, climate, and management practices.
Biomass resources are numerous, ranging from forestry residues, dedicated
energy crops, agricultural process residues, animal wastes, aquatic plants, and many
other feedstock. Typical cultivated biomass includes crops used for both food and
energy production (e.g., sugarcane, corn), carbohydrate-containing crops (potatoes,
51 Biomass Energy Field 929
cereals), forest plants (eucalyptus), energy crops (sweet sorghum, Arundo donax),
and aquatic plants (algae, seaweeds). Waste biomass will include agricultural
residues, forest wastes, municipal solid waste, animal wastes, and process wastes.
All of these feedstock have the potential for producing bioenergy in different forms.
Biomass resources used for energy production offer many advantages: they
are easily grown, collected, utilized, and replaced fairly quickly over reasonable
period of time without permanently depleting the Earth’s natural resources; they
are more evenly distributed globally compared to fossil sources; they can offer
opportunities for energy self-sufficiency in many countries or as alternative fuel to
reduced dependence on fossil fuels; there exist many commercial, mature, and state-
of-the-art biomass to energy conversion technologies which are in many cases less
capital intensive; they are environment friendly given that they are characterized by
closed carbon cycles with net zero impact that is the CO2 produced when burned
or transformed and used as energy products are sequestered by the plants during
growing phase; they provide multiple socio-economic benefits; they have the ability
to create sustainable livelihoods; and they have wide range of application from
pico-, micro-, medium-, industrial- to large-scale generation. In general, biomass
energy resources offer many crosscutting advantages when compared to other
energy resources including renewable ones.
3 Biomass to Energy Conversion Routes
There are mainly three different biomass to bioenergy conversion routes, namely,
direct combustion/incineration, thermochemical conversion, and biochemical con-
version, as given in Fig. 51.1. These processes differ in practical applications with
respect to the capacity, conversion time, and efficiency among other processing
parameters. While there exist many such commercial technologies for energy
production that have been used for long and have become mature, many others are
also constantly being developed and demonstrated worldwide.
Combustion and incineration is the most common process in biomass to energy
conversion technologies and is the burning through rapid oxidation accompanied
by heat and light to produce heat/steam and electricity for simultaneous usage.
These processes are applicable to solid, liquid, and gaseous fuels but are generally
applied to solid fuels such as sugarcane biomass, wood, or municipal solid waste.
It is generally convenient and economical to burn the solids semi dried or at lower
moisture content in order to derive higher amount of energy from the combustible.
Thermochemical conversion is comprised of two main techniques, namely,
gasification and pyrolysis. Gasification is a process that occurs at high temperature
and pressure to convert carbon-containing fuels into a synthesis or producer gas
consisting primarily of carbon monoxide (CO) and hydrogen .H2 / together with
carbon dioxide .CO2 / and methane .CH4 / as residual gases through incomplete
combustion and reduction. The products of gasification are heat and electricity. The
electricity productivity of the gasification process as compared to the conventional
Rankine steam cycle could be increased by more than two times. Such process
930 V. Seebaluck
Commercial Biomass conversion Research and

applications processes development
Several routes depending up on materials used, processing

configurations, operating conditions and others
Direct
Thermochemical Biochemical
combustion/
conversion conversion
incineration
Heat/steam, electricity, liquid and gaseous fuels
Fig. 51.1 Main biomass to energy conversion routes
adds value to low or negative value feedstock and is applicable to low-quality coal,
petroleum-based materials, as well as biomass such as wood or sugarcane fibers.
Pyrolysis is the conversion of biomass into gases, liquids, and solids at temper-
atures of around 500–900ı C by heating in closed vessel in the absence of O2 (e.g.,
pyrolytic destructive distillation of wood into methanol, acetic acid, turpentine, and
charcoal). It can process all forms of organic materials which are difficult to be
handled by other processes. The gases produced are a mixture of H2 , CH4 , CO,
CO2 , and other hydrocarbons while an oil-like liquid is concurrently produced
together with solids similar to charcoal. It produces a high calorific value fuel
.22–30 MJ=m3 / from difficult waste which can be used to produce electricity.
Production of hydrogen as a by-product from the process is seen as an increasingly
valuable fuel.
Biochemical conversion consists of two main processes, namely, anaerobic
digestion and fermentation. Anaerobic digestion is the microbial digestion of
biomass done by anaerobe (a microscopic organism that can live and grow without
external O2 or air) which extracts O2 by decomposing the biomass at low tempera-
ture (up to 65ı C) in the presence of moisture (80%). It generates mostly CH4 and
CO2 with small amount of impurities such as H2 S. The gas is scrubbed to generate
a superior fuel gas .CH4 / which can be directly burnt for electricity generation or
other purposes. Typical potential feedstock used are agricultural biomass/residues,
forest biomass, aquatic biomass, municipal solid waste, and animal waste. Biogas
plants using wastes are very common in developing countries such as India and
China where they use conventional low technologies. On the other hand, modern
high-technology plants such as those processing municipal solid waste are common
in developed countries.
Edible Oil
Crops
Oil Bearing Crops Transesterification Biodiesel
Non-Edible
Oil Crops
Fermentation
Sugar & Starch
&
Containing Crops Distilation
Ethanol
Hydrolysis (Acid/ Biofuels
Enzymatic),
Fermentation & (Biodiesel/
Distillation Bioethanol/
Chemicals Biogas)
Low Pressure
Depolymerisation
Pyrolysis
Hydrogenation
Hydrocarbons/
Bio-Oil
Lignocellulosic
Fisher-Tropsh
Crops Steam
&
Bio-Electricity
Gasification Producer Gas
Combustion
Briquetting/
Pellets
Pelletisation
Combined
Heat & Power
Bio-Heating
Anaerobic
Wet Biomass Biogas
Digestion
Fig. 51.2 Conversion processes of biomass to energy products
Fermentation is the process of decomposition of organic matter such as sugar-

or starch-containing materials by microorganisms especially by bacteria and yeast
to ethyl alcohol (ethanol) and CO2 . Typical sucrose-containing materials are
sugarcane, sugar beet, cane molasses, sweet sorghum, and fruits while starch-
containing materials are grains, potatoes, and root crops. Cellulosic materials such
as agricultural residues and wastes, wood, and municipal solid waste can also be
used for ethanol production, but the process differs to include the conversion of
the six and five carbon sugars into simple sugars before being converted to ethanol
through the conventional fermentation and distillation processes.
Other techniques for biomass to energy conversion include the transesterification
process for biodiesel production and others as given in Fig. 51.2 to produce different
bioenergy products.
932 V. Seebaluck
4 Sugarcane Resources for Energy Production
In this chapter, energy production from sugarcane resources is presented as a case

study on the biomass to bioenergy conversion process. Sugarcane is a giant perennial
grass of the genus Saccharum that can be found in wet-dry tropical and partially
subtropical regions. It is classified within the category of C4 plants that occupy
around 5% of the Earth’s plant biomass (Bond et al. 2005) but which account
for around 30% terrestrial carbon fixation (Osborne and Beerling 2006). The C4
carbon fixation biochemical mechanism mainly enables sugarcane to thrive in dry
environment compared to other crops. The productivity of the crop depends on its
photosynthetic efficiency that range from 1% to 3.3% (Legendre and Burner 1995),
much higher than the 1–2% achieved on average by other crops (Deepchand 1986).
Sugarcane is one of the most promising agricultural sources of biomass energy
in the world. The high energy-to-volume ratio of the crop has enabled it to be
recognized as one of nature’s most effective storage plant for solar energy. Due to its
resistance to cyclonic winds, drought, pests and diseases, and its wide adaptation,
it was found to be the most appropriate agricultural crop in most cane-producing
countries. Although it has traditionally been valued primarily for sucrose, it is
increasingly being recognized as a versatile resource that offers multiple products in
the form of food, feed, fiber, and energy. During the processing of cane into sugar, a
number of “by-products” or “waste products” are obtained among which bagasse
and molasses are of key interest for energy production. Bagasse cogeneration
to electricity and bioethanol production from sugarcane juice or molasses are
among the major bioenergy commercially proven options which have long-standing
experience in the sugar industry. Indeed, bioenergy from sugarcane offers renewable
energy options that promote sustainable development, takes advantage of untapped
domestic resources, and cost effectively addresses climate mitigation and other
environmental goals. In this chapter, focus is laid on the production of electricity
from cane bagasse.
5 Sugarcane Bagasse Characteristics for Steam and

Electricity Generation
Bagasse is the fibrous residue obtained as by-product from a sugar factory after
juice is extracted from cane. It is a mixture of hard fiber, with soft and smooth
parenchymatous (pith) tissue of highly hygroscopic nature and contains mainly
cellulose, hemicellulose, pentosans, lignin, sugar, and minerals. The quantity of
bagasse obtained varies from 22% to 36% of the weight of cane processed and is
affected mainly by the fiber content and the cleanliness of cane supplied, which in
turn depends on the harvesting practices.
Bagasse contains 45–52% moisture as it comes out of the cane-milling plant
and is generally known as “mill wet bagasse.” Most mills produce a bagasse of
48% moisture content, and as such most boilers are designed to burn bagasse with
around 50% moisture. The gross calorific value of bagasse is 19,250 kJ/kg at 0%
moisture and 9,950 kJ/kg at 48% moisture. According to Rao (1997), it has varying
gross calorific values (GCVs) in the range of 19,037–19,497 kJ/kg. The net calorific
value or the practical energy that can be derived from bagasse is 7,985 kJ/kg at
48% moisture content. Moisture content is indeed the main determinant of the net
calorific value; a good cane-milling process will result in low moisture content
whereas high moisture content is the result of poor milling efficiency.
Bagasse is difficult to store and is prone to fermentation and chemical reactions
that can trigger slow internal combustion resulting in fire risks. It can be stored up to
a period of 1 year if it is dried to moisture content of less than 30%. Bagasse drying
is generally not practiced in the sugar industry and is currently an area of research
and development. Bagasse has also a low bulk density of around 160 kg=m3 (Paturau
1989) which poses handling and storage problems. Hence, it has historically been
common practice to continuously burn bagasse obtained from the mill in order to
avoid disposing it in stacking areas, which is costly in terms of equipment and
facilities. Due to the inherent low bulk density of the material, compaction and
briquetting can be practiced to reduce handling and storage problems which at
the same time decrease the moisture content. Pelletization is another densification
process that can be adopted to improve the combustion properties of bagasse as well
as facilitating storage (Seebaluck and Thielamay 2010).
6 Technique and Technologies for Bagasse Conversion into

Steam and Electricity
The technology for electricity generation using solid fuels, through the Rankine
cycle route, is conventional and is adopted by the power industry worldwide. The
basic alteration in the technology for generating exportable surplus electricity from
bagasse in sugar mills depends on the peculiarities of the material that are addressed
during the design of the furnace in the boiler house. All other technologies and
equipment are similar to the conventional power plants using other solid fuels for
power generation.
Cogeneration is defined as the concurrent production of process heat/steam and
electricity in an industrial plant by the sequential use of energy from a common fuel
source. Depending on the quality of process heat used, cogeneration may be based
on the “topping” or the “bottom cycle.” In the “bottom cycle,” the required process
heat is at high temperatures, and hence, power is generated through a suitable
waste heat recovery system. In “topping cycle,” the required process heat is at low
temperatures, and therefore, power generation is performed first. All sugar mills
employ this cycle for cogenerating power and heat. For sugar mill cogeneration,
a combination of stored and fresh bagasse is usually fed to a specially designed
furnace to generate steam in a boiler at typical pressures and temperatures of usually
between 20 and 87 bars and 350–525ıC, respectively. The high pressure steam is
then expanded either in a back pressure or single extraction back pressure or single
extraction condensing or double extraction cum condensing type turbo generator
934 V. Seebaluck
operating at similar inlet steam conditions. Due to high pressure and temperature,
as well as extraction and condensing modes of the turbine, higher quantum of power
gets generated in the turbine–generator set, over and above the power required for
the sugar process, other by-products, and cogeneration plant auxiliaries. The excess
power generated in the turbine generator set is then stepped up to extra high voltage,
depending on the nearby substation configuration and fed into the nearby utility
grid. As the sugar industry operates seasonally, the boilers are normally designed for
multi-fuel operations, so as to utilize mill bagasse, procured bagasse, other biomass,
coal, and fossil fuel (supplementary fuel or in exigencies), so as to ensure year-round
operation of the power plant for export to the grid.
There are mainly three bagasse cogeneration technologies, namely, extraction
cum back pressure route, extraction and condensing route, and condensing route
based on dual fuel system. In the extraction cum back pressure route, the sugar
factory produces only as much steam as is needed for the sugar processing side. By
upgrading the steam parameters, surplus power is produced after meeting captive
requirements. It is the cheapest option from the point of view of initial cost and
efficiency of the system. However, one major drawback is that fluctuations in surplus
power supply are related to fluctuations in cane supply, process steam demand, etc.
In sugar plants having such configuration, surplus power production is envisaged
only during the crushing season.
In the extraction and condensing system, the sugar factory produces steam from
the entire quantity of bagasse produced during the crushing season. Surplus power
production can be extended during off-crushing season by operating the turbine in
the condensing mode, provided off-crop season fuel is available abundantly and
cheaply. Power can also be generated by using bagasse bought from satellite sugar
mills or bagasse left over during the crushing season. The capital cost for this
configuration is higher compared to the extraction cum back pressure route, but
it ensures the supply of stable surplus power during the crushing season, thereby
reducing fluctuations in sugar plant operation.
The condensing route based on dual fuel system ensures a year-round, stable
surplus power supply through the use of a support fuel. It is a viable option for sugar
mills located near a reliable source of secondary fuel or which can be reliably and
cheaply available. The design aspects of the plant should ensure the availability of
a suitable furnace capable of multi-fuel combustion, particularly the combination
of bagasse and coal or other supplementary and appropriate combustible. The
capital cost of multi-fuel systems, particularly those using coal as support fuel, is
usually high in addition to the connected considerations of pollution control and ash
disposal. Highly skilled manpower is required for the operation and maintenance of
such advanced technology.
7 Benefits of Bagasse Cogeneration
The installation of high-efficiency bagasse cogeneration systems results in many

environmental and socioeconomic benefits. On the forefront, bagasse energy is a
totally renewable source of energy, which does not involve mining, extraction, and
long-distance transportation expenses like fossil fuels. It is regarded as a clean fuel

with respect to the environment; the net contribution of greenhouse gases from a
bagasse-based cogeneration is negligible, since the carbon dioxide absorbed during
sugarcane growth is more than that emitted by the cogeneration plant. Almost no
sulfur is produced during the combustion process, and very little fly ash is produced
resulting in some particulate matter emissions. To meet the allowable limits for
such emissions, dust collectors of efficiency more than 94% are required, and these
include electrostatic precipitators (ESP) and bag house filters that are designed to
achieve dust collection efficiency of up to 99.9% (Johnson and Seebaluck 2012).
From the economics perspective, it firstly increases the viability of sugar
mills whereby the revenue obtained from the sale of surplus power to the grid
increases the financial standing of the sugar industry. This is especially true as the
sugar-milling season often coincides with peak electricity demand loads but can
provide any of the base, intermediate, or peak loads demand. In many cane-
producing countries, bagasse cogeneration plants are annexed as separate entities
to the sugar factory which operate independently within a cluster generally termed
as sugarcane complex.
The capital costs of bagasse cogeneration plant are among the lowest of all
renewable forms of power generation. The cost of electricity from bagasse is
comparable to small hydro and is much lower compared to solar photovoltaic
and wind. The technologies used for bagasse cogeneration are proven and well
established, and such projects have short gestation period (18–24 months) as
compared to the longer period (96–120 months) required for a coal-based power
plant. Where domestic supplies of coal are plentiful and the environmental costs of
coal are not considered, then it is more difficult for bagasse cogeneration to compete
economically. However, where the environmental costs of coal are addressed to
some extent, such as through legislation or through carbon finance mechanisms,
then bagasse cogeneration can be cheaper than coal (Johnson and Seebaluck 2012).
The use of bagasse as a local fuel source also guarantees security of energy
supply, reducing the dependency on imported fuels like coal, and, therefore,
achieves more balanced trade and saves foreign exchange. Use of other biomass
fuels during off-season enables the cogeneration plants to operate beyond the
crushing season for up to 300–330 days. Sugar mills that produce and export
electricity also increase grid stability and reliability, as well as, decreasing the
need for high capital investments that would otherwise be required to upgrade
transmission equipment and maintain reliable power supply.
Bagasse cogeneration, being a decentralized mode of generating electricity,
reduces transmission and distribution (T&D) losses significantly by supplying
electricity near its generation point while reducing loading on grid. In most
developing countries like India and Brazil, T&D losses are extremely high (over
20%), due to long distances between power generation and consumption points
(Seebaluck et al. 2008).
The economics of cogeneration depend on the capital cost, mode of implementa-
tion, and cost of electricity generation. Capital costs are dependent on the technol-
ogy adopted (backpressure or condensing cum extraction), the pressure/temperature
level of boilers/turbines, and automation and controls of cogeneration plant.
936 V. Seebaluck
The capital cost of bagasse cogeneration is in the range of US$700–1,500 per kW

(Johnson and Seebaluck 2012). The cost of generation of electricity from bagasse
cogeneration plants again depends on a number of parameters and is site specific.
8 Benchmarks and Opportunities for Bagasse Energy

Generation
The assessment of bagasse electricity production potential available to the public

grid must be based on statistical data available over a long period of time so that the
evaluation attains a good degree of confidence. The amount of surplus electricity
generated is highly dependent on the fiber content of the raw material, on the
efficiency of steam generation and conversion of thermal power to electrical energy,
and on the efficiency of energy (steam, vapor, and electricity) use on the processing
side of the sugarcane complex. Improved and emerging technologies, which are less
energy intensive, are determining factors in enhancing the bagasse energy potential.
A set of benchmarks have been developed through actual practices of bagasse
cogeneration in three parts of the world, namely, Mauritius, India, and Brazil.
Mauritius has been the pioneer country to export bagasse-based electricity while
Brazil and India are the two largest cane-producing countries which are gradually
embarking into electricity production from cane bagasse. The surplus electricity that
can be exported to the grid under specific operating conditions is given in Table 51.1.
The surplus exportable electricity in Mauritian power plants has been based on
a cane fiber content of 13–16%, bagasse moisture content of around 48%, and
process steam consumption of 350–450 kg steam/TC and power consumption of
27–32 kWh/TC in the sugar factory. For Brazilian plants, bagasse production aver-
ages 280 kg/TC, with moisture content of 50% and with boiler steam condition of 22
bars at 300ı C which are gradually being raised to 42/67 bars (Seebaluck et al. 2008).
At low boiler pressure, very little surplus power can be produced. In Brazil, the mills
traditionally focused on self-sufficiency in energy than to optimize for cogeneration,
Table 51.1 Benchmarks for surplus electricity production from sugarcane bagasse based on
commercial experience
Country Power mode Operating configuration Surplus exportable electricity
Mauritius Continuous 20 bars and 325ı C 25 kWh/tonne cane
Continuous 31 bars and 440ı C 45 kWh/tonne cane
Firm (CEST) 45 bars and 440ı C 75 kWh/tonne cane
Firm (CEST) 82 bars and 525ı C 130–140 kWh/tonne cane
India CEST 67 bars and 495ı C 90–120 kWh/tonne cane
CEST 87bars and 515ı C 130–140 kWh/tonne cane
Brazil Continuous 22 bars and 300ı C 0–10 kWh/tonne cane
Continuous 67 bars and 480ı C 40–60 kWh/tonne cane
Source: Seebaluck et al. (2007)
but this trend is gradually being reviewed to install higher pressure boilers. In
India, high pressure and temperature configurations in Condensing Extraction Steam
Turbine (CEST) systems have been widely implemented starting in the 1990s, in
part through international technical cooperation programs (USAID 2002).
9 Options for Improving the Energy Potential of Sugarcane

Fibers
There are a number of options for increasing the energy potential of cane fibers
for steam and electricity generation which include conservative options like
improving the physico-chemical properties of the combustible or process
efficiency optimization; the use of additional materials like Sugarcane Agricultural
Residues (SAR); and the use of emerging technologies such as gasification. Many
research and development projects are currently being undertaken in a number of
countries for improving the bioenergy potential of cane biomass. The main options
for enhancing the cane fiber energy potential are:
(a) Use of high pressure boilers up to 82–87 bars or even more where higher
electricity productivity is obtained per tonne of combustible.
(b) Optimization of the physicochemical properties of bagasse such as the moisture
sucrose and fiber content. Seebaluck (2009) evaluated that an increase in 1%
moisture in bagasse leads to a drop in 1.07 kWh/TC of surplus electricity while
an increase in 1% sucrose in bagasse leads to an increase in 4.58 kWh/TC
of surplus electricity. The most significant impact is seen with an increase
in 1% fiber in cane which leads to an increase in 13.34 kWh/TC of surplus
electricity.
(c) Combustion or co-firing of Sugarcane Agricultural Residues (SAR) with
bagasse. Seebaluck and Seeruttun (2009) reported the net calorific value of
SAR to be 5,980 kJ/kg at a moisture content of 54.5%. The combustion of a
mixture of 70% bagasse and 30% SAR among different potential options for
SAR conversion to electricity was found to be the most appropriate for the short
term. This option required the collection of 35% of SAR from cane fields that
would increase the share of electricity exported to the grid per tonne of cane
by about 37%. The cost of collection, handling and transportation of SAR was
found to be around 7–8 USD per tonne or around 1 USD/GJ while the additional
equipment required for the processing of SAR prior its combustion in the power
plant was about 16 USD per tonne. The cost of electricity generation from this
mix of bagasse and SAR was estimated to be 0.06 USD/kWh which was found
to be very competitive compared to other renewable energy resources. Besides
being a viable renewable energy business, SAR conversion into electricity favors
green harvesting that avoids significant CO2 emission during cane burning
in fields and its utilization for energy generation displaces around 230 kg of
sub-bituminous coal and 560 kg of CO2 per tonne cane (Seebaluck et al. 2009).
Such project could even qualify for CERs. It has also the potential for the
creation of livelihoods given that one job is likely to be created for each 2 GWh
938 V. Seebaluck
of electricity produced from SAR. This project could be very appropriate for
increasing the revenue and bioenergy potential of the cane industry.
Combustion of SAR has indeed been tried in a number of sugarcane-
producing countries on the international front. In Sao Paulo, Brazil, there are
five sugar mills which are known to produce and sell surplus electricity to the
state by burning mixtures of 20–30% cane trash and bagasse. It was estimated
that the full utilization of bagasse and SAR for the production of electricity
could serve 5.5–7 million people, respectively, per year in Brazil (Ripoli et al.
2000). In 1994, the Cruangi Mill in Brazil used 100% cane trash for combustion,
and it was operated continuously for more than 1 month (Leal 1995). In 1993,
two sugar factories in Hawaii, namely, Ka’u Agn’ Business Co. and Waialua
Sugar Co. burned around 27,000 and 70,976 tonnes of cane trash, respectively,
in addition to bagasse utilization for cogeneration purposes (Rao 1997).
In Brazil, the Sugarcane Renewable Electricity (SUCRE) project will build
on an earlier project, “BRA/96/G31 – Biomass Power Generation: Sugar Cane
Bagasse and Trash” supported by UNDP and the EU (CTC 2005), to catalyze the
transformation of the sugarcane industry in Brazil into one for which supply of
renewable electricity from sugarcane biomass to the grid becomes a significant
and core aspect of their business, alongside sugar and ethanol production. To
maximize the potential of electricity generation from sugarcane, the project will
facilitate the expanded use of bagasse and launch the widespread use of SAR
that have historically been burned in the cane fields (UNDP 2009).
(d) The adoption of bagasse-integrated gasification–combine cycle (BIG–CC)
wherein the electricity productivity could be increased by more than two times.
Research on bagasse gasification has been carried out on pilot scales and this
technology yet need to emerge on commercial scale. In Maharashtra, India,
Nimbkar Agricultural Research Institute (NARI) developed a commercial-scale
(0.3 MW) model of a gasifier in 1997, which can handle both bagasse and cane
residues, for generation of both heat and electricity (Rajvanshi and Jorapur
1997). According to BRIDGE (2010), the BRET COMPACT biomass power
plant having a capacity of 1.0 MW gasifies about 20–25 tonnes of cane biomass
per day to produce electrical and thermal power. Currently, the TPS’s ACFBG
plant in Brazil, having nominal capacity 2 MW, converts approximately 500 kg
dry bagasse into syngas per hour for the generation of heat and power (Hassuani
et al. 2005).
(e) The development and production of high fiber cane of around 30% fiber or
more through genetic engineering as compared to normal cane which contains
around 15% fiber. Research on energy cane from Barbados indicated that the
fiber content of cane can be increased up to around 25% (Albert-Thenet et al.
2006). Seebaluck (2009) reported that an increase in 1% fiber in cane leads to
an increase in 13.34 kWh/TC of surplus electricity.
(f) Energy optimization and conservation in sugarcane plants also provides a
practical approach for enhancing electricity export to the grid. Seebaluck (2009)
evaluated that a decrease in consumption of 100 kg steam/TC leads to an
increase in 14.42 kWh/TC of surplus electricity.
10 Summary
Biomass energy resources can play a significant role in diversifying the global
energy mix. There exist many biomass feedstock which are or could be transformed
through available commercial technologies into bioenergy products such as elec-
tricity, heat/steam, and biofuels in the form of bioethanol, biodiesel, and biogas.
The existing potential could be further boosted through the optimal exploitation
of available land and the emergence of promising techniques and technologies
for biomass to bioenergy conversion. It should also be emphasized that biomass
exploitation is not limited to the agricultural and energy sectors but is cross-
sectoral and provides key environmental as well as socioeconomic benefits which
could sustain new developmental paths and contribute to a more dynamic and
competitive economy. In addition, biomass exploitation into energy products offers
high socioeconomic and environmental sustainability compared to other energy
sources. Thus, with the natural endowment and biomass potential in many regions,
development of a viable bioenergy industry is an interesting prospect which could
potentially assist many countries to solve many of their pressing needs in particular
for reducing energy poverty, the energy import bills, and improving energy security
while promoting health, economic growth, and environment protection.
As a case study of biomass to bioenergy conversion in this chapter, electric-
ity production from sugarcane bagasse in cogeneration systems is an attractive,
mature, and well-established undertaking which can supply significant quantum
of electricity to national grids. These systems have already been successfully
demonstrated and implemented in a number of cane-producing countries, and the
challenge is now for other sugarcane-producing countries to replicate, expand,
or adapt similar systems. A wealth of experience exists in those countries that
have successfully developed these systems, and important lessons can be learnt
from those countries that have demonstrated that political commitment to the
exploitation of indigenous resources can achieve far-reaching economic benefits
with the necessary policy framework. The worldwide potential of this resource
is significant with regard to the current state-of-the-art technologies that can be
adopted. The initiation and expansion of biomass cogeneration will nevertheless
require that proper infrastructure and policy measures are in place to facilitate the
markets for independent power production.
References
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ture & Rural Development, Barbados, 2006), www.agriculture.gov.bb/
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without fire. New Phytol. 165(2), 525–538 (2005). doi:10.1111/j.1469-8137.2004.01252.x., en.
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BRIDGE, Utility-grade biomass power (2010), www.bridgeret.com
CTC, Biomass power generation: sugar cane bagasse and trash, Copersucar Technology Center,
Project BRA/96/G31, Report to UNDP/MCT/GEF (2005)
940 V. Seebaluck
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study. Int. Sugar J. 88(1055), 210–216 (1986)
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Trash (Centro de Tecnologia, Canavieira, 2005)
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of C 4 plants. Philos. Trans. Biol. Sci. 361(1465), 173–194 (2006). doi:10.1098/rstb.2005.1737
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Amsterdam, Netherlands (1989)
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tions (1997), www.nariphaltan.virtualave.net/Gasifier.pdf
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and climate mitigation. Prog. Ind. Ecol. Int. J. 6, 168–184 (2009)
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Energy from Water
52
Aline Choulot
Abstract
This chapter provides an overview of the current tendencies, potentials, and
technologies to recover energy from water resources, which can be divided into
two main fields: conventional hydropower and ocean energy. A strong focus
is placed on “conventional hydropower” and especially on small hydropower
(SHP), through the description of a case study dealing with a raw wastewater
network. Indeed, marine energy is still in its development phase, even if tidal
currents technology continues making great steps forward.
The chapter begins with the main equations for hydropower and ocean energy.
Then, the historical evolution of water energy recovery is summarized, followed
by worldwide potentials. Environmental issues, especially for SHP, are analyzed,
before a discussion of the best available mature technologies. All the components
of a SHP plant are presented.
With the case study, more details are given on how a SHP project can be led
so as to optimally recover the water energy, even coming from wastewater.
The economic tendencies for SHP are given, based on a recent Swiss analysis
of the market.
Finally, the greater objective of the chapter is to demonstrate the sustainability
of water energy and its technologies.
1 Introduction
Approximately 70% of the earth’s surface is covered with water, the volume
of which can be divided into 96% for oceans and seas, 2.4% ice, and 2% of
underground waters and water streams.
A. Choulot
Mhylab, Mini-Hydraulics Laboratory, Montcherand, Switzerland
e-mail: aline.choulot@mhylab.com

DOI 10.1007/978-1-4020-8939-8 121,
942 A. Choulot
Water energy, which can theoretically be recovered wherever there is a difference

in levels or pressures and a water discharge, has different sources:
– The sun, through the water cycle: the sun implies the evaporation of the water
from oceans, lakes, rivers, the ground, and plant transpiration; when the air is
saturated with water steam, this it condenses, generating clouds; the water falls
on the earth as rain or snow, feeding the water streams and infiltrating into the
ground.
– The attraction of the moon and the sun on the ocean masses, through tides and
waves,
– Wind, temperature, and salinity differences, which generate currents and waves,
– The needs of existing infrastructures, the first objective being to supply drinking
water, treat waste waters, and insure boats circulation (navigation lock), but
second objective could be to produce electricity, also called “multipurpose
schemes.”
Two main fields can be distinguished for the recovery of water energy:
– Small and large hydropower, which can be qualified as “conventional hy-
dropower”
– Ocean or marine energy
Conventional hydropower can be divided into two main areas: the large and the
small ones. This differentiation depends on a multitude of criteria, such as the output
of the scheme and its size or technical or economic characteristics. The criterion
currently used for defining small hydropower plants is that of electrical output, but
many variants are in use. Eurelectric (http://www.eurelectric.org/), the European
Commission, ESHA (European Small Hydropower Association, www.esha.be), as
well as several other countries have defined a scheme of less than 10 MW as being
small (Choulot et al. 2012; Chenal et al. 2009).
Nowadays, most recovered energy from water comes from the water cycle,
through the large hydropower field, although the volume of water devoted to this
technology is very small compared with the oceans and seas.
Multipurpose schemes are most common in the are of small hydropower.
Tidal energy can be classified as well as a “conventional hydropower” and as an
ocean energy. Indeed, two motions can be distinguished:
– Vertical water movements associated with the level of the rise and fall of the body
of water, and thus energy from the difference in levels between the high and the
low tides.
– Horizontal water motion or tidal currents, and thus a kinetic energy.
2 Technology and Components
2.1 From Hydropower to Electricity: Main Equations
2.1.1 Conventional Hydropower

The conversion of hydraulic energy into mechanical energy is done by the interme-
diary of a turbine. This form of energy was used for a long time, thanks to water
wheels, as a direct drive for machines before the arrival of the electric generator.
52 Energy from Water 943
Z0
Z0, p0, v0
ΔZ
gHr0−1
Z3
Z3, p3, v3
Z1, p1, v1
T gHr2−3
gH Z2, p2, v2
Fig. 52.1 Parameters to define the hydropower of a site (0 = upstream level, 1 = upstream from
the turbine, 2 = downstream from the turbine, 3 = downstream level, z = altitude, p = pressure,
v = speed, g = acceleration due to gravity, H = net head, T = turbine, gH = specific hydraulic energy,
gHr = head losses, Z = difference in levels)
The use of this energy by a turbine requires not only a certain amount of water
but also a difference of altitude or pressure and consists in transforming the potential
and kinetic energies in water. But, for example, some hydropower stations exploit
only the kinetic energy, such as the ones on tidal and marine currents.
Figure 52.1 presents the main parameters to define hydropower from Bernoulli’s
equation.
Indeed, Bernoulli’s equation results in defining the specific hydraulic energy, gH,
expressed as:
1 1 2
gH D .p1 p2 / C c1 c22 C g .Z1 Z2 / .J=kg/
¡ 2
In the preceding equation, the term p represents the pressure (Pa), c the speed
(m/s), and Z the altitude (m) with respect to a reference level. The indices 1 and
2 represent the inlet and the outlet of the turbine. They are defined according to
precise international standards.
If we consider the upstream level 0 and the downstream one 3, which are
submitted to the same atmospheric pressure, and that the flow speeds at these points
are zero, the formula below may be simplified to:
c22
gH D gZ gHr .J=kg/
2
where:
Z represents the difference in altitude between point 0 and point 3 (m) gHr
represents the energy loss in the channel and/or pipe between point 0 and point
1 due to the friction and the geometry of the pipe, and between point 2 and
point 3 (J/kg)
944 A. Choulot
c2
Generally, gHr23 is negligible compared with gHr12 . 22 represents the residual
kinetic energy at the outlet of the turbine and that cannot be recovered. For a Pelton
turbine, c2 = 0 m/s.
Finally, hydropower, PH , can be defined by:
PH D ¡ Q gH .W/
with:
¡ = specific weight of water Š 1,000 (kg/m3 )
Q = water discharge (m3 /s)
gH = specific hydraulic energy (J/kg)
where
g = acceleration due to gravity Š 9.81 (m/s2 )
H = net head (m)
Then, this hydropower, PH , decreases with each equipment used within the scheme,
such as the two main ones:
• The turbine, which transforms the hydropower into mechanical energy
• The generator, which transforms the mechanical energy into electrical energy
Each of these main components generates losses, which leads to the following
equation when considering the electrical output, Pe :
Pe D ¡ Q g H ˜t ˜e .W/
with:
˜t = turbine efficiency [-]
˜e = generator efficiency [-]
Some schemes will also have to consider the losses in the transformer, meant to
adapt the voltage from the outlet of the generator to the one of the grid.
In Europe, for small hydropower schemes, the current maximal efficiencies that
are reached are 92% for the turbine and 94% for the generator.
Then, to calculate the energy or the electricity production, one needs to know the
number of hours the output can be obtained. The current average operating hours at
full load for small hydropower in Europe are:
• 4,500 h/year for run of river plants
• Between 2,200 and 8,700 h/year for multipurpose schemes
It appears that the common efficiency, defined as the ratio of the electrical
production and the hydraulic energy, is between 70% and 75% for the whole plant
with the best available technologies.
2.1.2 Ocean Energy Based on Kinetic Energy

For ocean technologies that use the kinetic energy as the tidal currents technologies,
the electrical output, Pe, can be defined as (Münch et al. 2009):
1
Pe D ¡ R21e C30 Cp ˜n .W/
2
with:
R1e = runner radius (m)
C0 = tidal current (m/s)
Cp = power coefficient of the turbine [-]
˜n = efficiency of the different equipments between the turbine and the electrical
grid [-]
Then, a dimensionless figure is commonly used for this type of ocean energy: the tip
speed ratio, œ (Münch et al. 2009):
¨ R1e
D .W/
C0
with:
¨ = relative velocity (s1 )
One can note that these equations are similar to wind energy. Indeed, the tidal
currents technology is closer to wind energy than to hydropower.
It can also be mentioned that, contrary to conventional hydropower, production
from tidal currents is regular and predictable.
2.1.3 Other Types of Energy Recovery

Ocean energy uses other forms of energy recovery from the waves, the salinity
gradient, or the thermal energy conversion.
Wave Energy
Wave power devices extract energy directly from the surface motion of ocean or
from pressure fluctuations below the surface.
Salinity Gradient
At the mouth of rivers where fresh water mixes with salt water, energy associated
with the salinity gradient can be harnessed using a pressure-retarded reverse osmosis
process and associated conversion technologies. The principle is the exploitation of
the entropy of mixing freshwater with salt water (EU OEA 2012).
Thermal Energy Conversion

The principle of ocean thermal energy conversion (OTEC) consists of using the
heat stored in the oceans to generate electricity. Indeed, due to solar heating, the top
layer of the water is much warmer than deep ocean water. The conditions are the
most favorable where the temperature difference between the warmer top layer and
the colder deep ocean water is about 20ı C, as it is close to the Equator (EU OEA
2012).
946 A. Choulot
2.2 Historical Evolution
Hydropower has played an essential role in the development of humanity. The first
hydraulic machines appeared more than 2,000 years ago, both in the Mediterranean
basin and in China. Their great diversity attests to the ingenuity and skill of the
artisans who built them. These machines, in relieving man of painful and repetitious
tasks, played a vital role in industrial evolution (CHy and SSHL 2011).
The simplest form of hydraulic machine is the water wheel, utilized in the ancient
Greek and Roman civilizations. A first advancement appeared in the second century,
when the wheel was no longer fed from beneath, but rather by its upper part,
causing the production output of a few tens to several hundreds of Watts. Until
the middle of the nineteenth century, these small hydraulic schemes evolved only a
little and supplied mechanical energy to several tens of thousands of mills, saw mills,
tanneries, and so on. The first real turbines appeared during the nineteenth century,
around 1820, with the Fourneyron turbine that would later evolve to become the
Francis turbine. The Pelton turbines appeared around 1880 and the Kaplan made its
appearance at the beginning of the twentieth century. This development took place
on the European continent, essentially to satisfy the growing need for mechanical
energy for industries in full development. The countries of the continent had to
develop their own solutions to respond to the growing mechanization of English
industries that were benefiting from Watt’s steam engine.
Therefore, before the appearance of efficient generators on the market, most
factories were situated close to rivers, where they could find the energy essential
to their operations.
Thereafter, the development of large power stations for energy production and
of electric networks allowed enterprises to obtain an abundant energy source that
was reliable and affordable. This advancement led the users of these small stations
to relinquish their own means of energy production in favor of this “convenient”
form of energy. The Swiss, for example, at the beginning of the twentieth century,
had more than 7,000 hydraulic schemes (water wheels or small turbines). In 1985,
the date of a new census report, this number had gone down to about a thousand
(Chenal et al. 2009).
Currently, thanks to a stronger interest in renewable energies, the market has
opened up to other alternative techniques for small hydropower sites that have
the common point of being less expensive than the techniques from the large hy-
dropower. Among them, the cross flow turbines, reverse pumps, and the Archimedes
screws.
Compared with conventional hydropower, ocean energy is just at its beginning.
The first tidal power plant that uses the potential energy between the high and the
low tides was commissioned in 1967 in France, La Rance, with an installed output
of 240 MW (24 bulb Kaplan turbines of 1 MW each) (Andre 1978). Since then, few
plants have been built. The biggest one was commissioned in 2011 in Korea: Sihwa,
equipped with 10 bulb Kaplan-type turbines, with a capacity per unit of 26 MW
(Schneeberger 2008).
Since the late 1970s, tidal currents technology has been investigated due to the
low cost of civil works and the limited ecological impact compared with the tidal
dams (Lissaman and Radkey 1979). The first commercial tidal turbine in a free
stream was commissioned in 2008 in Northern Ireland: Seagen, 1.2 MW. This plant
became in 2009 the first-ever marine renewable energy project to be accredited by
the United Kingdom energy regulator (Münch et al. 2009).
Another example is the technology based on salinity gradient with significant
research between 1975 and 1985 (European Ocean Energy Association, EU-OEA,
www.eu-oea.com, 2012).
2.3 Potentials
Hydropower is the largest source of renewable energy power generation worldwide.

The total electricity generated by hydropower in 2009 reached 3,329 TWh, 16.5%
of global electricity production. This is around 85% of total renewable electricity
generation and provided more than one billion people with power (REN 21, 2011
and IEA, International Energy Agency 2011).
In the Europe Union 27, the annual production of energy from hydraulics in 2010
was about 145,117 MW or 398 TWh, representing about 12% of the total European
energy production (Eurostat, April 2012; European Union Energy, 2012). Of this,
about 10% came from small hydropower (ESHA 2012).
Tide, wave, and ocean distinguished from hydropower in the European statistics
represents 241 MW or 0.5 TWh (Eurostat, April 2012). Indeed, at present, marine
current energy is in an early stage of development; different pilot plants are in
operation or about to be installed, but there are no commercial grid-connected
turbines currently in operation (EU-OEA 2012).
The potential for large hydropower, whether in Europe or in other industrial-
ized countries, is either already utilized or made difficult to develop because of
environmental constraints, due, for example, to the increase of the environment
flow. Climate change involves modifications in the hydrology worldwide, implying
more peaks in some regions (CHy and SSHL 2011), for which the plants are most
of the time not able to exploit. Therefore, in large hydropower, the main issue
to increase the installed capacity is to modernize equipment that is reaching the
end of its life, considering the new evolution of the available discharges along
the year.
If the development of large hydropower is limited, small hydropower has
interesting remaining potential, with an estimated world economic potential of about
2,300 TWh/year (IEA 2003). At the European level (EU-27), the economically
feasible potential for small hydropower is estimated at circa 60 TWh/year in 2020
(ESHA 2012).
With regard to ocean energy, the European Ocean Energy Association announced
in July 2012 that it could provide 15% of Europe’s energy needs by 2050
948 A. Choulot
(with 188 GW). On a worldwide level, the power tidal currents could add approxi-
mately 100 GW (Münch et al. 2009), while the salinity energy potential is estimated
at 2 TWh/year (EU OEA 2012).
2.4 Environment Issues
2.4.1 Conventional Hydropower

In Europe, the development of the recovery of water energy is guided by at least two
directives:
– Directive 2009/28/EC of 23 April 2009 on the Promotion of Renewable Energy,
which aims at achieving by 2020 a 20% share of energy from renewable sources
in the EU’s final consumption of energy,
– European Water Framework Directive (2000/60/EC), aimed at an overall protec-
tion of water.
These two directives translate the present objective to develop renewable energies
with an environmental focus. This implies slowing down the development, but
also improving the projects by involving specialists so as to use the best available
technologies and reach the best cost efficiency, while integrating the projects into
the environment.
One may recall here that hydropower does not emit gases nor wastes while
operating. The only outputs are:
– Water, the quantity and quality of which are the same as for the input
– Mechanical energy or electricity
– Wear on parts (which is limited if the equipment is optimized to the sites)
The main negative impact of conventional hydropower is due to the withdrawal
of water from the environment. Thus, a section of the river (or any other water
stream) is created where the amount of water is reduced. This amount, called
the environment flow, residual flow, or reserved flow, is defined by national laws.
Moreover, this withdrawal is generally achieved thanks to a weir or a dam in large
hydropower built in the river bed, which tends to break the continuity of the water
stream and, therefore, the downstream and upstream migration of fish and other
fauna.
Large hydropower schemes, especially ones that include storage, have to also
manage the impacts due to the lock waters on the ecosystems (Ribi et al. 2011) and
to greenhouse gas emissions (Descloux 2011).
The only possibility to reduce the impact of the withdrawal is to use the water
resource optimally so as to recover most of its energy while respecting the
environmental flow specially defined for the site by specialists. Optimal use of the
water resources means optimal equipment, designed especially for the specificities
of each site.
For large dams, small hydropower schemes are set at the foot so as to recover
the energy of the flow that is restored to the river. Here, the head defined as the
difference between the level in the reservoir and the powerhouse depends on the
discharge inputs in the reservoir and on the activity of the large plant.
Photo 52.1 Trois-Torrents powerhouse (75 kW, Switzerland), set on the drinking water network
of the commune
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The impact of weirs and dams can be mitigated by the implementation of fish
by-passes.
This implies that this kind of environmental impacts due to schemes integrated
into existing infrastructures (multipurpose schemes) (Choulot et al. 2012) are
limited.
Another impact of conventional hydropower schemes is on the landscape, due
mainly to the penstock and the power house. Great efforts are made nowadays to
hide the penstock and the powerhouse. Photo 52.1 shows a powerhouse that looks
like local houses – a Swiss chalet, whereas Photo 52.2 shows to a semi-buried
powerhouse.
Apart from these negative impacts, we may add here that conventional hy-
dropower schemes can be also used to:
– Secure and maintain the banks
– Reduce flood impact
– Evacuate sediment and floating waste
– Develop regional employment
– Maintain the existing heritage
– Finance measures to guarantee the life of the biotopes
– Take part in the energy challenge for the twenty-first century
Finally, if they are well-studied, small hydropower projects can even impact posi-
tively on the environment by improving the state of a water stream. Therefore, SHP
can be considered as able to reach the environmental objectives of sustainability.
2.4.2 Ocean Energy

The environmental issues for ocean energy are different from conventional hy-
dropower. One can mention that tidal schemes that use the potential energy can be
difficult to integrate into the ecosystem. As the other ocean energy technologies are
currently being developed, information on the environmental impacts is still limited.
950 A. Choulot
Photo 52.2 Armary powerhouse (68 kW, 454,000 kWh/year, Switzerland), set on the irrigation
water network
c Mhylab
2.5 Social Issues for Small Hydropower
Generally, small hydropower projects result in positive social impacts. First they can
involve different engineering offices, as specialists in hydromechanics, electronics,
civil engineering, and environment. Then they create work for local mechanical
workshops and civil works enterprises. Furthermore, SHP projects are a source
of revenue for the owners, whose panel is wide: cities, water network groups,
associations, electricity suppliers, families, and so on. They do not imply movement
of population, as some large hydropower projects do, but integrate themselves
into the environment, and, especially for refurbishment projects, they even tend
to maintain the heritage. Moreover, SHP projects allow decentralization of the
electricity production, which is especially interesting for isolated sites in countries
that lack an electrical grid.
Therefore, SHP can be considered as able to reach the social objectives of
sustainability.
2.6 Different Types of Plants
The main plants that recover water energy are as follows:

– Run-of-river plants, common in large as well as in small hydropower, which are
dependent on water discharges, or the rate of the water stream.
– Accumulation plants, which are composed of a storage basin so as to accumulate

the volumes of water and generate electricity when needed. These plants are
common in the large hydropower but rare in the small hydropower sector.
– Pump-storage plants, which are accumulation plants composed also of a down-
stream basin, which is used to accumulate water so as to pump it when the
electricity market price is low. These plants are also common in the large
hydropower but rare in the small hydropower sector (Crettenand 2012).
– Multipurpose schemes, mainly within drinking water networks but also waste
water networks, and any plants within hydraulic cycles (desalination plants,
thermal plants). These plants are rare in the large hydropower sector.
– Small plants set at the foot of dams of large hydropower schemes, so as to use
the environmental discharge, devoted to the river.
– Tidal plants, which generate electricity during the ebb tide and the flood tide.
– Tidal currents plants, which use the kinetic energy of the tides.
For conventional hydropower, three domains can be defined on the available
head:
– The high-head domain: from 60 to more than 1,000 m
– The medium-head domain: from 30 to 60 m
– The low-head domain: from 0.5 to 30 m.
2.7 Description of Small-Hydropower Schemes
A typical small-hydropower scheme set on a water stream includes (Chenal et al.

2009):
– A weir, to maintain a minimum elevation for the upstream level;
– A fish-pass, for the migration of water fauna;
– A water intake, to withdraw water from the stream;
– An eventual channel that takes the water from the intake to the forebay;
– A forebay, to guarantee that the penstock will be in water at all times;
– A penstock that takes the water from the forebay to the turbine;
– A power house, that gathers the electromechanical equipment, mainly the turbine,
the generator, and the control system;
– A security system in case of load rejection, for example; and
– The connection to the electrical grid.
More technical information on small hydropower schemes can be found in the
guide on how to develop a small hydropower plant, published by ESHA (Thematic
Network on Small Hydropower 2005).
2.7.1 Weirs
A weir, the equivalent of a dam for large hydropower, built in the riverbed, is meant
to maintain a minimum elevation for the upstream level for a run-of-river plant. In
accumulation plants, the weir is meant to create a storage space.
Compared with large hydropower dams, the techniques to build weirs for small-
hydropower sites are the standard ones of the civil engineering.
952 A. Choulot
Among the innovations, one can mention inflatable weirs as an especially

economical way to refurbish existing weirs. The creation of a new weir is also
possible by this method, but it entails building a concrete base on the river bed
to assure that the floating weir is anchored to the bottom. The height of these weirs
is between 1 and 4 m at most. Furthermore, beyond a certain height, the weir may
not be inflated with air, but with water, the Archimedes force becoming too great.
This solution presents an interesting advantage: the possibility of deflating the weir
during flooding, thereby making it possible to limit the risk of flooding upstream
2.7.2 Fish By-Pass

The main impact of a weir on the environment is to cause the discontinuity of the
water stream, meaning that the weir becomes an obstacle for the downstream and
the upstream migration of the fauna. This impact can be mitigated by setting fish
by-passes.
The setting of a fish by-pass is especially site-dependent. It begins with an
analysis of the fish and fauna that migrate. As a by-pass cannot be convenient to
all species, priorities will have to be defined for each site. At the European level,
eel, salmon, and trout may have the priority.
Different types of fish by-passes exist:
– Fish ladders composed of steps and basins, which the fish has to jump (cf.
Photo 52.3),
– By-passes composed with brushes (cf. Photo 52.4),
– Natural-like by-passes, that imitate the morphology as well as the hydraulics of
small water courses, where the fish does not need to jump,
– Fish lifts, where the fish can enter a small basin that is electrically raised to the
top of the weir (ESHA 2005)
Photo 52.3 Fish by-pass on the Arnon river (Switzerland) for the migration of trout
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Photo 52.4 Fish by-pass equipped with brushes

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2.7.3 Intake
The water intake has two main roles: to guarantee that water enters the pipe in the
most efficient possible way and to prevent floating debris (leaves, branches, rubbish,
etc.) from reaching the turbine. The classic solution consists of furnishing the intake
with a trash rack to stop the debris before it enters the intake pipe. The rack must be
cleaned at regular intervals and to eliminate the collected trash (Chenal et al. 2009).
A Tyrolean intake (Photo 52.5) is not greatly affected by floating debris. It creates
almost no visual impact since it is beneath the surface of the river (Chenal et al.
2009).
2.7.4 Penstocks
To fulfill the requirements of hydropower generation, a penstock should have the
following characteristics:
• A nominal pressure sufficient to resist to the static pressure and to the overpres-
sure defined by the set safety system,
• A wall roughness that limits the head losses,
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Photo 52.5 Example of a Tyrolean intake

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• An internal diameter that also limits the head losses. Head losses are determined
by empirical formulas or measurements at the site. They are proportional to the
square of the flow speed in this pipe, or they are inversely proportional to the
diameter to the power of five. For instance, a diameter increase of 20% leads to a
head losses decrease of 60%.
• A minimal number of section and direction changes. Indeed, singularities as
elbows or forks tend to increase head losses and to decrease the quality of the
hydrodynamic flow and thus the turbine efficiency if close to the turbine.
In general, head losses are acceptable if at nominal discharge they are lower than
10% of the difference in levels, or, in other words, if the penstock efficiency is higher
than 90%.
Often, a penstock is made of synthetic material when the head is low or of steel
for a high head.
Nowadays, a real effort is made to hide the penstock. One possibility is to bury
it, using the technique of directional drilling, as with the project Rivaz II, planned
to be started in 2012–2013. This refurbishment project, led by Romande Energie, a
Swiss utility, is situated in a UNESCO area (cf. Photo 52.6).
2.7.5 Turbines
According to the available head, turbines operate in two different ways (Chenal et al.
2009):
– Action turbines for high heads, which use the hydraulic energy made available
only in the form of kinetic energy. These turbines have out-of-water runners that
turn in an atmospheric pressure housing or in a slight vacuum;
– Reaction turbines for low and medium heads, which use the hydraulic energy
made available in the form of pressure and kinetic energy. The runners of these
turbines are submerged in the flow.
Photo 52.6 Rivaz II, Switzerland, in a UNESCO zone: the refurbishment project includes
burying a DN500 penstock in the vineyards.
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Photo 52.7 A water wheel fed by the middle.

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Water Wheel
The water wheel (cf. Photo 52.7) is not, strictly speaking, a hydraulic turbine, given
its method of operation. If, in the case of a turbine, kinetic energy, and/or continuous
pressure in water are used, the water wheel uses only the mass of water coming to
fill each bucket.
This equipment is adapted to relatively low heads and discharges, with outputs
of several tens of kW.
The hydraulic wheel built according to modern techniques has an efficiency of
around 70%. Even if this type of machine is an old technique, it often makes it
possible to revive, at low cost, abandoned schemes and to preserve the legacy of
these sites.
956 A. Choulot
Photo 52.8 Francis turbine with a spiral casing (0.4 m3 /s, 11 m, 18 kW, 156,000 kWh/year,
Vallorbe, Switzerland, turbine integrated into the drinking water system)
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Francis Turbines
A Francis turbine (cf. Photo 52.8) is a reaction machine, especially adapted to heads
between 25 and 250 m. It is preferred over Pelton turbines for heads that are higher
than 60 m when the discharge is especially important and not very variable.
The water arrives in a spiral casing and then goes into mobile guide vanes, used
to regulate the discharge, before arriving at the runner. At the runner outlet the water
goes into the draft tube before being returned to the river.
This type of turbine is also frequently seen in very old low-head schemes with
a configuration as a water chamber, which is without a spiral casing, due to the
technique evolution.
Although this type of turbine, common for the large hydropower, is often seen
in small schemes, it is, because of its geometric complexity, not the best turbine for
small hydropower.
The small Francis turbines, developed in a laboratory, may reach a mechanical
efficiency of 92%.
Pelton Turbines
This turbine (cf. Photo 52.9) is an action machine, especially adapted to heads
between 60 and 1,000 m.
The runner, composed of buckets, is driven by one or more jets coming from
nozzles. The number of nozzles varies between 1 and 6, according to a relationship
linked to the head and the discharge. The nozzles regulate the discharge arriving on
the runner with a needle. The water is then returned into the river.
The small Pelton turbines, coming from laboratory development, can reach a
mechanical efficiency equal to or even higher than 90%.
Generally, a Pelton runner operates in the air, at atmospheric pressure, but if a
higher outlet pressure is required for the existing infrastructure, a counter-pressure
Photo 52.9 Pelton runner with three nozzles (0.3 m3 /s, 217 m, 465 kW, 1,800,000 kWh/year,
La Zour, Savièse, Switzerland, turbine integrated into the drinking water system).
c Savièse,
Gasa SA
turbine can be set (cf. Photo 52.10). Here, the runner rotates in an air volume
maintained at the requested downstream pressure.
Kaplan Turbine
This turbine (cf. Photo 52.13) is also a reaction machine, especially adapted to
heads between 0.5 and 30 m. There are two large categories of Kaplan turbines:
diagonal turbines, turbines with a spiral casing, such as the Francis turbine, and
axial turbines, such as bulb turbines. For an axial turbine, the water flows into the
axis of the supply pipe and goes through the guide vanes before arriving at the
runner. At the exit from the runner, the water goes into a draft tube before being
returned to the river.
Unlike the Francis turbine, it is possible to set two regulating devices, which
leads to a greater adaptability regarding head and discharge variations. As for the
Francis, the first is the guide vanes, and the second is the blades of the runner, from
4 to 8, the orientation of which can be modified. A turbine with a regulation due to
guide vanes only, is especially called a propeller.
The small Kaplan turbines, developed in laboratory, may reach a mechanical
efficiency of 90%.
The setting of a Kaplan turbine is limited by cavitation (cf. Photos 52.11 and
52.12), which is the transformation of liquid water into steam, through a pressure
decrease (Franc et al. 2000). The phenomenon is usually noisy, and always fluctuates
strongly. The vapor bubble implosion close to the blade is responsible for its erosion,
and for the deterioration of the turbine performances. And the erosion will keep on
growing, while the production will keep on decreasing.
958 A. Choulot
Photo 52.10 Counter-pressure Pelton turbine (0.075 m3 /s, 106 m, 75 kW, 160,000 kWh/year,
Morges, Switzerland, turbine integrated into the drinking water system).
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Photo 52.11 Cavitation on blades for a Kaplan runner

c Mhylab
Photo 52.12 A Kaplan turbine blade, manufactured without hydraulic laboratory techniques,
eroded by cavitation after a few months operation
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Photo 52.13 Kaplan turbine (0.38 m3 /s, 28 m, 44 kW, Poggio Cuculo, Italy, set as a by-pass of
an existing valve in a drinking water network)
c Mhylab
960 A. Choulot
Photo 52.14 S-shaped diagonal turbine (scale model set on Mhylab’s test bench)
c Mhylab
But cavitation is not a fatality. Laboratory tests can identify turbine cavitation
behavior and improve it with an appropriate design. Manufacturers of laboratory-
developed turbines can then define with accuracy the maximal height regarding the
downstream water level at which the runner can be set without damages due to
cavitation.
This turbine is common in the large and the small hydropower areas.
Diagonal Turbine
This turbine (cf. Photo 52.14) is also a reaction machine, but is especially adapted
to heads between 25 and 100 m.
As with the Kaplan, the diagonal turbine, composed of a runner from 8 to 12
blades, can be composed with a spiral casing or can be axial (or S-shaped), and
doubly regulated as the Kaplan.
The small diagonal turbines, developed in a laboratory, may reach a mechanical
efficiency of 92% (Cottin et al. 2011).
The setting of diagonal turbines regarding the downstream water is also limited
by the cavitation phenomenon as for Kaplan turbines.
This type of turbine is still new and not frequently seen on small hydropower
schemes. It is more common with large hydropower.
Banki or Cross-Flow Turbine

The Banki or cross flow is an action turbine, meaning that the energy available to the
runner is only kinetic. This means of energy conversion would place it in the ambit
of high heads; however, it is predominantly encountered in low-head schemes.
As already mentioned, action turbines require a height for immersing the runner
such that the downstream level is always beneath the low point of the runner. This
height can easily represent more than 10% of the usable difference in levels.
The efficiency at a cross flow shaft is about 80%. If the height of the immersion
is taken into account, its total efficiency rises, at best, to 72%.
In the case of rural electrification projects, this turbine is attractive for its sim-
plicity of construction and maintenance, facilitating its upkeep by local resources. In
industrialized countries, its utilization is justified only if it represents the only solu-
tion for making the site profitable. This turbine is rare in the large hydropower area.
Reverse Pump
The reverse pump (cf. Photo 52.15) is a pump that has been adapted to work as a
turbine. It can be an affordable solution for sites, below 30 kW, where the discharge
and the head are steady. Indeed, it does not have any regulation device, apart from a
valve needed to start and shut down the machine.
The efficiency at a reverse pump is about 75% at its nominal discharge and head.
This equipment is often found within water networks.
Archimedes Screw
The Archimedes screw presents a certain similarity to the water wheel, as it uses
only the mass of water to drive the screw. It is adapted to relatively low heads and
Photo 52.15 Reverse pump (0.29 m3 /s, 94 m, 220 kW, Nyon, Switzerland, set on treated wastew-
aters)
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962 A. Choulot
average discharges. With an efficiency of about 70%, it has some tens or hundreds
of kW in output.
2.7.6 Generators
For generators, small hydropower projects tend to use the standard equipment
available on the market. For an operation at fixed rotation speed, the asynchronous
generators are usually used below an output of 100 kW. For higher outputs,
synchronous ones will be preferred.
Nowadays, the maximal efficiency of these generators can reach 94%. The
improvement in the level of efficiency of the generators also remains a major subject
of research and development, especially for generators with permanent magnets
If the required rotation speed is lower than 428 rpm for an output lower than
circa 150 kW, the high number of poles can imply a large and expensive machine. If
this type of generator continues to be improved, speed increasers (belt or teeth gear
systems) can offer economical solutions. However, this supplementary equipment
implies more losses; the current efficiency being around 95%.
For low speeds, another solution consists of coupling the generator directly to the
turbine and to multiply the frequency by an electronic converter. Here, the efficiency
is often higher, to that of the speed increaser (Chenal et al. 2009).
Systems with variable rotation speeds tend also to develop, especially for low-
head sites characterized by wide ranges of discharges and/or heads due to regular
flooding, for example. Indeed, thanks to a variable speed, the operating area of the
turbine will be managed so as to be optimal regarding efficiencies and hydrodynamic
behavior (especially regarding cavitation). This operation requires the use of a
frequency converter.
2.7.7 Control System

Generally, the turbine is regulated on the upstream water level in the fore-
bay, so that it remains steady. The process can be defined by the following
steps:
– When the upstream level tends to rise, the turbine opens up to increase its
discharge up to the nominal one.
– When the upstream level tends to go down, the turbine closes itself to take less
discharge. If the upstream level keeps on going down, the turbine is shut down.
This regulation is based on controlling the needle stroke for Pelton turbines, the
vanes or blades opening for Francis, diagonal, and Kaplan turbines.
Control-command systems range from a technology based on programmable
micro-controllers to systems that use the evolutions in computing and new methods
of communication that allow the development of total management systems that are
highly modular and adaptable to present equipment and to the specific needs of each
scheme or type of turbine (Choulot et al. 2012).
2.7.8 Security System

In case of load rejection (due to a storm, for example) resulting in disconnection of
the turbine from the grid, the machine has to stop automatically. Such shut down
must be achieved so as to limit water hammer in the penstock and avoid runaway
speed. Indeed, these phenomena could lead to serious equipment damage.
The first requirement is that the plant must be equipped with an emergency
power supply. The second depends on the type of turbines. For example, for Pelton
turbines, deflectors are a simple and secure solution (cf. Photos 52.19 and 52.20).
2.8 Ocean Technology
As ocean energy technology is still in its development stage, many different kinds
of projects have appeared and are being tested worldwide. The most advanced ones,
are described here, and they mainly concern tidal energy.
Tidal plants, which use the potential energy are based on the same technology as
conventional hydropower.
Concerning the tidal currents field, the turbines, which can be free-stream or
ducted, can be closer to wind energy technology. They may be suspended from a
floating structure fixed to the sea belt, or they can be directly set on the ground.
Among the research going on are the following projects and prototypes:
The “MWatForce” project, (cf. Figure 52.2) currently developed in France and
Switzerland (Münch et al. 2009), is based on a ducted tidal turbine set on the
ground of the ocean. This turbine drives a multi-stage pump that supplies hydraulic
energy to coastal power stations equipped with Pelton turbines. This means that
this technology does not use an underwater electrical device. The horizontal-axis
Fig. 52.2 Example of a ducted tidal turbine: the “MWatForce” project

c HES SO Valais
964 A. Choulot
turbine is composed of three stay-vanes followed by a four-blade runner housed into

a symmetrical Venturi duct. This development has notably showed that the pressure
drop and the bulk velocity through the rotor as well were enhanced by the shaped
duct compared with the free actuator disk. Indeed, an increase of 30% is expected
with respect to an optimized turbine of the same area in a free stream, which means
a power coefficient, Cp , of 55% for a tip speed ratio, œ, of 7.
The Rotech tidal turbine can be also mentioned as a ducted tidal turbine but with
a bi-directional horizontal-axis (EU-OEA 2012). As many as 300 ducted turbines
are planned to be installed before the end of 2015 in South Korea. Each turbine will
feature a 1 MW capacity with a diameter of 11.5 m (Münch et al. 2009, http://www.
lunarenergy.co.uk/).
As a free-stream tidal currents turbine development, Electricité de France, EDF,
is achieving the second test on-site in France of its “Hydrolienne,” which is a huge,
10-blade runner of 850 tons, with a diameter of 16 m. Contrary to the MWatForce
and the Rotech turbine, the runner has a hole in its center to leave a passage for the
marine fauna. This turbine calls for the setting of an electrical convertor underwater.
Four “hydroliennes” are planned to be connected to the French electrical grid in
2014, which will be the biggest marine current turbine farm worldwide. This farm,
set 35 m underwater, will represent an output of 500 kW (Maxiscience 2012).
Seagen (http://www.seageneration.co.uk/), commissioned in 2008, with an out-
put of 1.2 MW, is another horizontal-axis free stream turbine. It looks like a wind
turbine with two two-blade runners set into the sea.
In December 2011, Andritz Hydro, a large-hydropower equipment provider, set
its first tidal currents turbine close to Scotland. The output of this free-stream three-
blade runner is 1 MW (Andritz Hydro 2012).
Concerning the capture of the energy from waves, a variety of technologies has
been proposed, which are still in the development phase.
3 Case Study Le Profray, Set on Wastewaters: Design,

Efficiency, Emissions
The case study Le Profray, owned and operated by the Services Industriels de
Bagnes (CH), is an interesting example of a project dealing with raw wastewaters.
Situated in Switzerland, on the raw wastewaters of Verbier ski resort, the project,
originally commissioned in 1993 and completely refurbished and improved in 2007,
gives feedback on the management of this specific type of waters.
3.1 Definition of the Characteristics of the Site
The first step of a SHP project is to define the main characteristics of the site: the
difference in levels, Z, the nominal discharge, and the corresponding net head, H.
Photo 52.16 The waste removal at the forebay

c Mhylab
The wastewater from the outlets of the Verbier ski resort are collected in a storage
basin of 400 m3 , equipped with a 6-mm trash rack to remove most of the floating
material (cf. Photo 52.16). This basin is also used as a forebay for the hydro scheme,
the water level of which is maintained steady by the turbine regulation (Denis and
Choulot 2010). This is the upstream water level.
The downstream level is at the entrance of the treatment process. Thus, the
available head for Le Profray project is 449.5 m.
The nominal discharge of a SHP plant is chosen from the flow duration curve.
Generally, it corresponds to the discharge available between 50 and 80 days per
year. But for the initial project, the nominal discharge was defined as similar to the
wastewater treatment plant, at 240 l/s. This takes into account the sudden discharge
changes due to storms and snow melting, and also the important population
increase due to the winter touristic activities. With an average annual volume of
1,330,000 m3 , the average wastewater discharge is only 42 l/s. Therefore, the turbine
was only working a few days per year at its nominal discharge. Moreover, during
the dry season, the limited available discharge was meant to be stored at the forebay
966 A. Choulot
Photo 52.17 The power house with the ski resort in the background
c Mhylab
to allow electricity production. This storage resulted in an important generation of

decanted deposits and in a more difficult further treatment.
For the refurbishment, the new nominal discharge defined from the duration flow
curve, updated with the previous operating years, and from the population evolution
in Verbier is set at 100 l/s.
Concerning the definition of the net head for the refurbishment phase, the
objective is to reuse the existing penstock of 2.3 km length and a diameter of
300 mm, set between the basin and the treatment plant (cf. Photo 52.17). But when
dealing with raw wastewaters, a possible deposit of polluting loads on the penstock
walls due to organic wastes has to be considered. Observations show that this
deposit can easily exceed 1–2 mm, which cannot be neglected (Choulot et al. 2012).
Therefore, as the state of this long penstock is unknown, on-site measurements are
achieved to define the evolution of the head losses regarding the discharges. The
following equation is defined, following Colebrook’s formula:
gHr D g:2000:Q2 .J=kg/

This means that the net head at 240 l/s is 376.9 m, and the penstock efficiency is only
of 83.9%, whereas with the new discharge, the nominal net head becomes 429.5 m,
and the efficiency, 95.6%.
3.2 The Pelton Turbine
For this head of 449.5 m, Kaplan and diagonal turbines, for example, are not
suitable because of the cavitation phenomenon. A Pelton turbine is the most suitable
technique thanks to its efficiency regarding the range of discharges, its adaptability
with raw wastewaters, and its manufacturing simplicity compared with a Francis
turbine, for instance. Then, the flow duration curve leads to choosing a two-nozzle
Pelton turbine.
For this project, the turbine design (cf. Photo 52.18) comes from a laboratory
development achieved by Mhylab between 1997 and 2001, which aims is to provide
a turbine design specific to the site, with guarantees of efficiency (cf. Fig. 52.3) and
Photo 52.18 The runner and generator during the setting of the group
c Gasa SA SIB
968 A. Choulot
0.91
0.90
0.89
2 adjustable
0.88 nozzles in
operation
Turbine efficiency (-)
0.87
Q = 0.100 m3/s
1 adjustable
0.86 ΔZ = 450 m
nozzle in
operation Hn = 430 m
0.85
N = 1500 rpm
0.84
0.83
Accuracy on the efficiency measurement: + –1%
0.82 Values guaranteed by laboratory tests,
transposed according to the IEC 60193 standard
0.81
0.80
0.000 0.020 0.040 0.060 0.080 0.100 0.120
Discharge Q (m3/s)
Fig. 52.3 Evolution of the turbine efficiencies for the Le Profray site
security concerning hydrodynamic functioning (excluding, for example, all risks

of cavitation, vibrations, and untimely splashing-ups into the turbine casing). This
means that this technique is fundamentally different from the standard solutions
usually suggested.
The first phase of this development project of hydraulic and mechanical design
was based on a theoretical analysis, Mhylab’s experience in the development
of small hydro turbines, and numerical simulations (CFD, computerized fluid
dynamism). The second main phase consisted of validating and carrying on the
developments through laboratory tests in order to reach the objective in terms of
high performances and to characterize the turbine performances over the complete
operating range. This led to the elaboration of systematization tools for turbine
dimensioning from sites’ characteristics, based on the use of hill charts and
principles of similitude.
For the Le Profray project manufactured by Gasa SA (CH), the runner is
manufactured with the bucket-mounted technique, made with CNC (computer
numerical control) machining, settled between two flanges. This method enables one
ensure a perfect similarity between the hydraulic profile developed in the laboratory
and the one machined, which would hardly be feasible (nearly impossible) with a
one-part casted runner, the space being insufficient for the grinding finishing.
The main difficulty with raw wastewaters has to do with fibrous and filamentous
residues that are not caught by the forebay grids (vegetal fibers, strings, threads,
etc.). Such materials can block on any obstacles in the flow, as, for example, in the
guide vanes of a reaction turbine. Then, some other wastes can cling to them and
agglomerate, which can lead to a partial or total clogging of the turbine and of its
control systems (Choulot et al. 2012). The Pelton turbine’s geometry is ideal for
Photo 52.19 The deflector in normal position before the commissioning

c Gasa SA SIB
Photo 52.20 The deflector in operation, in spite of the caught wastes

c Gasa SA SIB
these applications because of its simple shape and the progressive flow acceleration,
notably in its manifold. Here, the manifold is essentially composed of standard
parts in stainless steel – tubes, two elbows, and one tee from the shelf – so as to
reduce cost. Then, the nozzle guide vanes had to be suppressed and replaced by a
specific smooth system, which maintains the needles without generating obstacles
to the flow.
Regarding the security system, deflectors have been chosen, specially adapted so
as to be efficient even if wastes are caught in them (cf. Photos 52.19
and 52.20).
970 A. Choulot
3.3 Maintenance
The casing of the turbine is equipped with two hand-holes made especially to
evacuate the wastes that may have accumulated in the runner without dismantling
the machine.
For this case study, in operation since 1993, the average usual maintenance
amounts to about 40 h per year. The interventions are linked to the electrical output.
Indeed, when the output is lower than that one for the available discharge, it means
that the waste accumulation is not acceptable and that the turbine must be cleaned.
3.4 Overview
With an output of 665 kW, the initial project generated an electricity production of
580 MWh/year. With the refurbished project of 357 kW, a gain has been observed
from the first year with a production increase of 45% (850 MWh/year – or the
electricity consumption of approximately 190 European households), although the
nominal discharge is 2.4 times lower.
Nominal discharge Qmax m3 /s 0.100

Difference in levels Z m 449.5
Head losses coefficient KHr s2 /m5 2,000
Net head (at Qmax) Hn m 429.5
Turbine type – Pelton turbine
Number of adjustable nozzles zi – 2
Axis – vertical
Rotation speed n rpm 1,500
Runaway speed rpm 2,850
Pitch diameter D1 mm 565.0
Bucket width B2 mm 74.5
Specific speed D1 /B2 – 7.6
External runner diameter Rex mm 323.7
Bucket number za – 25
Casing diameter Dc mm 1,560
Nozzle elbow Dnoz mm 500 40S 141:30 6:55
First manifold bifurcation DT1 mm 800 40S 219:10 8:18
Minimal turbine discharge Qmin m3 /s 0.008
Gross hydraulic power Phb kW 441
Net hydraulic power Phn kW 421
Turbine output Pm kW 380
Type of generator Synchronous
Electrical output Pe kW 357
A by-pass equipped with a pressure breaker is incorporated to guarantee the

wastewater treatment operation, whether or not the hydro plant is operational, and
for times when the operational discharges are greater than the turbine maximum
discharge.
Finally, after passing through the turbine, the wastewater discharges into the
treatment works inlet.
This SHP project can be considered as sustainable. Indeed, it does not add
impacts on the environment. The project involved local engineering offices, a
mechanical workshop, and civil work firm. It is maintained by the wastewater
treatment team. The electricity available for sale of interest to the wastewater
treatment company.
4 Economic Analysis
To give general economic figures for projects that recover energy from water is not
an easy exercise considering the large range of site types and the different available
techniques on the market. That is why it was chosen to present here some tendencies
and figures for small hydropower in Switzerland.
One observation is that the investment tends to increase with the electrical output.
It tends also to increase with the decrease of the heads, as shown on Fig. 52.4.
For the case study Le Profray, with a head of 449.5 m and an output of 357 kW,
about CHF 600,000 were invested for the refurbishment, including the turbine, its
generator, and the new control panel, but excluding the penstock of 2.3 km (or 5.1
times the head). It can be mentioned that the required price for the complete turbine
hydraulic profile supply includes the effective work, as well as a contribution to
research and development costs, calculated as a function of the machine output.
This amount remains low, however, relative to the plant construction costs.
The investments can be divided into the different following areas:
– 30–60% toward civil works, with a time of depreciation of 30–40 years
– 20–50% toward electromechanical equipment, with a time of depreciation of
25–30 years (12 years for electronic equipment)
– 10–20% toward studies
– 10–20% toward unexpected costs
Maintenance and operation costs will be reduced with sustainable equipment
especially designed for the site. For example, and as mentioned previously, the
maintenance of the Le Profray plant corresponds to about 40 h per year, achieved
by the team of the wastewater treatment plant.
The cost price of the kWh produced varies greatly according to the head and
the output of the scheme. What can be pointed out is that generally multipurpose
schemes are more cost efficient than plants set on water streams, in that they can
reuse the existing infrastructures.
We can demonstrate in Fig. 52.5 that the lower the head and the output, the higher
the cost price. Because these schemes represent the largest potential remaining in
Europe, it is necessary to implement tools that allow remuneration of the energy
972 A. Choulot
8000000
7000000
6000000
5000000
Investment [CHF]
H=5m
10
4000000 20
50
100
250
3000000
H = 500 m
2000000
1000000
0
0 100 200 300 400 500 600 700 800 900 1000
Electrical output P [kW]
Fig. 52.4 Evolution of the investment (CHF = Swiss Francs) regarding the electrical output (kW)
and the head (H, in meters) for sites in Switzerland where the length of the penstock is lower than
3 H (Chenal 2003)
produced at a price that makes the development of these plants favorable (Chenal
et al. 2009).
Consequently, the development of new schemes must come from establishing
rate measures that allow making the small schemes profitable. For example, in
Switzerland, the selling price depends on the electricity production of the plant,
the head, and the part of the civil works in the total investment.
Furthermore, the rate should be guaranteed for the long term to give investors
confidence and allow them to obtain the necessary bank financing. In fact, small
hydraulics, in the manner of other renewable energies, is characterized by major
investments that are amortized over periods of 20–40 years. It may be pointed
out that the higher the purchase price, the more the realizable economic potential
becomes important. A high rate also allows guaranteeing excellent measures for
environmental integration. To be efficient, the guaranteed price measures should be
accompanied by a performance bonus motivating the owners to optimize their sites.
A second tool, already in place in several European countries, requires certain
participants (producers, suppliers, consumers) to produce or acquire electricity from
renewable energy sources (Chenal et al. 2009).
Therefore, if the existing SHP plants can be considered sustainable from an
economic point of view, most future ones will be sustainable only if political
measures support them, in front of the increasing investment in environment
protection.
30
29
28
27
26
25
24
23
22
21
20
r = cost price [ ct/kWh]
19
18
17 H=5m
16
15
14 10
13 20
12
50
11 100
10 250
9
8
H = 500 m
7
6
5
4
3
2
1
0
0 100 200 300 400 500 600 700 800 900 1000
P = electrical output [kW]
Fig. 52.5 Evolution of the cost price in Switzerland (ct CHF/kWh) regarding the electrical output
(kW) and the head (H, in meters) for sites where the length of the penstock is lower than 3 H
(Chenal 2003)
5 Summary
Water energy has lead to the development of many different kinds of technologies
worldwide. The large hydropower field can be considered as the most mature
technology for water energy recovery and this area continues to be developed
regarding the worldwide stakes in the electricity markets, although the remaining
potentials start to be limited.
This technology is followed by the small hydropower field. Based on the
large hydropower knowledge, its technology is now site-specific and already
mature. Remaining potentials are still interesting worldwide, especially on existing
infrastructures (multipurpose schemes) and for isolated sites in countries with a
lack of electrical grids. Small hydropower sites are also environmentally friendly,
especially if politicians implement financial incentives to invest in environmental
measures. The technology along with administrative and environmental issues are
still studied so as to achieve optimal projects, met on a rather short delay. Today,
small hydropower can be considered as a sustainable technology, mainly from its
long background. Indeed, the present knowledge and market address environmental,
social, and economic issues.
A new energy is currently developing: marine energy, for which operating sites
are still rare but increasing. Its technology is based on large and small hydropower
974 A. Choulot
and also on wind energy, or even thermal cycles. Today, the tidal currents turbines
appear to be the most developed and promising. But the maturity of the whole
domain is still ahead of us.
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Ensuring Sustainability of Bioenergy
in Practice 53
Francesca Farioli
Abstract
Access to energy that is sustainable, secure, and affordable is a critical catalyst
for economic growth and development. Nevertheless, today 2.7 billion people,
mainly in poor countries, still rely only on inefficient and pollutant forms of
energy for their basic needs. The development of modern forms of bioenergy
for heat, electricity, and liquid fuel for transportation offers an option to address
energy poverty and the interrelated issue of lack of development opportunity and
environmental degradation. However, this option entails risks and opportunities
for African countries that at the beginning of the twenty-first century contain
some of the poorest and most technically backward regions in the world and
where 80% of population still depend on charcoal and firewood to fulfill their
energy needs.
The sustainability of bioenergy largely depends on how the risks associated
with its development are managed and opportunities enhanced. It depends also on
the crop grown, the land used, the technology employed, and how the bioenergy
supply chain is integrated into agricultural, social, and economic system.
A number of approaches and mechanisms aiming to driving sustainability of
biofuels in developing countries have been put forward, including market-based
certification, national policy formulation, national legislation, good practice
guidelines, impact assessments, sustainability planning, and land use planning.
They present weaknesses and strengths. Drawing from Competence Platform on
Energy Crop and Agroforestry Systems for Arid and Semi-arid Ecosystems in
Africa (COMPETE) experience, this chapter examines and elaborates on two
of them: (1) the strategic land use mapping aimed to identify available and
F. Farioli ()
Interuniversity Research Centre on Sustainable Development (CIRPS), Sapienza Università di
Roma, Roma, Italy
Department Mechanical and Aerospace Engineering, Sapienza Università di Roma, Rome, Italy
e-mail: francesca.farioli@uniroma1.it

DOI 10.1007/978-1-4020-8939-8 122,
978 F. Farioli
suitable land for conversion and intensification not detrimental to environment

and social aspects and (2) the good practice guidelines, based on a framework
for sustainability appraisal, aimed to provide guidance to various stakeholders
that wish to start, assess, or review bioenergy initiatives and projects.
The presented approaches provide useful tools to ensure sustainability in
practice of bioenergy initiatives. Current achievement, benefits, and shortcoming
are examined, and possible way forward considered.
Acronyms and abbreviations
FPIC: Free, prior and informed consent

GDP: Gross Domestic Product
HDI: Human Development Index
UNFCCC: United Nations Framework Convention on Climate Change
WSSD: World Summit on Sustainable Development
MDGs: Millennium Development Goals
1 Introduction
Lack of access to adequate, affordable, reliable, high-quality, safe, and environ-

mentally harmless energy services to support economic and human development
is interrelated with all other poverty aspects and undermines development. Modern
biomass conversion technologies that allow switching from traditional to modern
forms of bioenergy for heat, electricity, and liquid fuel for transportation offer an
option to address energy poverty and the interrelated issue of lack of development
opportunity and environmental degradation. External interest in biofuel production
in African countries is driven largely by the low cost of land and labor in rural
Africa (Cotula et al. 2008). For African countries main drivers include security of
energy supply, reduction of the foreign-exchange burden of oil-importing countries,
rural development opportunities, investment and infrastructure improvements in
agriculture, as well as environmental benefits such as alleviating desertification. On
the other hand, expansion of biofuel production, particularly if carried out through
large mono-cropping plantations schemes, may lead to environmental risks, put
pressure on vulnerable ecosystems, and undermine biodiversity. Furthermore, rising
prices of agricultural commodities will negatively affect food security of the poor in
developing countries, and the implementation of large-scale bioenergy projects may
cause negative social impacts such as displacement of rural communities.
It is thus of crucial importance that policies and development plans are im-
plemented in African countries to ensure environmental, economic, and socially
sustainability of national and global investments in bioenergy production in Africa.
These policies shall aim at mobilizing the benefits offered by bioenergy feedstock
production to reverse the long-term decline in real agricultural commodity prices
and to boost agricultural and rural development. Thereby, effective mechanisms to
53 Ensuring Sustainability of Bioenergy in Practice 979
ensure sustainability need to be put in place, and safety nets need to be established
to protect the world’s poorest and most vulnerable people to ensure their access to
adequate food.
Certification and verification systems offer a tool to assure sustainability of
bioenergy production, but fail to consider perceptions of communities, and are
unable to incorporate smallholders in value chains. This chapter focuses on sustain-
ability considerations in Africa for bioenergy crops, examines practical approaches
to ensure sustainability of bioenergy initiatives, and elaborates on what is considered
regionally and locally as a good practice. Possible improvement and way forward
are considered.
2 The Energy Access Challenge
Access to energy that is sustainable, secure, and affordable is a critical catalyst

for economic growth and development (IEA 2002). Without it, achieving the
Millennium Development Goals will not be possible. The link between energy
and the Millennium Development Goals (MDGs) has been discussed extensively
in the literature (see, e.g., IEA, UNDP, and UNIDO 2010; Modi et al. 2005), and
energy poverty is undermining their achievement. The dimension of energy poverty
is striking. According to estimate from IEA, UNDP, and UNIDO (2010), 1.4 billion
people lack access to electricity and 2.7 billion people rely only on traditional forms
of energy for their primary needs. Most of these people live either in sub-Saharan
Africa or developing Asia, and 84% live in rural areas. In sub-Saharan Africa today,
only 31% of the population has access to electricity, the lowest level in the world
(IEA, UNDP, and UNIDO 2010).
While there is no specific goal on energy, access to energy services is a necessary
condition for the achievement of all 8 MDGs as it is shown in Table 53.1.
This fundamental role of energy provision as essential means to poverty reduc-
tion was finally recognized at the 2002 Johannesburg WSSD (Poverty Eradication
chapter of WSSD’s Plan of Implementation) after a glaring absence in the global
sustainable development agenda in the Rio era (Energy is not mentioned in the Rio
Declaration on Environment and Development; it is absent in Agenda 21 chapter
devoted to combating poverty and is the subject of no convention, although it is a
key implicit concern of the UNFCCC).
A goal of providing universal access to modern energy services has recently been
put forth by the Advisory Group on Energy and Climate Change (AGECC) of the
UN, a committee set by Ban Ki-moon, charged with assessing the global energy
situation and how incorporating this in the climate change talk (AGECC 2010). This
followed an increasing attention and calls posed to the international community
alarming about the danger that goals related to poverty reduction, health, and
education would not be achieved without significant progress in scaling up energy
access in less developed countries (UNDP-UNEP-World Bank: Synergy on energy
2007, head of the IPCC, Rajendra Pachauri comment on Reuters, 2009, “Energy
980
Table 53.1 Energy and MDGs linkages

Millennium development goals Energy linkages
MDG 1: Eradicate extreme poverty and hunger Energy inputs (electricity and fuels) are needed for agriculture, industrial activities, transportation,
commerce, and microenterprises
Most staple foods must be cooked, using some kind of fuel, to meet human nutritional needs
MDG 2: Achieve universal primary education Teachers are reluctant to go to rural areas without electricity.
After dark, lightening is needed for studying
Many children, especially girls, do not attend primary schools because they have to carry wood and
water to meet family subsistence needs
MDG 3: Promote gender equality and empower Adult women are responsible for the majority of household cooking and water boiling activities. This
women takes time away from other productive activities. Without modern fuels and stoves and mechanical
power for food processing and transportation women often remain in drudgery
MDG 4: Reduce child mortality Diseases caused by lack of clean (boiled) water, and respiratory illnesses caused by indoor air
pollution related to the use of traditional fuels and stoves, directly contribute to mortality in infants
and children
MDG 5: Improve maternal health Lack of electricity in health clinics and lack of lighting for nighttime deliveries adversely affect
women’s health care. Daily drudgery and the physical burdens of fuel collection and transport also
contribute to poor maternal health conditions especially in rural areas
MDG 6: Combat HIV/AIDS, malaria and other Electricity for radio and television can spread important public health information to combat deadly
diseases diseases
Health-care facilities, doctors, and nurses need electricity for lighting, refrigeration, and sterilization
in order to deliver effective health services
MDG 7: Ensure environmental sustainability Energy production, distribution, and consumption all have many adverse effects on the local,
regional, and global environment, including indoor air pollution, local particulates, land degradation,
acid rain, and global warming. Cleaner energy systems are needed to address all of these to contribute
to environmental sustainability
MDG 8: Develop a global partnership for development Electricity is necessary to power information and communications technology applications
Source: Adapted from UNDP (2005)
F. Farioli
missing Millennium goal-U.N. climate chief,” Jan 21, 2009 http://in.reuters.com/

article/domesticNews/idINDEL27013420090121).
The consequent launch of the Global Sustainable Energy for All initiative (http://
www.sustainableenergyforall.org/), led by Secretary-General Ban Ki-moon (SE4All
Technical Report for Task force 2012), provides a vital advocacy platform that
increases awareness of the importance of addressing energy issues. The goal set
is about to facilitate universal access to modern energy services, double the global
rate of improvement in energy efficiency, and double the share of renewable energy
in the global energy mix by 2030.
However, current actions to eradicate energy poverty are falling short both in
terms of scale and pace (Bazilian et al. 2010). In fact, if current trends continue,
without additional dedicated policies, the number of people lacking access to
electricity is projected to drop by 2030, but only to 1.2 billion (IEA, UNDP, and
UNIDO 2010). This slightly decreasing trend is mainly due to forecasted increase
of population in urban areas, where it is more convenient and cheaper for companies
providing electricity service, while trends in rural areas are projected to worsen.
Changing this pathway requires a clear global and national political commitment,
country-led actions that reflect strategies and plans with clear goals and targets, that
cuts across sectors and that involves multiple stakeholders, including the private
sector and civil society as well as government. Actions need to develop appropriate
sustainable energy systems, tailored on local socioeconomic-environmental condi-
tions, which demonstrate transferability and scalability (Orecchini 2007, 2011a, b).
2.1 Energy Services and Development in Less Developed

Countries
Energy profoundly influences people’s lives, especially poor people.

Even though energy itself is not a need, the services it can provide (energy
services as benefits or end uses of energy, as opposed to energy consumption per se),
including cooking, lighting, and mechanical power, are essential to deliver adequate
living conditions, food, water, health care, education, shelter, and employment. All
of these services represent the last link of what is commonly referred to as the
“energy chain” (See Fig. 53.1).
The international community has long been aware of the close correlation
between human welfare and access to modern energy.
A number of statistics show the very strong association between increasing
commercial energy consumption and human welfare, measured by indices like the
Human Development Index (which consists of three equally weighted components,
GDP per capita – substituted by gross national income per capita for 2011 data
onwards – life expectancy, and educational achievement). From Fig. 53.2 it is
possible to observe that there is a strong relationship, empirically based, between
energy and consumption (used as proxy for energy services) and country’s human
development index.
982 F. Farioli
Fig. 53.1 Energy chain (Source: Elaborated from UNDP (2005))
1.0
Iceland
Italy Finland United States
0.9 France Belgium
Singapore
Argentina Hungary
Slovak Republic
0.8
Russia
Brazil Ukraine
0.7
Gabon
HDI
0.6
Zimbabwe
0.5
Nigeria
0.4
Mozambique
0.3
0.2
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000 11000 12000 13000
Per capita energy consumption (kgoe/capita)
Fig. 53.2 Relationship between HDI and energy consumptions (Source: Adapted from UNDP
(2004))
It is a fundamental observation that the elasticity of the relationship between

HDI and energy use changes with increasing countries per capita GDP. In fact, there
is a significant variation in energy consumption for different development levels
once countries have moved up the energy ladder and adopted modern energy forms
over traditional biomass. Consequently, although developing countries fall along
the sharply upward rising part of the curve, one finds that the developed countries
are spread all along the flatter part of the curve. In the later stages of a nation’s
economic development, reductions in energy demand and a subsequent decoupling
Table 53.2 Number of people without access to electricity and relying on traditional use of
biomass, 2009 million
Number of people lacking Number of people relying on
access to electricity the traditional use of biomass
Africa 587 657
Sub-Saharan Africa 585 653
Developing Asia 799 1; 937
China 8 423
India 404 855
Other Asia 387 659
Latin America 31 85
Developing countries 1; 438 2; 679
World 1; 441 2; 679
Source: adapted from IEA, UNDP, UNIDO (2010)
between energy consumption and economic growth are achievable (Johnson and
Lambe 2009). On the other hand, for poor countries, energy services increase and
are linearly correlated with dramatic human development improvements.
Improving human welfare requires better energy distribution in terms of acces-
sibility, availability (continuity of supply and quality and reliability of service),
acceptability (social and environmental goals), and affordability (energy expendi-
ture of householders compatible with their income levels and no higher than the
cost of traditional fuels) (WEC Millennium statement in WEC 2002). Poor peoples
in least developed countries tend to rely on low-quality fuels such as animal dung,
agricultural wastes, and fuelwood, for their basic needs of nutrition, warmth, and
light. As shown in Table 53.2, the majority of them live in sub-Saharan Africa and
Developing Asia. The extensive use of biomass in traditional and inefficient ways
and the limited availability of modern fuels are manifestations of poverty. They also
restrain economic and social development.
The human implications of insufficient energy choices in the presence of extreme
poverty are immediate and pressing. For example, the use of inefficient devices for
cooking, using low-quality fuel, often results in harmful health and environmental
impacts (Farioli and Dafrallah 2012).
It is estimated that 1.45 million deaths per year (of which 60% are female)
in developing countries are associated with the inhalation of indoor smoke from
the use of solid fuels (WHO 2004, 2008). Unsustainable use of fuelwood can
accelerate deforestation and lead to soil erosion, desertification, and increased
risks of flooding and biodiversity loss. Reliance on traditional biomass can also
further entrench existing gender disparities, deriving from gender-ascribed roles
and cultural practices that tend to make women and girls responsible for the most
labor-intensive and time-consuming household chores. Hundreds of millions of
women and young girls spend an average of 6 h a day just gathering fuelwood
and carrying water for basic subsistence needs. These are often the same women
and girls who have to spend considerable amounts of time and effort manually
984 F. Farioli
processing – threshing, de-husking, or grinding – staple foods before they can

be cooked and eaten (Farioli and Dafrallah 2012). The time spent on these sorts
of activities represents a huge “opportunity cost” for women disproportionately
charged on them. Because of these demands on their time, women and young girls
are denied opportunities for other more productive activities such as employment
and education, not to mention much needed time for rest.
Lack of clean and efficient energy services is a rural and urban problem in
developing countries, but people in rural areas are particularly affected. It is
estimated that in sub-Saharan Africa only 8% of the rural population has access
to electricity, compared with 51% of the urban population (Rural Electrification
Funds – World Bank’s Public Private Partnership in Infrastructure Resource Centre,
retrieved Oct.4, 2012). Moreover, because of a lack of access to modern energy,
poor households have to spend a consistent part of their income (averagely more
than one third) on poor-quality and inefficient substitutes (kerosene, diesel) for
energy access, paying more in absolute terms per unit of useful energy compared
to houeseholds in rich countries (UNDP 2005).
Expanded access to energy is needed in rural areas to provide mechanical power
for agriculture, food processing, water pumping, and irrigation; modern fuels for
cooking and heating; and electricity for lighting, refrigeration, communications,
commercial enterprises, and community service. Energy is also important in facili-
tating access to health care by powering transport to health clinic and contributes to
the efficient performance of the health-care system, for example, through ensuring
reliable heating, lighting, sterilization, and refrigeration, as well as safe disposal of
medical waste (UNDP 2005).
Electrification programs nationally financed or supported by World Bank in
developing and newly industrialized countries, mainly in Asia (especially China,
Vietnam, and Thailand), brought new household electricity connections in 1990.
They have mainly focused on macro-energy policies based on investment in
electricity and fossil fuels and are basically designed to meet the needs of grow-
ing populations in urban communities. Conventional energy strategies that rely
on supply-focused, fossil-intensive, large-scale grid-extension approaches do not
address the needs of the poor. Firstly, they are not economically viable for
rural communities due to their dispersed nature and their low commercial energy
consumption. Moreover, petroleum products such as kerosene depend on road
transport, which may be seasonally unreliable, and the transport costs may increase
the fuel cost considerably.
Decentralized approaches that do not provide energy services through a national
electricity network, though may be part of a national fuel system, based on a number
of decentralized renewable energy technologies (DREs), sometimes in combination
with each other, can support energy access as well as development goals. In fact,
DREs allow the production of energy in different forms (electricity, heat, and
fuel), using locally available energy sources for households basic energy needs and
income-generating activities or small industries that can be mechanically powered
from DREs and easily maintained from local communities, therefore producing
local added value in terms of livelihood opportunities.
Table 53.3 DREs Application in agriculture, advantages, and disadvantages

Technology Application Advantages Disadvantages
Photovoltaic Pumping for No fuel cost High capital costs high
technologies irrigation, lighting, cost of battery
cooling, crop replacement. Need further
processing R&S
Solar water heaters Dairy processing Low capital cost Intermittent energy
and heat energy for services
poultry
Wind turbine (and Water pumps for No fuel cost Expensive batteries,
mini-wind) irrigation, crop intermittent energy
processing, mills, services
lighting
Small biomass plant Water pumps, mills, Continuous source Noxious emissions if they
refrigeration, of organic material are not controlled
lighting, production from farm wastes, (particularly in wastes
of fertilizer (biogas wood wastes, food processing)
plant), production of processing wastes,
biofuel for tractors and agricultural
crop. No fuel costs.
Allows
income-generating
activities
Biofuel cookstoves Milk pasteurization, Improved air quality Cultural barriers
heat energy for
poultry, crop drying,
crop processing
Hydropower plant Mills, lathing, Long life, high Site specific. Supply
communication, and reliability. Allows depends on water
others income-generating availability
activities
Source: Adapted from Karekezi and Kithyoma (2002) and IEA (2002)
Table 53.3 shows possible applications of decentralized renewable energy tech-

nologies based on indigenous sources for local use in rural areas with main
advantages and disadvantages.
2.2 Addressing Energy Access Challenge in Sub-Saharan Africa

Through Sustainable Bioenergy Development:
Opportunities and Risks
Bioenergy covers all energy forms produced directly or indirectly from biomass –
organic fuels of biological origin; it comprises both purpose-grown energy crops
and multipurpose plantations and by-products (residues and wastes) (FAO 2000)
(see chapter Biomass Energy Field in this handbook).
986 F. Farioli
As shown in Table 53.3, biomass is a renewable energy source with major

advantages in comparison to other energy sources due to some peculiar characteris-
tics indicated below:
• Locally available: biomass fuels are available wherever trees and food are grown
and food and fiber are processed,
• Biomass fuels are forms of stored energy which can be available at any time
to provide energy services unlike other renewable sources that are intermittent
and/or seasonal
• Biomass can provide all three major energy carriers – liquid, gases, and heat and
electricity – replacing inefficient traditional biomass or nonrenewable petroleum
fuels.
• Conversion into secondary energy carriers is feasible without high capital
investment
• Added value of biomass energy systems is retained locally and can contribute
strongly to rural development through local income-generating activities
Bioenergy is rather special among all classes of energy resources in representing
both risks and opportunities for sustainable development goals.
The growing interest in biofuels in recent years, mainly driven at the beginning
by opportunity for reducing dependency on fossil fuels against significant oil prices
increases and by climate change debate requiring for reduction of GHGs, has led to
several policies and directives being put in place by net energy consumers, mainly
European Union (EU), USA, and Japan, through a variety of policy instruments to
promote the production and use of biofuels, therefore strengthening and shaping the
growth of bioenergy markets (FAO/GBEP 2007).
While climate concerns and energy security have driven interest from developed
countries, economic and rural development represents priorities for countries facing
poverty and food insecurity as African countries in tropical and subtropical regions.
As shown in Table 53.2, the large majority of the population living today in sub-
Saharan Africa, especially in rural areas, depends on traditional biomass for their
primary needs. In many regions, traditional biomass resources are readily available
for the local population. Their production and use, however, causes a variety of
negative environmental impacts.
Roughly half of the people in sub-Saharan Africa live on less than one dollar
(USD) per day (Woods et al. 2007) with many in rural Africa relying on subsistence
farming for their livelihoods. Low levels of development, especially widespread
hunger, constrain farmers’ ability to effectively cultivate their land, even though
there is a great deal of productive land in rural Africa. Additionally, small-scale
farmers receive little outside investment, so they have few opportunities to improve
or change their livelihoods. Farmers also have to contend with negative effects of
global warming on their yields.
These factors contribute to farmers’ unsustainable land use practices that, in turn,
degrade arid and semi-arid ecosystems. Increasing demand for food and energy will
further strain the land that supports rural farmers’ livelihood (Amigun et al. 2011).
Many studies showed a large (technical) potential in African countries for
bioenergy development due to in theory very large areas of land resources available,
which endowed favorable climatic condition, and lower costs of production (Smeets
et al. 2007; Hoogwijk et al. 2005; FAO 2008) which has subsequently pro-
vided stimulation for feedstock cultivation and/or biofuel productions in these
regions.
The development of modern bioenergy systems promises to be a solution option
to address the complex interrelated problems of limited access to energy sources,
low level of quality of life, lack of livelihood opportunities in rural areas in Africa,
and degradation of arid and semiarid ecosystems caused by unsustainable land
use practices, thanks to opportunities offered for sustainable sources of energy for
local needs (in the form of fuel, electricity, or heat), investment, and infrastructure
improvements in agriculture with the promise to diversify agricultural production
and thus to stimulate socioeconomic development.
On the other hand, concerns exist that bioenergy (biofuels) expansion may
have severe negative impacts on biodiversity and food security through increasing
competition over land and water resources.
Opportunities and risks exist. The potential contribution to socioeconomic sus-
tainability deriving from expansion of bioenergy (Mapako et al. 2012; Mwakasonda
and Farioli 2012) will be determined in part by the ability of modern bioenergy
markets to extend into poor communities in developing countries, in order to
revitalize rural economies, which are often set back due to unreliable energy
services.
On the one hand, biofuels may imply:
• The increase of income and job opportunities in the agricultural sector – feed-
stock production, handling, and transportation – through the use of
previously unused resources (e.g., intercropping, degraded land) or the pro-
duction of high-value bioenergy cash crops as well as in the processing,
distribution, and marketing sectors. These new positions would include high-
skill science, engineering, and business-related employment, depending on the
scale of production and degree of mechanization (Utria 2004; GTZ/worldwatch
2006; AGAMA 2003). As the Biomass Cogeneration Program in Mauritius
and the Brazilian Pro-alcohol Program show, a consistent creation of unskilled
and skilled jobs is possible (Moreira 2005; Woods et al. 2008). In a study
conducted by AGAMA on the employment potential of renewable energy in
South Africa, the number of gross direct jobs/MW (and/GWh) for biomass is one
gross direct job/MW (or 5.6 jobs/GWh) (AGAMA 2003), showing bioenergy is
possibly the most labor intensive energy source, compared to fossil fuels and
other RES.
• The provision of bioenergy in various forms, such as commercial heat and
electricity production for rural electrification (to light homes, schools, and health
clinics), as fuel for use in engines (for income-productive activities), and as
transportation fuel. Turning to the domestic activities, it is easy to imagine that
cooking and water heating may become less time consuming and cheaper with
equipment driven by modern fuels. Improved light may facilitate homework
and extend business or domestic activities into the evening hours. Access to
electricity also facilitates the use of media – for both information collection and
988 F. Farioli
leisure activities – and allows for charging of cellular telephones. With respect
to water, improved energy facilities may facilitate irrigation and water access
for domestic purposes. Finally, the switch to modern fuels reduces the need to
allocate time into fuelwood collection activities, especially for women (Farioli
and Dafrallah 2012) as well as reduces indoor air pollution from inefficient
traditional stoves that cause severe health problems mainly for women and
children.
• An increase in investment and capacity building in the agricultural sector,
leading to the application of best management practices and an increase in
agricultural productivity.
• Improved balance of payments and currency valuation thanks to lower oil import
bills which are particularly a drain on developing countries’ economies and
farmers’ budgets.
• An economically rewarding way to regenerate Africa’s vast areas of degraded
land (e.g., grass has notable potential for regeneration of degraded soils, and
plants such as Agave and Jatropha can grow on particularly dry land).
• Lessened conflict, which is widely recognized as both a cause and an effect of
hunger and poverty in Africa. Using bioenergy to improve both food security
and economic security could help replace a vicious cycle with a virtuous one.
• Reduction in price volatility associated with agricultural commodities, thanks to
a new demand, generated by biofuels, for agricultural products that go beyond
traditional food, feed, and fiber uses, therefore reducing the risk for poor farmers
(Clancy 2008).
However, when bioenergy crops encroach on valuable ecosystems or food crops,
or when land clearing or transformation is used to obtain fast profits, there can be
negative consequences for environmental and socioeconomic sustainability.
Social sustainability concerns are mainly linked to expansion of agricultural
land for production of energy crops and centralization of agriculture that could
exacerbate conflicts over land rights and “landlessness” issues in several developing
countries, forcing rural dwellers and pastoralists to migrate, losing their access
to key forest resources and ecosystem services. The risk of exacerbating existing
inequities in land access, compounded by land’s historical, political, cultural, and
spiritual value, is particularly evident in rural Africa, where land tenure is often
characterized by a high level of insecurity, as a result of the colonial legacy of
centralized ownership of land by the state, coupled with weak mechanisms for
accountability and enforcement of land rights.
The increasing competition over land and water resources can lead also to food
insecurity, especially when food crops are cultivated for biofuel production.
Poor labor conditions and unfair distribution of the benefits along the value chain
are additional concerns for socioeconomic sustainability.
Major environmental concerns derive from intensive feedstock cultivation lead-
ing to:
• Biodiversity loss, usually associated with large-scale cultivation and the expan-
sion of agricultural land for production of energy crops
• Water consumption and reduced water flows, especially for irrigated crops
• Environmental damage, for example, due to deforestation or industrial pollution

• Land degradation, also associated with monoculture and the use of agrochemicals
Environmental sustainability concerns are mainly linked to GHGs implications, that
are subject of intense debate. Biofuels have been pointed to as a means for reducing
GHG emissions especially because plant biomass captures carbon from the air.
Unlike fossil fuels, biomass fuels have the potential to be “carbon neutral” over
their life cycles, emitting only as much carbon as feedstock plants absorb from the
atmosphere as they grow (Hazell and Pachauri 2006); however, this is generally not
the case in practice due to GHG emissions produced in the feedstock production,
processing, and distribution (as bioenergy generated by massive input of fossil fuel
sources – fertilizers, processing, transport, etc.).
Fargione et al. (2008) indicate that GHG reduction from biofuel use compared
with that of fossil fuel depends upon land use and the source of land used for biofuel
production. In particular, clearing new land for biofuel production can generate large
emissions of GHGs (particularly CO2 ) due to burning and decomposition of organic
matter. Fargione et al. (2008) refer to these land-conversion emissions as the “carbon
debt.” In the case of production of sugarcane for ethanol on land cleared from
Brazilian cerrado, they estimate that it would take 17 years to repay this debt (in
other words, 17 times the carbon savings per year from using the produced ethanol
vs. gasoline equals the carbon debt). The payback periods for some other biomes
and crops are even longer (Fargione 2008). However, biofuels derived from the
more efficient crops, such as sugarcane and oil palm, show substantial net energy
contribution (Searchinger et al. 2008).
The environmental sustainability of an energy source can, in the end, only be
determined by a life-cycle assessment of the entire production and utilization chain
of each energy source and by the effective use of by-products from bioenergy
conversion, (e.g., oil cake, glycerin, bagasse) and processing, which could offset
at least some of the GHG emissions from bioenergy cultivation.
No “bad” or “good” biofuels exist. The sustainability of bioenergy depends
largely on how the risks associated with its development – especially pertaining
to the land use and environment implication of large-scale production and potential
social inequity – are managed. It depends also on the crop grown, the land used,
the technology employed, and how the bioenergy supply chain is integrated into
agricultural, social, and economic systems.
A number of approaches and mechanisms aiming to driving sustainability
of biofuels in developing countries have been put forward, including market-
based certification, national policy formulation, national legislation, good practice
guidelines, impact assessments, sustainability planning, and land use planning.
Harrison et al. analyze main benefits, shortcomings, and constraints of these
approaches (Harrison et al. 2010).
In the following section, the focus is on two of these approaches as developed by
the COMPETE project, mainly 1) land use mapping aimed to identify available and
suitable land for conversion and intensification not detrimental to environment and
social aspects and (2) Good Practices Guidelines aimed to provide guidance to various
stakeholders that wish to start, assess, or review bioenergy initiatives and projects.
990 F. Farioli
3 Ensuring Sustainability of Bioenergy in Practice: Lessons

Learned from the COMPETE Project (Competence Platform
on Energy Crop and Agroforestry Systems for Arid and
Semi-arid Ecosystems in Africa)
The Competence Platform on Energy Crop and Agroforestry Systems for Arid and
Semi-arid Ecosystems in Africa (COMPETE) project was an international biofuels
initiative that addressed the interrelated problems of low quality of life, limited
energy access, and lack of livelihood opportunities in rural Africa. The project was
funded through the EU’s 6th Framework Programme and ran 3 years (2007–2009)
(http://www.compete-bioafrica.net/). It involved 44 partners, including scientists,
practitioners, companies, and policy makers from Europe, Africa, Brazil, India, and
Mexico.
The objective of COMPETE was to stimulate sustainable bioenergy implemen-
tation in Africa through the establishment of a platform for policy dialogue and
capacity building.
COMPETE carried out a comprehensive, multidisciplinary, assessment of current
land use, energy demand, and technology innovation focused on Africa to identify
pathways for the sustainable provision of bioenergy, which aimed to:
• Improve the quality of life and create alternative means of income for rural
populations in Africa
• Aid the preservation of the critical functions of arid and semiarid regions in
Africa as intact ecosystems
• Enhance the equitable exchange of knowledge between EU and developing
countries
Being bioenergy a complex issue that needs to be addressed through a comprehen-
sive and systemic approach, the project produced comprehensive and interrelated
knowledge and understanding including different perspectives, considering the
various linkages and trade-off among involved sectors and issues, about which
agricultural crops can be used for energy purpose in some African countries in a
way that is not detrimental for environment, does not compete with food production
and alternative land and water uses, and at the same time increases opportunities for
creation of local added value.
Another objective of the project was to identify policy approaches that foster
“win–win” outcomes with respect to bioenergy, food security, and poverty reduc-
tion. This is particularly challenging considering that Africa is the most vulnerable
and poor continent in the world. Although potentially productive land is rather
plentiful in much of Africa, hunger and lack to food access is the main problem,
with lack of development as the most important underlying cause.
Arid and semiarid regions in Africa are the target region of COMPETE; those
regions seem to have large potential but are also some of the poorest and most
technically backward in the world. Eighty percent of the population still rely on
traditional forms of energy, charcoal and firewood, to fulfill their energy needs
(Woods et al. 2007).
COMPETE addressed the low attention given to African perspective in the

international debate about biofuel, and the need of implementation of policies and
development plans in African countries, striving to optimize the positive impacts and
minimize the risks, through participatory initiatives aimed to channel the African
voice in the international debate and provision of knowledge and capacity for policy
formulation.
The project did not apply a particular sustainability method, instead it addressed
some issues related to sustainability of bioenergy, including the implications of land
use change for bioenergy crops, climate change impacts and adaptation, mech-
anisms for monitoring sustainability, and mechanisms to reward good practices,
through provision of tools, guidelines, knowledge policy recommendation, and
practical solutions to assist with the promotion of sustainable bioenergy in Africa.
3.1 Ensuring Sustainability of Bioenergy in Practice: Strategic

Land Use Mapping
Strategic land use mapping is potentially a powerful mechanism to ensure that

biofuel development does not take place in socially or environmentally sensi-
tive habitats.
The strategic land use mapping carried out by the University of KwaZulu-Natal
for the COMPETE project helped the identification of available and suitable land
where well-managed intensification of or conversion to bioenergy feedstock pro-
duction has a low risk of causing detrimental environmental and/or socioeconomic
effects (Watson and Diaz-Chavez 2011). This required a full understanding of
complex biophysical and human dynamics associated with the Africa’s dry lands
considered, including the evaluation of traditional knowledge and traditional uses
of natural resources, being these the main life-supporting and wealth-generating
activities of the rural poor in the countries of Africa.
The disequilibrium behavior concept that explains the spatial and temporal
heterogeneity and dynamism of ecosystems in Africa’s dry lands (Thomas 2002)
brought to a redefinition of key management concepts, the principle of which
is sustainability (Holdren et al. 1995; Eriksen and Watson 2009). This concept
recognizes that the sustainability of biomass dynamics of Africa’s drylands is
dependent on changes and disturbances that temporally diminish valued quantity,
therefore challenging proponents of modern bioenergy development who suggest it
will ameliorate Africa’s fuelwood crisis and rampant deforestation (Holdren et al.
1995; Eriksen and Watson 2009). The above consideration influenced identification
of available and suitable land for bioenergy carried out in COMPETE.
Suitable and available areas have been identified through mapping of areas where
feedstocks must not be cultivated (no-go areas). This approach is more practical
than identifying where cultivation should take place (Harrison et al. 2010). The
methodology involved used Geographic Information Systems (GIS) to interrogate
992 F. Farioli
Table 53.4 Availability of land for energy crop production in semiarid and arid regions of eight
sub-Saharan African countries
Burkina Africa
Country Senegal Faso Mali Kenya Tanzania Zambia Botswana South
Total area 196,013 272,339 1,252,281 581,871 941,375 751,920 587,337 1,221,361
km2
Arid and 111,147 149,973 637,960 457,908 316,738 160,281 581,605 901,345
semiarid
km2
Km2 arid 15,783 22,756 192,438 379,698 147,252 67,383 291,860 722,874
and semiarid,
available and
suitable
% arid and 14 15 30 82 46 42 51 79
semiarid,
available
and suitable
Source: Watson, Diaz-Chavez (2011). See also www.compete-bioafrica.net/
a wide range of data sets (GLC database, FAOSTAT), aerial photograph and field
verification, an extensive literature review, and a wide range of stakeholders.
Areas considered unavailable for feedstock production and those agriculturally
unsuitable for such production were filtered out. Areas were considered unavailable
on the basis of their importance in terms of biodiversity, carbon stocks, environ-
mental services, food security, and rural livelihoods. They included all categories
of protected areas, biodiversity hotspots, forests and wetlands outside of protected
areas, and cropland and pasture land.
Localities where bioenergy feedstock production would be at risk, due to
legal, archeological, cultural, and/or policy constraints, were also identified and
superimposed to the identified available and suitable land.
Table 53.4 shows area available and suitable for cultivation of feedstock for
bioenergy in the eight countries where investigation has been carried out. The share
of total area ranges from 15% for Western African countries (Senegal e Burkina
Faso) to more than 80% in Kenya (Watson et al. 2011).
The table indicates that there is available and suitable land, but concerns exist.
Using GIS to interrogate 1 km2 database provides a cheap, effective, and quick way
to identify where land is potentially available and suitable. But Watson affirms that
accuracy is affected by dynamics of savannas, leading to inability to safeguard high
biodiversity grasslands. The characteristic of savanna, very common in this part of
Africa, is vegetation type made of tree and grass, and the composition depends on
how often the land is burnt and raised. Regular burn and raise leads to grassland;
less intensive burn and raise favors predominance woodland (see difference in
vegetation cover between left and right side in Picture 53.1). Using 1 km2 database
this difference cannot be captured as showed in Picture 53.1.
Picture 53.1 Showing temporally dynamic savanna, Watson (2012) presentation at ICSS2012
Other concern related to the use of 1 km2 resolution is that it does not allow to
capture scattered small-scale, subsistence farming occurring in the areas considered
available and suitable according to the applied land-mapping methodology. A
simple confrontation with images given from Google Earth showed different uses of
this land, in terms of lot of small-scale cultivation, and presence of important natural
resources.
In summary it can be stated that the application of land use mapping proved to
be effective in safeguarding large-scale food and cash crop production, while on the
contrary it was not appropriate to adequately safeguard the livelihoods of traditional
land users and small-scale famers (Watson and Diaz-Chavez 2011). Field visits and
Google Earth examination of a large number of places, identified as available and
suitable for biofuel feedstock production, revealed, in fact, human habitation and/or
use of natural resources in a substantial portion of them.
This is particularly relevant if we consider that natural plant and animal resources
make a very significant contribution to food security and income generation,
particularly for poor rural and especially female-headed households in African
countries.
A wide range of plants and plant parts, and animals are collected and hunted
for a wide range of purposes. Rural households and those of the urban poor are
particularly dependent on these natural resources for food security and income
generation. The reliance on and demand for these resources are likely to continue to
increase. According to Watson and Diaz-Chavez (2011), land use mapping approach
needs to be improved through employing of higher-resolution remotely sensed data,
a wide range of local information sources, as well as ground verification in order to
verify that land that appears to be unoccupied and unutilized actually is, before it is
cleared for biofuel crops.
994 F. Farioli
Another concern regards protected areas (PA) that are usually not fenced in
Africa (except in South Africa), so animals move freely from outside to inside most
of PA. The corridors of animal routes should also be excluded, and this was not
captured in the above-described land use mapping.
Following the above considerations, the land availability assessment carried out
in COMPETE has highlighted that communal grazing land, areas, and routes used
by gathers, hunters, and nomadic pastoralists, as for example most community-
based natural resource management areas that border unfenced protected areas
where communities are given licenses to hunt, should all be excluded from biofuel
feedstock production consideration. Maasai communities, for example, move with
their cattle through Kenya and Tanzania, but they do not follow the same route,
depending on the seasonality (rainy or dry season). This makes the land use mapping
more difficult (e.g., during dry periods, they move on the cost, conflicting the land
with cattle breeders). Therefore, in identifying land available for biofuel feedstock
production, routes traditionally used by the Maasai in both “normal” rainfall periods
and severe droughts should be excluded. Some of them practice also agriculture and
could also benefit from production of feedstock for bioenergy as additional source
of income.
3.2 Ensuring Sustainability of Bioenergy in Practice:

Sustainability Assessment and Use of Good Practices
The land use assessment described above is an important tool for ensuring sustain-
ability in the decision-making process, avoiding food–fuel conflicts, and ensuring
food security and bioenergy development in African countries.
Another tool aimed to ensuring sustainability in the decision making process is
sustainability assessment.
It offers support in acquiring a better insight into sustainability complex issues
as those involved in bioenergy development. A plethora of methodologies, methods,
models, tools, and indicators for sustainability assessment have been developed over
the past 30 years.
We continue moving toward an “indicator zoo” characterized by a multitude
of approaches, allegedly comprehensive in addressing sustainability, but still with
only limited impact on policy and outcomes that are priorities for sustainable
development (Pintér et al. 2005).
Terms such as integrated assessment and sustainability assessment, and sustain-
ability appraisal are used to label “new” approaches to impact assessment that are
designed to direct planning and decision making toward sustainable development
(Hacking and Guthrie 2008; Sala et al. 2012). Although sustainable development
is not a destination, but a dynamic process of adaptation, learning, and action,
objectives and goals toward a more balanced integration between nature and human-
kind have to be agreed upon and set both at societal and policy level.
Therefore, an optimal sustainability assessment method should be
multi-scale, that is, able to deal with different and wide spatial and temporal scale
Stakeholders Objectives Regional

and local
levels
Assurance
reporting
Research Demonstration
Enforcement
Data & indicators
Enforcement
Environmental Management tools (EIA, SA)
Environmental Economic Policy &

Social
Institutions
• Environmental impacts
• national,
• LCA and supply chain • LCA Social
regional and • policies
impacts
• Production, transport local economy plans &
and use • GHG and other
• livelihoods projects
emissions
• GHG and other (health) • Incentive • Directives
emissions (e.g. NOx,
• social • Barriers • Incentives
particulates)
organisation • Barriers
• Waste
• Institutional
capacity
Cumulative and indirect impacts
Fig. 53.3 Framework for sustainability appraisal for bioenergy projects (Source: COMPETE
2008; Diaz-Chavez 2011)
(Hacking and Guthrie 2008), integrating global and local perspective, and provide
insight into linkages between events on both the macro- and microscale, accounting
for different time horizons, time preferences, discounting, and consistency with key
concepts of sustainability (intergenerational equality) (Sala et al. 2012).
Sustainability assessment, unlike environmental impact assessment, is a tool that
can be used expressly to prepare and design a biofuel development policy, plan,
program, or project with sustainability as the desired outcome rather than merely to
prevent or mitigate potential environmental impacts (Pope and Grace 2006).
The approach defined in the COMPETE project is based on the framework
for sustainability appraisal for bioenergy projects, plans, and policies showed in
Fig. 53.3.
It identifies a number of issues that need to be considered to ensure a sustainable
production and use of biomass to produce energy in order to fulfill energy needs and
contribute to make MDGs achievable.
It considers the integration of four themes (environmental, economic, social, and
policy and institutions) but is not treated independently and emphasizes the causality
links. Policy and institutions is considered not as drivers for decision making but as
an integral part of sustainable development (Diaz-Chavez 2011).
It is based on previous studies that have identified a strong need for approaches
with a developing country perspective which assess impacts in a locally oriented,
996 F. Farioli
context-specific way as well as how they might relate to wider national or

international agenda and be applicable at a range of spatial scales (Dalal-Clayton
and Bass 2002; Buchholz et al. 2009).
Differently from the assurance and verification systems, which respond to
commercial and legal regulations, the framework utilized called for development
of policies that tries to integrate multi-interactions that are implicit in biomass
production and use for bioenergy, including biofuels (Diaz-Chavez 2011).
If African countries are willing to engage in the bioenergy sector, in part by
replacing the traditional use of biomass with more modern forms while ensuring that
they can fulfill their own energy needs, it will be necessary to meet sustainability
assurance (environmental, social, and economic) and incorporate it into local policy
and governance. The challenge for Africa is to come up with effective policies and
strategies that will ensure that African countries are secure in fuels and food.
Some African countries have started to design bioenergy policies; these need to
be integrated with agriculture and poverty-reduction policies in order to be effective;
there is no single policy or measure which can provide a global solution.
Important aspects of sustainability assessment relate to the understanding of the
implications of the different scales and forms of production and the context of
feedstock production and conversion industry.
The forms of production are strongly related to the different criteria from the
three pillars and to the environmental and social goals as the MDGs. For example,
large-scale, corporate-owned, mono-cropped plantations versus small-scale farmers
with mixed cropping systems can significantly alter the nature of the impacts and
the sustainability potential (Cotula et al. 2008).
Multiple sustainability initiatives applicable to biofuels production are emerging
or in operation to respond to the growing concern on sustainability issues from the
expanding production of biofuels and as a means for foreign producers to show
compliance against the sustainability requirements of key importing markets. These
can be broadly divided into multi-stakeholder initiatives, such as the Roundtables
on Sustainable Palm Oil and Soy, and government-led schemes such as the EU’s
proposed biofuels sustainability criteria (EC 2009), the Renewable Transport Fuel
Obligations (RTFO) in UK, the Cramer Report from the Netherlands (ETSF 2006),
the Global Bioenergy Partnership (GBEP), and many others (for a complete review
see ECCM 2006; Junginger 2006; Lewandowski and Faaij 2006; Diaz-Chavez and
Rosillo-Calle 2009; Van Dam 2010).
Some of the main challenges facing sustainability assurance and certification in-
clude poor statistical data, international differences on definitions, and assumptions
that need to be overcome since certification and sustainability requires traceability,
and therefore, it is essential that good quality data is used.
Another difficulty in assessing sustainability is the implication of “whose sus-
tainability” is being addressed. This implies a review of concepts and understanding
of different societies and also main goals for the achievement of sustainable
development. Additionally, it must be assessed how sustainable development can be
measured or reviewed and which tools shall be used. Some environmental tools are
more appropriate for particular objectives or activities (e.g., strategic environmental
assessment for policies, plans, and programs), while others are diverse but at the
same time limited to specific activities or products (e.g., life cycle assessment)
(Diaz-Chavez and Woods 2012).
Another concern with standard is whether they generate barriers for trade and
result in discrimination (Van Dam et al. 2009).
The main flaw with existing voluntary standards is their inability to incorporate
smallholders in value chains, due to inherent costs and complexity (Beall 2011).
A simpler and less time-consuming option to address sustainability concerns
of biofuel development and ensure that modern bioenergy development enhances
opportunities and safeguards against potential risks is provided by the good practice
approach. The Food and Agriculture Organization (FAO) defines good practices
as “Any collection of specific methods that produce results that are in harmony
with the values of the proponents of those practices. In agriculture, it means the
application of available knowledge to addressing environmental, economic, and
social sustainability for on-farm production and post-production processes resulting
in safe and healthy food and nonfood agricultural products” (FAO/Netherlands
Conference 2005).
A number of good practices can be implemented throughout the bioenergy
supply chain. A set of environmental and socioeconomic good practices have been
documented and analyzed by FAO’s Bioenergy and Food Security Criteria and
Indicators (BEFSCI) and COMPETE projects (FAO/BEFSCI 2011; FAO/BEFSCI
2012; Farioli and Portale 2009; Farioli 2009). They can be adopted by bioenergy
feedstock producers and in order to minimize the risk of negative environmental and
social impacts from their operations and to ensure that modern bioenergy delivers
on its climate change mitigation, rural development, and food security potential.
These practices can improve the efficiency and sustainability in the use of land,
water, and agricultural inputs for bioenergy production, thus reducing the potential
competition with food production, as well as the inclusiveness of production mode
and equal distribution of profits (see Table 53.6).
Good Practice Guidelines have been produced by COMPETE project following
the above-illustrated approach (Fig. 53.3). They aimed to provide a general assess-
ment through principles that reflect a more balanced view including the perspectives
of different stakeholders to what is considered necessary to assure sustainability
issues in practice for a bioenergy project.
For an effective sustainability assessment, there must be clear delineated prin-
ciples and decision criteria based on well-integrated understanding of the key
requirements for sustainability.
Table 53.5 presents the principles selected in the framework of COMPETE
project through a participatory approach aimed to reflect a balanced view including
perspectives of different stakeholders to what is considered necessary to assure
sustainability issues in practice for a bioenergy project, plan, and program. Princi-
ples identified through the above-mentioned process and based on the sustainability
framework illustrated in Fig. 53.3 intend to provide a clear and balanced guideline
for good practices. Some of the principles have clear links among them, especially
regarding the compliance with policies and regulations (Principles 10 and 11).
998 F. Farioli
Table 53.5 Principles for sustainability assessment for bioenergy initiatives

Principles Environmental Social Economic Policy
1 Good agro-ecological and X
forestry practices (biodiversity,
soil)
2 Not affecting water supply and X
quality
3 No land use change that X
detrimentally affects food
security
4 Community participation (from X
planning)
5 Women’s participation (from X
planning)
6 Skills transfer (management, X
business, agriculture)
7 Community inclusion in X
business or economic model
(Contract with investor or
NGO)
8 Added value in the community X
(individual, money, assets, land,
co-products)
9 Improvement in services and X
infrastructure (energy supply,
health) reinvestment of revenue
within the community
10 Compliance with National X
guidelines for bioenergy policy
in place
11 Compliance with Local X
programmes, regulations and/or
plans in place
12 Respect Land rights and avoid X
displacement
Source: Diaz-Chavez and Woods (2012)
Table 53.5 presents the 12 principles and the topic they are related to (environmental,
social, economic, policy and institutions). One interesting point is that some of
the principles and criteria widely discussed in the EU and the USA context do
not present the same relevance for developing countries. For instance, GHG is
not considered as an important issue in many developing countries, whereas the
participation and opinion of the community, and the conservation of local resources,
is highly regarded. Moreover, social issues may also be valued differently: for
instance, child labor concerns are not seen in the same context as long as children
collaborate (not under exploitation circumstances) with the family tasks in the farms
and do not neglect their studies (Diaz-Chavez 2010).
Table 53.6 Principles, criteria, and indicators for sustainability assessment of bioenergy initiatives
Item Sustainable principles and criteria Description Indicators
1. (Principle) Good agroecological and forestry practices This principle considers that the basic
(biodiversity, soil) environmental characteristics to grow
Key question: Does bioenergy activity bioenergy crops will be followed according
safeguard biodiversity and environmental to the agroecological and forestry
conditions? conditions of each country, region, or
community willing to grow them
Criteria
1.1 Criterion Bioenergy crops are grown according to High risk areas for feedstock production in The project area does not fall in High Con-
agroecological zoning (http://www.fao.org/ terms of potential damage to vital servation Areas, Protected Areas, or other
nr/land/databasesinformation-systems/aez- ecosystem functions should be clearly “high risk” areas identified through land
agro-ecological-zoning-system/en/) and delineated and mapped suitability assessment, agro-ecological zon-
53 Ensuring Sustainability of Bioenergy in Practice
land suitability assessment. Not negative No-go areas identified ing of the country
effect on biodiversity Preservation of habitats in production areas Evidence of implementation of appropriate
for species to survive management practices to assist conservation
of ecosystems and preservation of habitats
throughout the production site which are
connected (a corridor) to enable species to
migrate.
No introduction of invasive species or
genetically modified species
(continued)
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1000

1.2 Criterion Bioenergy crops adequate to soil Bioenergy crops adequate to the Evidence of implementation of appropriate
characteristics. Appropriate land use type, characteristics of soil and contributing to management practices to assist conservation
soil conditions (adequate for the selected reduction of soil erosion. If land used for of ecosystems:
bioenergy crop), soil management and biofuel feedstock production has a high-risk • Limited use of pesticides, herbicides, and
protection, good agriculture practices (e.g., erosion (significant soil carbon loss), the fungicides
use of fertilizers and pesticides), good crop selected should be able to enhance the • Use of natural predator as biological con-
forestry practices (e.g., conservation land carbon stocks trol in crop management
management) are applied. Perennial bioenergy crops can improve • Limited and appropriate use of land
soils and help reduce erosion on arable land clearance practice as such slash and burn,
currently in use by creating year-round soil burning crop residues, deforestation
coverage (Fritsche et al. 2006). Good Application of methods for maintaining soil
agriculture practices can minimize the risks nutrients (e.g., use of press cake as natural
of environmental damage fertilizer)
Appropriate land and soil management Evidence of use of soil and land manage-
practices safeguard biodiversity and soil ment plan in the project area
degradation Evidence of use of crop management
practices (e.g., multicropping, perennial
crops, crop cascade management)
F. Farioli
2. (Principle) Not affecting water supply and quality This principle seeks to consider that
Key question: Does bioenergy activity especially in areas where water is
reduce water availability and quality in the constrained it will not be used for bioenergy
project area? crops or be limited or managed according to
the good agricultural practices. It also seeks
to avoid the pollution of water that
negatively affects its quality (e.g., with the
overuse or bad use of fertilizers and
pesticides). The principle considers the use
of water first for human consumption and
for food crops
The potential effects of increased water
abstraction include salinization, loss of
wetlands, and the disappearance of habitats
through inundation caused by dams and
reservoirs. Apart from potential conflicts on
the amount of water available for irrigation,
other impacts on ground and surface water
supplies could come from agrochemicals

(fertilizers, pesticides) applied during
cultivation
2.1 Criterion Appropriate practices of water use and In arid and semiarid regions where water is Evidence of appropriate water management
plans for efficient use of water are scarce and highly variable throughout the and conservation measures including irriga-
developed and implemented year, bioenergy feedstock production tion scheduling and soil tillage methods for
should be avoided. In any case, water use retaining
has to be limited and appropriately Show compliance with prevailing
managed in accordance with good regulations when using irrigation,
agricultural practices fertilizers, and/or pesticides to avoid water
pollution (e.g. the codes of good
agricultural practice for the protection of
water)
(continued)
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1002

3. (Principle) No land use change that detrimentally Land use for bioenergy crops should be
affects food security considered within the national policies and
Key question: Does bioenergy activity agroregionalization along with the other
generate land use competition (food/fuel)? policy instruments and guidelines (if
available)
The current land use for agriculture, if
changed for bioenergy crops, should not
affect food security
3.1 Criterion Land use change for bioenergy feedstock Biofuel production shall minimize negative Land use for bioenergy crops should be
production does not jeopardize food impacts on food security by giving considered within the national policies and
security particular preference to wastes and residues agroregionalization along with the other pol-
as inputs (once economically viable), to icy instruments and guidelines (if available)
degraded/marginal/underutilized lands as Evidence of use of waste and agro-forestry
sources, and to yield improvements that residue as primary feedstock.
maintain existing food supplies Evidence of use of degraded/marginal/under-
utilized lands for the bioenergy production
4. (Principle) Community participation (from planning) It considers the community participation in
Key question: Do stakeholders affected the bioenergy projects, program, or plan
(directly or indirectly) by the bioenergy since the early stages of the planning
activity actively participate along the whole process. Community participation is not
project duration? only part of a sustainability process but will
also contribute to the success of the project
and will allow the community to participate
in the decision-making process.
Additionally, it provides a feeling of
“belonging” and “being recognized” by the
community
F. Farioli
4.1 Criterion Stakeholders engagement in planning and All interested parties and (directly and Evidence of awareness-raising and capacity-
management of the project indirectly) affected stakeholders participate building activities
along the full duration of the project, from Number, places and different forms of con-
its initial conceptualization sultation and decision-making process, use
of participatory methodology, involvement
of any village committees in the partici-
patory management, public hearing, visits,
questionnaire publicly disseminated, regular
feedback meetings and monitoring checks
Evidence of use of Free Prior and Informed
Consent (FPIC) as basis for the process to
be followed during all stakeholder consul-
tation (RSB 2009) evidence of participatory
approach used also for management of facil-
ities, evidence of capacity-building activities
to enhance management skills
Evidence of creation of a village energy
committee
4.2 Criterion The communication process with the Modalities of communication with the Documented evidence of communication
community is appropriate and accessible community use appropriate and accessible channels and dialogue: use of forms of pub-
tools and schemes licity to disseminate information about the
Consultations among the project proponents project (communication channels), access
and the affected parties are public to information (use of native language and
appropriate mediums)
Evidence of democratically established rep-
resentatives in communication or negotia-
tion or in audit situations
Distance of project site from consultation
sites
(continued)
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5. (Principle) Women’s participation (from planning) This principle looks for women
Key question: Are women involved in the participation in bioenergy initiatives from
planning and management of the bioenergy the early stages of the planning process.
activity since the beginning? Including women since the beginning will
allow to provide direct gender benefits and
will empower women in activities directly
related to them
5.1 Criterion Woman participate and benefit from In most African countries, women have the Evidence of participation of women in meet-
energy-related decisions whole responsibility for procuring energy ings and negotiations, through including
for basic needs of the family. They also women’s groups, and gender issue-based
suffer most by inefficient and polluting use groups in the stakeholder meetings and con-
of energy. This role needs to be recognized sultations
Evidence of enhancement of the participa-
tion of women in cooperatives and associa-
tion and enhancement of level of interaction
of these associations with local and national
authorities
Evidence of capacity-building activities to
enable women to learn and decide about
energy choice can fulfill their needs, and to
enable them to participate in the decision-
making processes related to bioenergy
activity
Time necessary for cooking reduced
through the use of improved cooking
stoves, improvement in domestic air quality,
daily time reduced for collection of wood
by women and children
F. Farioli
6. (Principle) Skills transfer (management, business, Transfer of skills is related to the added
agriculture) value of growing bioenergy crops. This
Key question: Is there an added value in includes different stages of the business
terms of skills and capabilities transferred cycle, and it applies to the different
to farmers and representatives of the production and scale schemes (e.g.,
affected community along the whole outgrowers, small, medium, and large
bioenergy chain? Specify which one scale). It also includes productive areas
(agriculture), transformation (e.g.,
extraction of oil from seeds), management
and business skills (e.g., revenue and
trading)
6.1 Criterion Agricultural, technical, and managerial The skills involved in bioenergy initiative Presence of extension services and/or field
skills transferred are not limited to practical skills regarding officers
production and processing of bioenergy but Evidence of farmers’ training on agricultural
also in several cases concerning the efficient best practices according to crop growing,
running of a small business and training on land, water and pest manage-
entrepreneurship. The role of agricultural ment of crops (use of pesticides), training
extension services is essential in offering on production, extraction and transforma-
assistance to small-scale liquid biofuel tion activities of oil (if realized) and business
feedstock producers, through dissemination activities, training and capacity-building ex-
of best practices, facilitation of ercise to train local technicians for an auton-
farmer-to-farmer participatory learning, and omy maintenance of equipments installed
encouraging and addressing farmers’ Evidence of monitoring on yield, pest,
requests for technical advice disease, water and land management.
Monitoring and reporting on progress of
training and level of satisfaction of farmers
and villages (formation and business
training turn into practical opportunities for
them?)
(continued)
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7. (Principle) Community inclusion in business or The inclusion of the community in the
economic model (Contract with investor or business or economic model will prevent
NGO) the exploitation of its members and will
Key question: Is the choice of business provide the mechanisms to comply with
model carried out in consultation with the other principles such as Principles 6 and 8
community? Does it allow benefits equally
shared (inclusive model)?
7.1 Criterion A trust relation between community and Awareness campaigns and visits to site to
investors should be strengthened to explore involving community, inclusion of local
different business models actors in the starting phase of the project
7.2 Criterion Conditions of work and system production Type of agreement or contracts, individ-
should be clearly established at beginning ual wage (> : : :); quantity of coproducts
of projects (soap production, fertilizers, cattle cakes)
produced by farmers over the production
chain; presence of seed collection center in
the village (number); specification of train-
ing supplied, no exploitation of workers
(e.g., the respect of ILO standard); level of
satisfaction of workers regarding to contract
or agreements with investors
Farmers’ participation to contract definition
F. Farioli
8. (Principle) Added value in the community (individual, The added value from the bioenergy
money, assets, land, co-products) initiative can be translated not just in terms
Key question: Is there any added value for of an increment in the income of the
the community deriving directly or community and at individual level
indirectly from the project? (e.g., savings or additional income) but also
with additional assets (e.g., animals, food
production), land (e.g., individual or
communal land), and coproducts
(e.g., income from soap making)
As biofuel industries grow, significant
economic opportunities can emerge for
small-scale farmers and entrepreneurs as
the production, transport, and processing of
crops often take place in rural areas. Rural
communities can also derive income from
the processing of biofuel by-products, such
as soap production, fertilizers, and cattle
cakes
Small-scale farmers and entrepreneurs have

a role to play in leading the creation of
biofuel markets, particularly in rural areas,
and providing access to modern energy for
local populations that were previously
unserved. SMEs can also participate across
the supply chain, including feedstock
development and production, processing,
transportation, and marketing
(continued)
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1008

8.1 Criterion New local opportunities created around the Increased individual income, number of
bioenergy chain production increased job after the project, additional
income obtained (per farmers) from selling
of co-products, participation of SME in the
entire bioenergy supply chain (feedstock
production, processing, transportation, and
marketing)
8.2 Criterion Improvement of small-holder livelihoods A livelihood comprises the capabilities, Evidence in Improvement of assets: Natural
assets (including both material and social capital (soil fertility level, vegetation cover,
resources), and activities required for a quality of water surface), financial capital
means of living. A livelihood is sustainable (cash, savings), human capital (skills,
when it can cope with and recover from knowledge, good health, ability to labour),
stresses and shocks, maintain or enhance its social capital (presence of cooperatives or
capabilities and assets, while not other form of civil organization, network),
undermining the natural resource base well-being and capabilities (self-esteem,
(Scoones 1998) security, happiness, stress, vulnerability,
power, exclusion)
9. (Principle) Improvement in services and infrastructure At a community level, the possibilities of
(energy supply, health) and/or reinvestment reinvesting the revenue to improve services
of revenue within the community and infrastructure (if previously agreed
Key question: Does bioenergy activity within the community) are considered as a
involve an improvement of infrastructure at main objective. These services can be
community level? related to energy supply or better access to
health, communication, and transportation
services
F. Farioli
9.1 Criterion Development of bioenergy should provide Evidence of energy services supplied with
and/or improve access to energy services the project (e.g., electricity, lighting, water
and infrastructures at local community pump, cooking, heating, transport)
Increased number of people (%) that have
access of improved energy services in the
community by the use of bioenergy fuels
Improved access to energy services in the
schools, clinics, or other public structures.
Ratio of revenues (%) used to construction
of infrastructures (roads, schools, health
care center, etc.)
10. (Principle) Compliance with national and/or guidelines Where available national policies or
for bioenergy policy in place guidelines regarding bioenergy production
Key question: Is the development and exist, these should be followed by all
implementation of the bioenergy activity in stakeholders involved in the bioenergy
line with the bioenergy plans and policies of initiative such as the proponent, the
the country? community, national and international
consultants and developers, investors, and

NGOs, among others
Working with the national, regional, and
local authorities is considered to be
important specially for developers and
investors to look at cross-cutting sectors
(e.g., environment, social, industry,
agriculture sectors)
(continued)
1009
1010
10.1 Criterion Bioenergy activities have to be in line with Bioenergy is at the intersection of many Evidence of collaboration and participation
national bioenergy plans and policies (if policies and a broad range of political, by bioenergy stakeholders to policy discus-
existing) and allow the participation of all economic, environmental and social sion and initiatives in related areas (e.g.,
stakeholders involved in the definition and interests. All of these factors combine to agriculture, transport, environment, energy,
updating of guidelines appropriate to the create a complex decision-making arena land-use planning, economic development,
country’s situation and context involving significant trade-offs, in which trade and fiscal policy, ect).
there is the potential for conflict and where Presence in the country of ministerial task
choices with potentially wide-ranging force and a central office that supply the
implications must be made. Coordination support and procedures to be followed by
between the different branches of bioenergy investor in compliance of
policymaking is essential. cross-sector-based bioenergy policies and
regulations
11. (Principle) Compliance with local programs, Working with the national, regional, and
regulations, and/or plans in place local authorities is considered to be
Key question: Is the development and important to be aware of all programs,
implementation of the bioenergy activity in plans, and regulations at local level.
line with the local plans and policies that Compliance with them will strength the
may influence directly or indirectly the bioenergy initiative and will avoid conflicts
bioenergy development of the country? with the different stakeholders and the
regulators
11.1 Criterion Bioenergy stakeholders participate to local Bioenergy is at the intersection of many Evidence of collaboration between projects
initiatives aimed to coordinate bioenergy policies and a broad range of political, developers and local authorities Evidence
policies with other policies at local level economic, environmental, and social of bioenergy stakeholders participation in
interests. All of these factors combine to local government consultation to definition
create a complex decision-making arena of local bioenergy policies
involving significant trade-offs, in which
there is the potential for conflict and where
choices with potentially wide-ranging
implications must be made. Coordination
between the different branches of policy
making is essential
F. Farioli
12. (Principle) Respect land rights and avoid displacement The debate on land rights in developing
Key question: Do investors follow fair and countries (mainly in Africa) led to this
proper procedure to get use of land for their principle to be considered by communities,
bioenergy initiative, so that community governments, and investors. It considers to
rights over land are safeguarded? avoid displacement and to leave it to the
authorities’ decision in case this is needed
to be done after studies for this have been
conducted. In such case adequate
compensation and further studies for
relocation need to be included according to
international practice (e.g., such as the
guidelines from the World Bank 2008)
12.1 Criterion The right to use the land by the bioenergy In all types of acquisition or lease of land Evidence of appropriate levels of
investor has to be clearly demonstrated (State, private or customary land) for consultation and stakeholder engagement.
bioenergy projects, negotiations are carried Evidence of consultation with community
out with the formal owner (individual or (if the land is subjected to customary land)
communal owner), or traditional authorities Evidence of an agreement with the
allowed to make a decision, as well as with authorities (if the land is subjected to
all other users of land- with or without national legislation)

permission-, and the community involved
itself
(continued)
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12.2 Criterion Local people are compensated for any In presence of resettlement of people Evidence of compensation in the negotiated
agreed land acquisitions and affected by the project, adequate agreements. Evidence in the negotiated
relinquishments of rights subject to the free compensation need to be provided by the agreements of compensation for assets loss
prior and informed consent (if foreseen by operator. Compensation should, at at underpreciated current rates and in a
national legislation) and negotiated minimum, cover the loss of land, building timely manner (cash, in kind or land
agreement and other improvements as well as the provided to replace assets taken for
disturbance or loss to livelihood. It should investment). Evidence of economic
include not only owners but also those with rehabilitation measures undertaken by
secondary rights to these resources. project developer with families affected by
Effective implementation of compensation the lost of land, in order to restore their
requires either a comprehensive valuation income levels
of affected peoples current
livelihoods/incomes streams or a voluntary
decision (a market transaction) based on
adequate information and their agreement
to exchange their land in ways that protect
their livelihood and food security
12.3 Criterion Local communities with legal or customary Evidence of capacity building and
tenure or use rights shall maintain control, empowerment provided to local community
to the extent necessary to protect their rights to negotiate following FPIC. Presence of
agencies that shall be employed to resolve
disputes over tenure claims and use rights
F. Farioli
Good Practice Guidelines have been tested through appraisal of five bioenergy
projects against the above principles (see COMPETE website http://www.compete-
bioafrica.net/bestpractice/bestpractice.html).
The appraisal has been conducted with a standard form through a qualitative
score system. Examples of appraisal vary with respect to type of production
and scale. There were initiatives of NGOs as the one developed by TaTEDO in
Tanzania (Janssen 2009 retrieved in http://www.compete-bioafrica.net/bestpractice/
bestpractice.html) but also private initiatives as that from Diligent in Tanzania and
Marli Investment in Zambia (Farioli and Portale 2009; Farioli 2009 retrieved in
http://www.compete-bioafrica.net/bestpractice/bestpractice.html).
As one of the main concerns in Africa is land tenure, many of the private
initiatives had to deal with this, addressing the issue through adoption of outgrower
scheme (an agreement between farmers and processing and/or marketing firms
for the production and supply of agricultural products under forward agreements,
frequently at predetermined prices, fixed and indicated in the contract or determined
by reference to spot-market prices) (Eaton and Shepherd 2001) and providing at the
same time inputs to local livelihood.
The appraisal provided a useful and easy tool that can be used by stake-
holders when considering to initiate a project and monitor or review an ongoing
project/initiative. It is not exhaustive, and principles may change under different
contexts, experts’ opinion, and local condition; anyway, the appraisal allowed seeing
different perceptions of the local production (Diaz-Chavez and Woods 2012).
Another important outcome achieved is the generation of a set of criteria and
indicators for the COMPETE initiative based on the results from the sustainability
appraisal (Table 53.6). The indicators identified (Table 53.6) can be used to evaluate
how and to what extent a farm producer or company prove that the conditions
(criteria) to achieve the tenets (principles) are met.
4 Summary
If African countries are willing to engage in the bioenergy sector, in part by

replacing the traditional use of biomass with more modern forms while ensuring that
they can fulfill their own energy needs, it will be necessary to meet sustainability
assurance (environmental, social, and economic) and incorporate it into local policy
and governance. Strategic land use mapping and promotion of good practices
can support this process, offering effective mechanisms and safety nets to ensure
sustainability, and protect the world’s poorest and most vulnerable people to ensure
their access to adequate food.
Strategic land use mapping through GIS provides quick and easy assessment
of suitable and available areas for bioenergy feedstock production, but in order to
adequately safeguard livelihoods of traditional land users and small-scale famers, it
needs to be integrated with field verification to check actual use of “marginal” and
“unused” land by poor people, gathers, hunters, and pastoralists whose livelihood
depends on access and use of this land.
1014 F. Farioli
Regarding the appraisal of bioenergy initiatives through good practice ap-

proaches, further development is needed. It includes assessing the validity of
using the criteria and indicators identified for assuring sustainability of biofuel
feedstock production through application- and comparison of applicability- to
different model schemes and production structures (e.g., different feedstock, scales
of production and production structures – outgrower/large plantation – different
contexts and countries). One challenge is data availability for implementing and
testing indicators.
5 Cross-References
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Geothermal Energy
54
Hakim Saibi, Stefan Finsterle, Ruggero Bertani, and Jun Nishijima
Abstract
This chapter presents general information about the recent methods applied for
geothermal systems. Geothermal engineering can be separated into two groups:
research about the underground geothermal reservoir using geophysical and
numerical methods and the use of a geothermal power plant as a technology to
produce electricity from the underground hot waters. In this chapter, both aspects
are presented.
Twenty-four countries are currently generating electricity from geothermal
resources and 78 countries are using geothermal energy for heating purposes.
The total installed geothermal capacity worldwide is 10.7 GWe.
This chapter is divided into four parts:
The first part, the introduction, discusses the current use of geothermal
electricity and the trend of installed geothermal capacity in the world. It also
explains the main concepts of geothermal engineering and presents the different
types of hydrothermal systems.
H. Saibi ()
Earth Resources Engineering, Laboratory of Exploration Geophysics, Faculty of Engineering,
Kyushu University, Nishi-ku, Fukuoka, Japan
e-mail: saibi-hakim@mine.kyushu-u.ac.jp, saibi.hakim@gmail.com
S. Finsterle
Hydrogeology Department, Lawrence Berkeley National Laboratory, Earth Sciences Division,
Berkeley, CA, USA
e-mail: safinsterle@lbl.gov
R. Bertani
Geothermal Center of Excellence, Enel Green Power S.p.A., Pisa, Italy
e-mail: ruggero.bertani@enel.com
J. Nishijima
Faculty of Engineering, Laboratory of Geothermics, Kyushu University, Nishi-ku, Fukuoka,
Japan
e-mail: nisijima@mine.kyushu-u.ac.jp

DOI 10.1007/978-1-4020-8939-8 120,
1020 H. Saibi et al.
The second part describes geothermal engineering technology and its compo-
nents. This part presents direct utilization, geothermal heat pumps, electric power
generation and combined heat and power generation, the numerical modeling of
geothermal systems, the current state of practice, recent advances, and emerging
trends in geothermal reservoir simulation and hybrid-microgravity monitoring
applications at geothermal field.
The third part presents a case study of Húsavı́k Energy in Iceland.
In the fourth part, the economic analysis is presented.
1 Introduction
Geothermal energy, defined as heat from the Earth, is clean and sustainable. The
energy demand by the world population is increasing due to the expansion of
economies and population growth of the planet Earth and advancements in energy-
intense technologies. Between 2008 and 2035, the world’s energy use is expected
to grow by approximately 53 % with half of the increase attributed to India and
China (International Energy Outlook 2011). Much of the energy growth comes
from developing countries. Fossil fuels are expected to supply approximately 80 %
of world energy use in 2035. Renewables are the world’s fastest-growing energy
source, at 2.8 % per year, with the renewable’s share of the world energy supply
growing to approximately 15 % in 2035 (International Energy Outlook 2011).
Renewable energy in general and geothermal energy in particular could play a
significant role in supplying a clean and environmentally sustainable source of
energy to satisfy the world energy demand and its challenges.
The Intergovernmental Panel on Climate Change (IPCC) performed a compre-
hensive study on climate. Their models assumed an increase in temperature of
approximately 2–4ı C for the period 2000–2100 with high CO2 concentration values
ranging from 550 ppm (which is twice the preindustrial level) to 850 ppm. The
increases in temperature and CO2 concentrations are mainly attributed to CO2
emissions from fossil-fuel energy production systems. Geothermal energy is one
recommended approach to decrease CO2 emissions.
Geothermal energy is the most versatile renewable energy and has been used for
thousands of years for washing, bathing, cooking and health: the direct utilization
of hot water is long lasting and still growing with different application ranges.
The world’s first geothermal district heating system was started in the fourteenth
century at Chaudes-Aigues, France, and the first geothermal well was drilled
near Reykjavik, Iceland, in 1755. However, only in the twentieth century has
geothermal energy been harnessed on a large scale for space heating, electricity
production, and industrial use. The first large municipal district heating service
was initiated in Iceland in the 1930s and currently provides geothermal heat to
approximately 99 % of the 200,000 residents of Reykjavik. The first commercial
plant to produce electricity became available in 1913 in Larderello, Italy. The use of
geothermal energy has increased rapidly since the 1970s. During the period 2000–
2010, the globally installed direct-use capacity tripled from 15 to 50 GWth , whereas
the installed capacity for electricity production increased from 8.0 to 10.7 GWe .
54 Geothermal Energy 1021
Fig. 54.1 Geothermal electricity production in the world
Fig. 54.2 Historical trend of geothermal installed capacity
At present, geothermal energy is used by 78 countries for heating purposes (called

“direct use”) and by 24 countries for electricity production. Figure 54.1 shows the
use of geothermal electricity throughout the world (Bertani 2012).
The increase in the installed capacity over the last century is clearly visible in
Fig. 54.2, with an impressive increase in new plants started in the 1980s, following
the energy crisis.
Direct utilization is present almost worldwide, with an impressive growing rate,
as shown in Fig. 54.3 (Lund et al. 2010).
Fig. 54.3 Direct use of geothermal energy
1.1 Generalities of Geothermal Energy
“Geothermal” comes from the Greek words geo (Earth) and therme (heat). Thus,
geothermal means Earth heat. Geothermics can be defined as the study of the tem-
perature distribution in the Earth and the phenomena that influence that distribution.
The Earth’s heat is continuously radiated from within, and each year rainfall
and snowmelt supply new water to geothermal reservoirs. Production from in-
dividual geothermal fields can be sustained for decades and perhaps centuries,
which explains the renewability of this resource (Geothermal Education Office
2001) (Fig. 54.4).
1.1.1 Geothermal Gradient

A geothermal gradient expresses the rate of increasing temperature with depth in the
Earth’s crust. The average geothermal gradient is approximately 2.5ı C per 100 m.
However, these gradients are much higher at hot and active geothermal regions.
1.1.2 Geothermal Systems

Geothermal systems are located in regions with a normal or slightly above normal
geothermal gradient, creating low-to-medium-enthalpy geothermal reservoirs (less
than 150ı C). The high-enthalpy geothermal reservoirs (up to or above 400ıC) are
especially located in regions around plate margins with high geothermal gradients.
The circulation of water in terrestrial geothermal systems can reach depths of
approximately 5 km (Pirajno 1992) (Fig. 54.5).
Fig. 54.4 Geothermal reservoir fed by rain water
Fig. 54.5 Geothermal regions in the world (in red)
The major characteristics of geothermal energy are its renewability and sustain-
ability and its environmental friendliness (with few CO2 emissions). Its various
utilizations include power generation (conventional steam turbine, combined cycle),
direct heat use for space heating, greenhouses, aquaculture and tourism (swim-
ming pool).
There are mainly two types of geothermal systems: convective and conductive.
The convective geothermal systems include vapor-dominated and water-dominated
systems. The conductive geothermal system is represented by the hot dry rock
system. To form a geothermal reservoir, three components are necessary:
– Heat represented by the thermal energy itself, conductive heat transfer, and
convective heat transfer (fluid transport)
– Fluid that helps to transfer energy by convection and recharging the water
– Open, permeable paths, which allow fluid to flow through porous and fractured
systems
1.2 Hydrothermal Systems
1.2.1 Water-Dominated Systems

The main characteristics of this type of geothermal system are that the liquid water is
continuous and the pressure controls the phase changes in the reservoir. Geothermal
production wells produce a fluid mixture of steam and water. The temperature of
a liquid-dominated reservoir ranges from 210ı C to greater than 300ıC. There are
many water-dominated geothermal systems all over the world, such as in Wairakei
in New Zealand, Olkaria in Kenya, Tongonan in the Philippines, Momotombo
in Nicaragua, and Hatchobaru in Japan. The advantages of the water-dominated
systems from an engineering point of view are its renewability if the separated water
is properly reinjected and the ability to use the separated water for cascade use.
1.2.2 Vapor-Dominated Systems

Liquid water and vapor coexist in the geothermal reservoir, but vapor is continuous,
and the pressure controls the phase condition. Geothermal wells in vapor-dominated
reservoirs produce dry steam only, with temperatures ranging from 230 to 260ıC.
Vapor-dominated systems are uncommon; some examples are The Geysers in the
USA, Kamojang in Indonesia, Matsukawa in Japan, and Larderello in Italy. The
advantages from an engineering point of view are that reinjection is not required
and the surface facilities of the power plant are simple compared with the water-
dominated geothermal power plants.
1.2.3 Hot Dry Rock Systems

The main characteristic of this conductive type of geothermal systems is that no fluid
exists to transport the large amount of heat stored in the hot rock to a production
well for extraction. Moreover, the reservoir rocks are very tight. Fractures with
sufficient permeability and connectivity need to be generated artificially (through
reservoir stimulation) to create flow paths through which an injected working fluid
can circulate. The temperatures are higher than 250ıC. There are some experimental
geothermal plants, such as Los Alamos in the USA, Hiijori and Ogachi in Japan, and
Soultz in France.
Geothermal power generation is to produce electricity by rotating a turbine directly

with the steam taken out of the deep underground. While in the thermal power
generation the steam is generated by the combustion heat of coal, oil, or LNG, it
can be said that in the geothermal power generation, the Earth itself plays a role
of a boiler. Generally, the deeper in the Earth, the higher the temperature gets. It is
assumed to be about 1,000ıC at the depth of 30–50 km, where it can be regarded
as a large thermal storage. To use geothermal energy taken to the ground surface
from production wells for power generation, there are some generation systems
depending on characteristics of geothermal fluid (temperature, pressure, flow rate,
etc.) such as single-flash system, double-flash system, dry steam system, and binary
cycle system.
2.1 Direct Utilization
Geothermal energy for direct-use projects is in the low-to-intermediate-temperature

range, and these resources are more widespread and exist in about 80 countries at
economic drilling depths (from GEA 2012). These projects can use conventional
water-well drilling and commercial heating and cooling equipment, and there are
no conversion efficiency losses. Most projects can be online in less than a year. The
projects can be on a small scale, such as for an individual home, single greenhouse,
or an aquaculture pond, but can also be a large-scale commercial operation, such as
for district heating/cooling, food, lumber drying, and mineral ore extraction.
In addition, carbon dioxide, which often occurs in the geothermal water, can be
extracted and used for carbonated beverages or to enhance growth in greenhouses.
The typical equipment for a direct-use system is illustrated in the Fig. 54.6 and
includes a downhole and circulation pumps, heat exchangers (normally the plate
type), transmission and distribution lines (normally insulated pipes), heat extraction
equipment, peaking or backup plants (usually fossil fuel-fired), and fluid disposal
systems (injection wells). The geothermal energy can usually meet 80–90 % of the
annual heating or cooling demand despite only being sized for 50 % of the peak load.
2.2 Geothermal Heat Pumps
Geothermal heat pumps (GHPs) use the relatively constant temperature of the Earth
to provide heating, cooling, and domestic hot water for buildings. A small amount
of electricity input is required to run a compressor.
A closed loop of pipe is placed vertically (50–70 m deep) in the ground, and
a water-antifreeze solution is circulated through the plastic pipes to either collect
heat from the ground in the winter or reject heat to the ground in the summer. The
efficiency of GHP units is described by the coefficient of performance (COP), which
is the ratio of the output energy divided by the input energy (electricity for the
compressor). The ratio varies from 3 to 6 with the present equipment (the higher
the number, the better the efficiency). In comparison, an air-source heat pump has
a COP of approximately 2 and is dependent upon backup electrical energy to meet
peak heating and cooling requirements (see Fig. 54.7).
Fig. 54.6 Typical direct-use geothermal heating system configuration
2.3 Electric Power Generation
Geothermal power is generated using steam or a hydrocarbon vapor to turn a

turbine-generator set to produce electricity. A vapor-dominated (dry steam) resource
can be used directly, whereas a hot water resource needs to be flashed by reducing
the pressure to produce steam, normally in the 15–20 % range. Some plants use
double and triple flashes to improve the efficiency. In some cases, using a bottoming
cycle (a small binary plant using the wastewater from the main plant) may be more
efficient. In the case of low-temperature resources, those that are generally below
180ıC, the use of a secondary low-boiling-point fluid (hydrocarbon) to generate the
vapor is needed, resulting in a binary or organic Rankine cycle (ORC) plant. The
different configurations are shown in the Figs. 54.8–54.10.
Usually, a wet or dry cooling tower is used to condense the vapor after it leaves
the turbine to maximize the temperature and pressure drop between the incoming
and outgoing vapors and thus increase the efficiency of the operation. Dry cooling
is often used in arid areas where water resources are limited. Air cooling normally
has lower efficiencies during the summer months when the air temperatures are high
and humidity is low.
HEAT EXCHANGER
REFRIGERANT/AIR
(EVAPORATOR)
COOL SUPPLY AIR TO WARM RETURN AIR

CONDITIONED SPACE FROM CONDITIONED
SPACE
EXPANSION VALVE
REFRIGERANT
DOMESTIC HOT WATER
REVERSING VALVE
EXCHANGER
(DESUPERHEATER)
HEAT EXCHANGER
REFRIGERANT/WATER
(CONDENSER)
IN
OUT
DOMESTIC WATER
REFRIGERANT TO / FROM GROUND
COMPRESSOR HEAT EXCHANGER
(GEOTHERMAL)
Fig. 54.7 Geothermal heat pumps in the cooling cycle
The share of each category in the total installed capacity, the annually produced
electricity, and the total number of units is are presented in Table 54.1. In addition,
the average values per unit for the installed capacity and the annually produced
electricity are given. From this overview, the hybrid plants (those using more than
one form of energy) are excluded, but their share is currently approximately zero.
2.4 Combined Heat and Power Generation
More recently, the use of combined heat and power plants (CHP) has made low-
temperature resources and deep drilling more economical. District heating using the
spent water from a binary power plant can make a marginal project economical,
as demonstrated at Neustadt-Glewe, Landau, and Bad Urach in Germany and Bad
Blumau in Austria. A similar outcome was found for high-temperature combined
heat and power plants in Iceland. Options for cascading are shown in the Fig. 54.11,
Fig. 54.8 Steam plant using a vapor- or dry steam-dominated geothermal resource
Fig. 54.9 Single-stage flash steam plant using a water-dominated geothermal resource with a
separator to produce steam
Fig. 54.10 Binary power or ORC plant using a low-temperature geothermal resource and a
secondary fluid of a low-boiling-point hydrocarbon
Table 54.1 Average capacity and electricity produced per plant category and the share of each
category
Average
electricity
Average production Share of the Share of the Share of the
capacity per per unit number of total capacity electricity
Type of plant unit (MW) (GWh/year) plants (%) (%) produced (%)
Binary plant 5 27 44 4 4
Back pressure plant 6 50 5 5 6
Single-flash plant 31 199 27 25 26
Double-flash plant 34 236 12 28 30
Dry steam plant 46 260 12 38 34
where the geothermal fluid is used for a number of applications at progressively

lower temperatures to maximize energy use.
2.5 Numerical Modeling of Geothermal Systems
2.5.1 The Role of Numerical Modeling

Numerical modeling plays a crucial role to support the exploration, characterization,
operation, and optimization of geothermal reservoirs. Evaluating the sustainability
of geothermal energy production requires predictive simulation capabilities that
Fig. 54.11 Cascade utilization of geothermal energy
capture the key features and processes affecting coupled fluid and heat flow in
the reservoir and in the injection and production wells. Numerical models can
be employed to study generic issues of geothermal reservoir dynamics, including
two-phase water-steam flow through fracture networks; heat transfer mechanisms
between the hot rock matrix and fluids in the fractures; reactive geochemical
transport including scaling due to mineral dissolution and precipitation; coupled
thermal-hydrological-mechanical processes, specifically microseismicity associated
with reservoir stimulation; and interactions between the reservoir, wells, and surface
facilities. In addition to the use of numerical models to increase the fundamental
understanding of these complex systems, simulators are extensively used to model-
specific geothermal fields (O’Sullivan et al. 2001). During exploration, preliminary
geological information and data from geophysical surveys, surface manifestations,
and exploration boreholes can be used for resource estimation and the initial
well field design. Once additional data are available from drilling, well testing,
and well completion, the reservoir properties can be determined, and a natural-
state simulation can be performed to examine the convection patterns, upflow
and recharge regions, the presence of flow boundaries, and the initial condi-
tions prior to exploitation. Predictive simulations can be performed for research
estimation and planning of the field development. Once production is initiated, the
pressure, temperature, enthalpy, and chemical signals measured in the observation

or production wells can be used in conjunction with the reservoir simulator to
optimize the day-to-day field operations and to further refine the long-term resource
estimation. Each of these application modes has its specific demands regarding
model complexity and data needs, but all require the modeler to have an excellent
understanding of the tectonic and geologic situation, quantitative information about
the hydrothermal properties of the reservoir rock and bounding units, and knowledge
of the natural-state conditions prior to exploitation.
2.5.2 Modeling Challenges

Simulating hydrothermal reservoirs or enhanced geothermal systems is both con-
ceptually and numerically challenging. The development of a conceptual model may
be the most difficult and most important step. It requires inferring the large-scale
structure of the reservoir from the available geologic information and geophysical
data. At the same time, smaller-scale discrete features need to be detected and
characterized because they may dominate the reservoir behavior under production
conditions. The initial and boundary conditions usually have a significant impact on
the long-term performance of the reservoir, but they are often highly uncertain and
difficult to determine.
A fundamental challenge of geothermal reservoir simulation lies in the strong
coupling of fluid flow and heat transfer under two-phase conditions, involving geo-
logic formations that are fractured with property values that vary over many orders
of magnitude. Phase transitions due to boiling and condensation are associated with
strong latent heat effects and lead to significant changes in the fluid properties, such
as density, viscosity, and internal energy. Moreover, phase interference needs to be
captured by the relative permeability and capillary pressure curves that are highly
nonlinear.
Additional simulation challenges arise as more coupled processes are considered,
specifically reactive geochemical transport and thermally or hydrologically induced
stress changes. Finally, accounting for the flow dynamics in the injection and
production wells, which are strongly linked to the conditions encountered at the
feed points, is numerically demanding because these processes occur on temporal
and spatial scales that are significantly smaller than those characteristic for the flow
and transport in the reservoir.
2.5.3 Modeling Workflow

The typical workflow for developing, calibrating, and testing a geothermal reservoir
model using the available geological, geophysical, hydrochemical, and thermal data
is shown in Fig. 54.12. Realizing that each model is developed for a specific purpose
is essential, i.e., the complexity of the model, the included features, the simplifying
assumptions considered acceptable, and the calibration effort all depend on the
ultimate objectives of the simulations. As mentioned above, the development of a
conceptual model based on the available information is potentially the most crucial
Fig. 54.12 Geothermal reservoir modeling workflow
step in the process because it ultimately determines the mathematical model, the
selection of the computer code, and the data needed for the model calibration and the
confidence-building exercise. Simulations usually proceed in multiple steps, starting
with reproducing the pre-exploitation, natural state of the reservoir, which yields the
initial conditions for the subsequent simulation of the exploitation phase, provides
the main calibration data, and is used for reservoir management purposes. The time
horizon of these simulations can be extended to look at additional scenarios, the
sitting of additional wells, and long-term predictions of reservoir performance for
resource assessment. These predictive simulations may be accompanied by a formal
uncertainty analysis, which in turn may be used to improve the monitoring systems
and the collection of additional calibration data to improve parameter estimations.
This workflow is approximate as certain stages may be skipped or executed in a
different order, depending on the modeling purpose. Moreover, the process of model
development, calibration, and prediction is iterative, accompanying the exploration,
development, exploitation, and assessment of the actual geothermal reservoir.
2.5.4 Modeling Tools

To address the modeling challenges outlined above, a number of numerical sim-
ulators have been developed in academia, government organizations, and private
industry. According to the review by O’Sullivan et al. (2001), the TOUGH suite
of codes appears to be the most widely used simulator for geothermal reservoir
engineering. Most of these simulators handle coupled multiphase fluid and heat
flows using equation-of-state modules to describe the thermodynamic properties of
water and steam. They provide the means to represent fractures, either discretely
or using a dual-continua approach, and wellbore flow is either fully integrated
or enabled through a link to an external wellbore simulator. Tracer and reactive
geochemical transport and coupled mechanical processes are accounted for by
some of the simulators. The inverse modeling capabilities for historical matching
are available, either fully integrated or through a link to a general parameter
estimation package. The governing equations consist of mass balance equations for
each considered component and the use of a multiphase extension of Darcy’s law.
In addition, an energy balance equation is formulated, which includes conductive
and convective terms and accounts for latent heat effects. These balance equations
are discretized in space using finite volume or finite element methods and are
usually solved and fully coupled using an implicit scheme. Efficient and robust
sparse linear equation solvers are used to solve the set of algebraic equations arising
in each Newton-Raphson iteration, which are needed to handle the nonlinearities
inherent in the governing equations. Various pre- and postprocessors are available
to assist with model development and the visualization of results and also to
calculate the properties, such as geophysical attributes, that are needed for further
analysis.
2.5.5 Model Calibration

The calibration of the model against the measurements of the temperatures,
geochemical signals, and directly observable liquid and steam outflows at the
surface is often used to adjust the model structure to better reflect the natural state.
Geophysical observations, specifically resistivity, microgravity, and self-potential
data, contain indispensable information about the structure of the reservoir. These
data can be used for the development of the conceptual model or (in a more
quantitative manner) be included in the numerical model as part of an iterative
or joint inversion framework. In the latter approach, the calculated heat and fluid
flow is translated using a petrophysical relationship into geophysical attributes that
are then either directly compared with corresponding maps created by geophysical
inversions or used to predict the geophysical raw data themselves, which are then
matched in a formal joint inversion along with the thermal, hydrological, and
geochemical data.
The historical matching of production data has the advantage that the data
used for model calibration are on the appropriate scale and reflect the processes
that are relevant to and of interest for the subsequent model predictions. This
consistency of scale and process is important as the parameters estimated by the

inverse modeling always refer to the specific structure of the calibration model.
Any conceptual error in the model structure inevitably leads to errors in the
estimated parameters, and these errors are propagated through the prediction model
(i.e., the model used to evaluate the long-term performance and sustainability
of the geothermal reservoir). Minimizing the conceptual differences between the
calibration and prediction models is thus essential. Moreover, using complementary
data (e.g., thermal, hydrological, geochemical, and geophysical data) that contain
information about both the processes and the geologic structure of the reservoir
is advantageous. If all these data are included in an iterative model development
framework or a formal joint inversion approach, the resulting model is likely to be
more accurate and more robust against residual uncertainties and will thus be able
to make more reliable predictions of reservoir behavior.
2.5.6 Example
An example of a numerical model of a synthetically enhanced geothermal system
is shown in Fig. 54.13. It consists of a central injection well and two peripheral
production wells. The reservoir is hydraulically and thermally stimulated, leading
to an ellipsoidal region of fractured rock that is modeled using a dual-permeability
approach. In addition, a discrete wide-aperture zone with increased permeability
is formed, providing potential pathways for fast fluid flow that lead to an early
thermal breakthrough. The heat exchange between the wells and the formation
above the model domain is accounted for using an efficient semi-analytical solution
for radial heat transfer. The figure shows the computational mesh on the faces of the
model domain, along with the temperature isosurfaces that reveal reservoir volume
undergoing heat mining. The simulations were performed using the TOUGH code
(Pruess et al. 1999).
2.5.7 Outlook
Although numerical modeling in support of geothermal reservoir engineering can
be considered a mature technology, the need to manage reservoirs in a sustainable
manner or to engineer them poses significant challenges that can be partly addressed
by advanced simulation capabilities. In particular, the ability to numerically examine
coupled thermal-hydrological-geochemical-mechanical effects allows scientists and
engineers to better understand the reservoir behavior to analyze the monitoring data
for an improved characterization of the formation and the fluid and heat flows
under natural state and production conditions and to manage and optimize the
reservoir operations with a reduced risk to the resource and the nearby communities.
Integrating the geophysical information in a quantitative manner into the reservoir
models is another recent advance that has the potential to further improve the
reliability of the predictions made in support of the exploration, characterization,
and prediction of the geothermal reservoir behavior.
T [°C]
190
−4000 180
170
160
Depth [m]
150
−4500 140
130
120
110
−5000
−1000
−2000 −500
−1500
−1000 0 ]
−500 [m
Y [m 0 500 X
] 500
1000 1000
Fig. 54.13 Numerical model of a synthetically enhanced geothermal system with the temperature
isosurfaces after 30 years of heat mining by the injection of cold water from the central well and
production from two peripheral wells that intersect the stimulated fracture zone
2.6 Hybrid-Microgravity Monitoring at Geothermal Reservoirs
The gravity method is a potential-field geophysical method. Over the last four
decades, many applications in geothermal, volcanological, and engineering prob-
lems have been applied. Time-lapse microgravity surveys in the geothermal field
showed good results by monitoring the gravity changes with time and estimating
the underground mass changes (Saibi et al. 2005). The gravity method is a nonde-
structive geophysical technique that measures differences in the Earth’s gravitational
field at specific locations.
Microgravity measurement is one of the procedures for geothermal reservoir
monitoring. The production and reinjection of geothermal fluid causes mass move-
ment and redistributions, which can cause measurable gravity changes on the
surface. The mass balance can be monitored, especially the relationship between
production and recharge, in the geothermal reservoir (Fig. 54.14). Microgravity
monitoring has been performed in some geothermal fields. Gravity decreased
approximately 1,000 gal after 30 years in the Wairakei geothermal field in New
Zealand (Allis and Hunt 1986).
Fig. 54.14 Concept of microgravity monitoring
3 Case Study: Design, Efficiency, Emissions
3.1 Combined Heat and Power Plants: The Icelandic Showcase
Combined utilization of heat and power for geothermal production (CHP) is not a
new application, but recently it has been widely extended in the low-to-medium-
temperature range of the resource, covering different project sizes.
The main reason for a CHP plant is the more efficient use of the entire geothermal
energy extracted from the reservoir fluid, from its initial temperature down to that
of the water discarded to the reinjection stream. In this way, it is possible to strongly
improve the economics of the entire system, making even small temperature
resources exploitable, even if the electricity revenues alone are not enough for a
reasonable payback of the investment.
In the selected case study, a quite complex system is highlighted, the Húsavı́k
Energy CHP system in Iceland (Hjartason et al. 2005).
Húsavı́k is a 2,500-inhabitant town in Northeast Iceland, with an economy based

on fishery and services; as typical for that country, geothermal district heating is
the most economic source of domestic energy for the long Nordic winter. The
geothermal field is located about 20 km away from the town, and through three
wells, a total flow rate of 95 L/s of 124ı C hot water is channeled at the first stage
of utilization, a binary power plant (with Kalina technology, i.e., using a mixture of
water and ammonia instead of an organic working fluid), with 1.7 MW of capacity.
The insulation of the 16 km pipe is very good, resulting in only 3ı C of cooling at
the plant inlet. The cooling leg of the power plant is realized using a water supply
at 4ı C, which is heated up to 80ı C and stored in a tank. The power plant is used for
7,000 h/year.
At the second stage, the hot water is discarded from the plant, and the storage
tank is exploited at different temperature levels, obtained by appropriate mixing, for
the following utilizations:
– High-temperature glucosamine factory (121ıC), cooled down to 80ı C.
– Low-temperature dry fish industry (80ıC) (fed also with hot water from the
power plant and the tank).
– District heating of the town (65 L/s at 80ı C) for 4,400 h/year.
– Snow melting system.
– 190 L/s to the bathing lagoon at 30ı C.
– Fish farm with 20 L/s at 30ı C.
Moreover, high-temperature springs of 34 L/s at 100ı C, related to the geothermal
field, are directly used for the following applications:
– Farms (9 L/s at 65–75ıC)
– Greenhouses (9 L/s at 100ı C cooled down to 35ı C)
– Additional 16 L/s at 60ı C to a fish farm
The sketch of the system is given in Fig. 54.15.
The overall energy balance of the system is as follows: the wells produce
339 GWh yearly, and 120 GWh is available from the hot springs; 48 GWy is used
for space heating, 9 GWy for tap water, 12 GWh for electricity production, 10 GWh
for the two levels of industry (for 6,000 h/year), 45 GWh for fish farming, 1 GWh
for snow melting, and finally 177 GWh for the bathing lagoon. Thirty percent of the
energy is reinjected or lost during transportation.
The total capital investment for the entire project was 12 Meuro, with about 66 %
of the cost for the district heating network, and only 4 Meuro for the CHP plant. The
Húsavı́k municipality covered 92 % of the investment.
4 Economic Analysis
As with other renewable energy technologies, geothermal projects have high up-
front costs (mainly due to the cost of drilling the wells) and low operational costs.
These operational costs vary from one project to another due to the size, the quality
Orkuveita Húsavíkur–Multible use of geothermal energy Hot water storage tank

Flow and temerature at maximum demand 2001
20 l/s Water supply
95 l/s 80°C 1.7 MW
>110°C
60°C–100°C Energy center
4°C–40°C
El. Power Plant 190 l/s
4°C
Hveravellir – Geothermal site
District heating
in Húsavík town
H1
75°C
128°C
Gas
75 l/s 65 l/s 35°C

Snow
80°C 80°C melting
23°C
15°C
10 l/s
H10
80°C
124°C 95 l/s 121°C 80°C
Industry
Gas separator
35°C
H16
Hot springs
210 l/s
115°C 80°C
30°C
19 l/s 16 l/s
100°C 60°C Control
house
100°C
190 l/s
9 l/s
75°C
3 l/s
30°C
75°C
Bathing lagoon
6 l/s
Green houses
35°C Fish farm Industry
Farms Farms 20 l/s
35°C 35°C 30°C 35°C
Fig. 54.15 Húsavı́k cascade utilization system
of the geothermal fluids, and so on but are predictable compared with power plants
that use traditional energy sources, which are usually subject to market fluctuations
in the fuel price.
4.1 Electricity
The cost structure of a geothermal-electric project comprises the following compo-

nents (Goldstein et al. 2012):
– Exploration and resource confirmation: This component includes lease acquisi-
tion and the permitting, prospecting, and drilling of exploration and test wells.
Drilling of these types of wells has a success rate that is typically 50–60 %. The
confirmation costs are affected by the well parameters (depth and diameter), rock
properties, well productivity, rig availability, time delays in obtaining permits or
leasing land, and interest rates.
– Drilling of production and injection wells: Field expansion projects may cost
10–15 % less than a new (greenfield) project because the investments have
already been made in the infrastructure and exploration and valuable resource
information is available. Drilling the production and injection wells has a
success rate of 70–90 %. Factors influencing the cost include well productivity
(permeability and temperature), well depth, rig availability, vertical or directional
design, the use of air or special circulation fluids, the use of special drilling bits,
the number of wells, and the financial conditions in a drilling contract.
– Surface facilities and infrastructure: This component includes gathering steam
and processing brine, separators, pumps, pipelines, and roads. Vapor-dominated
fields have lower facility costs because brine handling is not required. Factors
affecting this component are reservoir fluid chemistry, commodity prices (steel,
cement), topography, accessibility, slope stability, average well productivity
and distribution (pipeline diameter and length), and fluid parameters (pressure,
temperature, chemistry).
– Power plant: This component includes the turbines, generator, condenser, electric
substation, grid hookup, steam scrubbers, and pollution abatement systems.
The power plant design and construction costs depend upon the type (flash,
back-pressure, binary, dry steam, or hybrid) and the cooling cycle used (water
Table 54.2 Breakdown of current capital costs for typical turnkey geothermal-electric projects
(2005 US$)
Component
Exploration Drilling Surface
and (1.5–3 km facilities and
Typea Concept confirmation depth) infrastructure Power plant Total
1 US$/kWe 475 1,275 350 1,225 3,325
% capex 14 % 38 % 11 % 37 % 100 %
2 US$/kWe 30 1,275 350 1,225 2,880
% capex 1% 44 % 12 % 43 % 100 %
3 US$/kWe 25 1,008 300 1,175 2,508
% capex 1% 40 % 12 % 47 % 100 %
4 US$/kWe 24 800 274 1,782 2,880
% capex 1% 28 % 10 % 61 % 100 %
5 US$/kWe 205–560 750–1,500 205–750 1,215–2,240 2,025–3,750
% capex 10–15 % 20–40 % 10–20 % 40–60 % 100 %
6 US$/kWe 275–425 750–1,700 425–850 1,500–2,600 3,400–4,300
% capex 8–12 % 20–40 % 10–20 % 40–60 % 100 %
7 US$/kWe 530 3,350 1,350 4,720 9,950
% capex 5% 34 % 14 % 47 % 100 %
a
Type:
(1) Greenfield project, 40-MWe single-flash power plant, 200ı C, wells to 2 km depth
(2) Expansion project, 40-MWe single-flash power plant, 200ı C, wells to 2 km depth
(3) Expansion project, 4 25 MWe single-flash power plant (100 MWe), wells to 2.2 km depth
(4) Expansion project, 25-MWe single-flash power plant, wells at 1.8 km depth on average
(5) Greenfield project, 10–50 MWe condensing power plants
(6) Greenfield project, 10–20 MWe binary cycle power plants
(7) Greenfield project, 4 MWe binary cycle power plant, low temperature, wells to 2,750 m depth
or air cooling). Other factors affecting power plant costs are fluid enthalpy
(resource temperature) and chemistry, location, cooling water availability, and
the economies of scale (a larger size is cheaper).
Table 54.2 presents the breakdown of current capital costs (capex) for typical
geothermal-electric projects in 2005 US$.
Labor and material costs are estimated to account for 40 % each of the total
project construction costs. Labor costs can increase by 10 % when a resource is
remotely located. In addition to raw materials and labor, the choice of power plant
size is a key factor in determining the ultimate cost of a plant. For example, using
a single 50-MWe plant instead of multiple 10-MWe plants can decrease the power
plant costs per kilowatt by approximately 30–35 % for binary systems. The installed
cost per kilowatt for a 100-MWe flash steam plant can be 15–20 % less than that of
a 50-MWe plant.
4.2 Direct Uses
Direct-use project costs have a wide range, depending upon the specific use, the
temperature and flow rate required, the associated O & M and labor costs, and the
income from the product. In addition, the costs for new construction are usually less
than those for retrofitting older structures. The cost figures given below in Fig. 54.16
are based on a temperature climate typical of the northern half of the United States or
Europe, and the heating loads would obviously be higher for more northern climates,
Fig. 54.16 Typical cost for direct utilization

*The costs for residential geothermal heat pumps do not include the drilling cost.
such as Iceland, Scandinavia, and Russia. Most figures are based on the cost in the
United States (expressed in 2005 US$) but would be similar in developed countries
and lower in developing countries.
5 Summary
Geothermal heat is an energy source that – if properly managed – has the potential to
be abundant, versatile, environmentally acceptable, cost-effective, and sustainable
Its sustainability is mainly a result of the vast amount of heat stored in the
subsurface. Extracting this heat, however, is challenging and requires advances in
exploration and drilling technology, novel approaches to stimulate reservoirs, and
potentially new working fluids. Moreover, exploitation of thermal energy must be
optimized and carefully managed, which in turn requires good characterization
methods of the geologic formation and fluid movements within the reservoir.
In addition to high-temperature hydrothermal or engineered geothermal systems
(EGS) for electricity production, residual heat from deep geothermal fluids or low-
temperature resources at shallow depths can be used for a vast variety of applications
and joint uses on different temperature levels for a high overall degree of efficiency.
Finally, reinjection of geothermal fluids closes the loop, providing pressure support
and the working fluid for a sustainable energy production system.
The use of computer modeling in the planning and management of the develop-
ment of geothermal fields has become standard practice during the last 20–35 years.
Geothermal reservoir simulation was recently used in reservoir engineering practice
with more complex three-dimensional models with a graphical interface. Reservoir
evaluation is an important phase prior to installing a geothermal power plant.
Geophysics is an important study phase of the perspective geothermal field. Main
methods include the following:
– Microgravity method: It is an effective geophysical technique that helps monitor
the geothermal reservoirs by measuring the underground mass changes using the
Gauss theorem in the geothermal reservoirs due to the production and injection
phases and natural recharge or discharge. Repeated microgravity measurements
at geothermal fields are recommended to maintain and advance the sustainable
utilization of geothermal resources.
– Electromagnetic method: Monitoring surveys can give information about fluid re-
distributions, flow rates, and flow directions caused by production and reinjection
in the geothermal reservoir from the changes of underground electrical resistivity
and spontaneous potential at the surface. The shallow survey is preferably
performed using transient electro magnetic soundings. Deep survey is made by
Magneto-Tellurics and can also be applied to delineate faults.
– Microseismic method for the evaluation of the heat source, fluid-flow channels’
permeability, and reservoir properties. Combining geothermal reservoir simula-
tors with geophysical postprocessors will enhance the numerical modeling of the
geothermal reservoirs and help managers to make good decisions about the future
plan of the geothermal power plant.
Geothermal projects have high up-front costs (mainly due to the cost of drilling
the wells) and low operational costs. The geothermal plants have low recurring fuel
costs. The costs of heat from direct uses of geothermal heat are competitive with
market energy prices.
More international courses on geothermal energy need to be developed and also
need to increase the number of engineers all over the world by developing university
undergraduate programs in the geothermal field to teach younger generations to take
responsibility when using this natural and sustainable energy for the safety of the
human race.
6 Cross-References
Geothermal Energy
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Renewability of Energy Resources,
Energy Vectors, and Energy Technologies 55
for Mobility
Fabio Orecchini, Annalisa D’Orazio, Valeria Valitutti, and

Chiara Fiori
Abstract
By understanding and using the concepts of an “open cycle” and a “closed
cycle” of resources, the sustainability of an energy system can be assessed.
Key to setting up sustainable energy systems is the use of renewable energy
resources with the integration of energy vectors in the flow chain. Three
important energy vectors – hydrogen, electricity, and heat-exchanging materials –
can be integrated in an energy system through sustainable energy engineering,
resulting in a zero-emission conversion technology in the final use. The dual
condition of “zero consumption, zero emission” is necessary for sustainability.
From this perspective, the difference between consumption and emissions of an
electric/electrified vehicle versus a gasoline vehicle of the same segment, along
with an economic analysis, is shown in a case study.
F. Orecchini ()
Interuniversity Research Centre for Sustainable Development, University of Rome La Sapienza,
Department of Mechanics and Energy, Guglielmo Marconi University, Rome, Italy
e-mail: fabio.orecchini@uniroma1.it
A. D’Orazio
SEM – Energy and Mobility Systems (GEA – Energy & Environment Group), CIRPS –
Interuniversity Research Centre for Sustainable Development, Sapienza University, Rome, Italy
e-mail: annalisa.dorazio@uniroma1.it
V. Valitutti
SEM – Energy and Mobility Systems, CIRPS – Interuniversity Research Centre for Sustainable
Development, Sapienza University, Rome, Italy
e-mail: valeria.valitutti@uniroma1.it
C. Fiori
SEM – Energy and Mobility Systems (GRA – Automotive Research Group), CIRPS –
Interuniversity Research Centre for Sustainable Development, Sapienza University, Rome, Italy
e-mail: chiara.fiori@uniroma1.it

DOI 10.1007/978-1-4020-8939-8 116,
1044 F. Orecchini et al.
1 Introduction
A clear definition of energy sustainability is based on the following pillars

(Orecchini et al. 2011):
1. Renewability of energy resources;
2. Efficiency in energy conversion, distribution, and use;
3. Lowering of environmental impact;
4. Increasing of energy accessibility; and
5. Tailoring of energy systems to local social-economic-environmental conditions.
A sustainable society is a society with low carbon emission, equal opportunities
for development in all countries, and elimination of poverty, aiming toward zero
waste and zero consumption and continuous re-use of resources (Mapako et al.
2012).
Human activities are still based on “open cycles,” starting from a condition
of natural environmental balance and reaching an environmental imbalance. The
challenge of scientific and technological research around sustainability is finding
development systems based on “closed cycles” of resources. Human activity
consumes resources that it is not able to reproduce (Wiek et al. (2012); Sala et al.
(2012)). This open cycle “consumes” resources and “produces” waste. A definition
of sustainable development that indicates a path of action and allows measurement
might be stated as follows:
Sustainable development does not consume resources. It uses and re-uses them, endlessly.
This means that the sustainability level of a system can be measured by measuring
its capacity to avoid the consumption of resources. Zero consumption is a necessary
condition for sustainability, and it brings about as a side effect the highly desired
“zero-waste” result. The solution of moving toward a new, sustainable energy
paradigm is the realization of closed cycles of resources, which can be achieved
in the energy sector by exploiting renewable resources and structurally integrating
energy vectors. The inclusion of energy vectors (to be produced from several
primary resources) in the energy system chain becomes a key concept of the entire
human development model (Orecchini et al. 2011).
The energy system must be able to extract energy from the initial resource,
make it flow in the appropriate form, and deliver it with the needed characteristics
for its final use that allows the supply of the desired useful effect. In its most
complete representation, an energy system is constituted by the set of primary
energy resources, processes, and technologies for conversion, transport, storage, and
final uses of energy, waste production, and interactions with the environment in all
the phases. The primary resource is generally located at a different place than the site
of the energy demand, thus the need for energy transportation. The requirement for
continuous and instant satisfaction of energy demand necessitates energy storage.
To achieve the availability of a primary resource everywhere, an energy vector
that allows the transfer, in space and in time, of a quantity of energy is necessary.
Thus, energy vectors make energy available for use at a time and space distant
55 Renewability of Energy Resources 1045
Fig. 55.1 The role of the energy vector
Table 55.1 Different types of vectors, transport characteristics, and storage

Vector Transport Storage
Fossil fuels Long, medium, and short range Yes
Hydrogen Long, medium, and short range Yes
Heat-exchanging fluids Short and very short range Yes
Electricity Medium and short range No
Mechanical energy Very short range Yes
Transmission by radiation Very long range space Short range atmospheric No
from the resource, meaning the point of availability of the primary resource in
nature (see schematic in Fig. 55.1). Energy vectors include fossil fuels, oil, and
derivatives; natural gas and derivates; coal and derivates; electricity, hydrogen
and other synthetic fuels; heat-exchanging fluids; mechanical transmissions; oil-
dynamic transmissions; pressure-dynamic transmissions; and radiation. All of these
are considered energy vectors in the transportation and storage of energy. Different
forms of energy can be stored and transported, and different vectors allow a variety
of modes and have different limits (in terms of problems related to portability and
storage time) (Orecchini and Santiangeli 2011) (Table 55.1).
The realization of closed cycles of resources can be achieved in energy systems
by exploiting renewable resources and structurally integrating energy vectors. In
this case, a given amount of available primary energy can even be said to be
“used,” whereas a nonrenewable resource would be “consumed.” Furthermore, the
energy amount “paid” to produce the eventually needed energy vector is amply
compensated by the renewability of the resource and its endlessness of availability
for humankind.
In the light of what has been said about the importance of energy vectors for
realizing a “closed cycle of resource,” some example of useful vectors will be
described for integration with renewable energy sources, especially for the storage
of chemical energy, electrical energy, and thermal energy (Orecchini 2007).
A case study will be dedicated to a comparison between the consumption
and emissions of an electric vehicle and a gasoline-powered vehicle of the same
segment, from the perspective of zero consumption and emissions. An economic
analysis of the case study highlights the economic benefits of an electric vehicle
with respect to cost, despite the fact that the initial price of a gasoline-powered
vehicle is lower. Three different scenarios will be described and compared.
Energy is available in different forms (mechanical energy, thermal energy, chemical

energy, etc.). Each kind of energy is characterized by specific physical-chemical
features, and when transferred in space and time requires a vector able to match
these features.
Different vectors are able to transport different kinds of energy. For example,
• Fossil fuels ! Chemical energy
• Electricity ! Electrical energy
• Thermo-vector materials ! Thermal energy
• Hydrogen ! Chemical energy
• Mechanical transmission ! Mechanical energy
Depending on the energy source, the vectors can satisfy, or not, the sustainability
criteria. For instance, the classical example of exploiting chemical energy is fossil
fuel, which is simultaneously an energy vector and an energy source. Fossil fuels
do meet the sustainability criteria in terms of renewability, efficiency of use,
environmental impact, energy accessibility, or local tailoring of energy systems.
An example of chemical energy is hydrogen, which meets the requirement for
renewability when produced from a non-exhaustible source (e.g., by biomass
gasification instead of reforming of fossil fuel). Hydrogen can achieve a high level
of efficiency (e.g., if exploited by fuel cell technology), and its use does not result
in a global increase in greenhouse gases.
Whether or not an energy vector can meet the sustainability criteria depends
on its production and use. Along with the production and use of the vector, the
other most important feature is the capability of storing the energy. This section will
examine the storage aspects of the most promising vectors for the use in connection
with renewable and sustainable energy sources. When considering sources as solar,
wind, geothermal, biomass, and hydro, the main types of exploitable energy can
be summarized as chemical energy, electrical energy, and thermal energy. For these
kinds of energy, the vectors that will be discussed are as follows:
• Hydrogen for chemical energy
• Accumulators (battery) for electrical energy
• Heat-exchanging materials for thermal energy
2.1 Hydrogen
Hydrogen is the most abundant element in the universe (around 75% of the total
baryonic mass) and shows a high capability of storage of chemical energy per
unit mass, around 142 MJ kg1 , more than three times that of liquid hydrocarbons
(around 47 MJ kg1 ). This theoretical capability cannot be exploited fully, however;
in fact, hydrogen at normal conditions is a rarefied gas tending to migrate to the
upper atmosphere. At room temperature and atmospheric pressure, 1 kg of hydrogen
would occupy 11 m3 . The most common storage system thus far has been in gaseous
phase, but the low density limits have driven research efforts toward different
systems for storage in liquid and solid phases. For the present work, if not explicitly
specified, please refer to Broom (2011), Orecchini and Naso (2011), Orimo et al.
(2007) and Züttel (2004). The main characteristics of hydrogen storage systems are
the following:
• Storage capacity: the percentage of the hydrogen mass in respect to the total mass
of the storage and vector system;
• Volumic energy density: amount of energy per volume unit of the storage system;
• Energy density in mass: amount of energy per mass unit of the storage system,
including the vector.
2.2 Storage in Gas Phase
Containment by steel cylinders under high pressure is the current technology for
hydrogen storage in the gaseous phase. Standard cylinders for the most common
applications are charged at 20 MPa (200 bar). Such cylinders weigh about 55 kg and
have a capacity of about 50 L. The hydrogen content is around 10 m3 , corresponding
to a net weight of 0.731 kg, equivalent to a content of energy around 126 MJ. To
understand how much energy is stored by this solution, it can be compared to the
amount of energy stored by a standard 30 L petrol tank for a small car. This kind
of tank, with a gross weight of about 30 kg, can store a content of energy around
576 MJ.
Better performance can be achieved with an increase of the pressure, but higher
pressure requires greater strength for the cylinder wall, and, if volumetric density
grows with the increase of compression capacity, the gravimetric density decreases
with the increase of the weight of the cylinders. Simply increasing the thickness of
containers is not the solution; innovative containers are multi-layer cylinders.
The typical structure of innovative cylinders consists of an inner layer (the liner)
made of polymeric materials, a second layer, for containment, made of carbon
fibers, and a third layer made of aromatic polyamides (e.g., the so-called “aramid”
characterized by a tensile strength close to 3,500 MPa versus the approximately
700 MPa of a steel alloy). Such a device can weigh around 110 kg, with a volumetric
density for hydrogen of about 35 kg m3 and a gravimetric density of about 6%
of the total mass. The energy cost of compression must be taken into account.
Table 55.2 Energy density of some gaseous, liquid, and solid storage systems
Energy density in Energy density in
Hydrogen storage system volume (MJ/m3 ) mass (kJ/kg)
200 bar cylinder1 1,419 1,884
700 bar cylinder2 4,200 7,200
Liquid hydrogen1 5,900 8,868
Metal hydride tank (commercial)1 312 1,218
Complex hydride tank (experimental)2 4,320 2,520
1
(Orecchini 2011)
2
http://www.storhy.net/finalevent/workshop1.php
With an isothermal process, between 0.1 and 80 MPa is needed around 7.96 MJ/kgH2
and more is required under real conditions. Table 55.2 presents the volumetric and
gravimetric energy density for gaseous storage systems, compared with liquid and
solid systems.
2.3 Storage in Liquid Phase
Storage in liquid phase requires ambient pressure, but low temperature, that is,
around 21.2 K. The volumetric density of hydrogen at liquid phase is 70.8 kg/m3 ,
noticeably higher than the gaseous state and also slightly higher than the hydrogen
density at solid state, 70.6 kg/m3 . The difficulties with this method of storage are
related to different aspects.
Low temperature is not easy to maintain in everyday applications. High energy is
required for the liquefaction process, along with thermal insulation of containers to
decrease boiling loss of the liquid and the energy lost in the atomic spin orientation
of the hydrogen. In fact, the configuration of anti-parallel spins (para-hydrogen) is
the ground state of the hydrogen molecules (ligant state) at 0 K. At temperatures
other than zero, the coexistence of molecules in para-hydrogen state with molecules
in ortho-hydrogen state can be observed, with the electrons arranged with parallel
spins. These two configurations of spin have different energies, which leads to
different physical properties, in particular, the boiling point and melting of the
ortho-hydrogen is higher than the other of roughly 0.1 K. At different temperatures,
the percentage of coexistence changes: from 25% of para-hydrogen and 75% of
ortho-hydrogen at room temperature up to 0.2% of ortho-hydrogen at 21.2 K. The
heat of ortho-para conversion depends on the temperature. At ambient conditions
it is around 270 kJ kg1 , but it increases with decrease of temperature up to
519 kJ kg1 at 77 K. Below this temperature, it remains approximately constant
at around 523 kJ kg1 . These values are unfortunately higher than the latent heat
of evaporation at the normal boiling point, and if hydrogen is placed in a container
without being spin oriented, the heat of conversion from the ortho state to the para
state is sufficient for the evaporation of the liquid. The process of transformation
from ortho into para makes the liquefaction process energetically more costly (e.g.,
the Linde process or the magnetic process).
Another point to take into account is that the ratio between the amount of
evaporated hydrogen and that remaining at liquid phase also depends on the
geometrical shape of the container. In fact, as evaporation is a surface process,
the container must have the maximum volume and the minimum surface. Such a
condition is realized by a spherical container; in a spherical Dewar with a double
layer of insulating vacuum, the losses are of the order of 0.4% per day on a volume
of 50 m3 , 0.2% on a volume of 100 m3 , and 0.06% on a volume of 20,000 m3 . For
practical reasons, however, the use of cylindrical containers is often preferred over
spherical ones. In any case, these numbers make liquid hydrogen suitable where
usage times are low and cost is less important, such as in aeronautical and space
applications or for scientific purposes.
2.4 Storage in Solid Phase
Solid state storage is currently the main candidate to match the 2,020 goal fixed by
the DoE (U.S. Department of Energy) for the development of new and hydrogen-
based energy systems (see Table 55.3).
One possible method of storing hydrogen in solid state is to trap the hydrogen
molecules or hydrogen atoms inside different types of supports. The physical
process involved can be surface adsorption (physisorption) based on the van der
Waals interaction, bulk absorption by the diffusion process, or chemical bounding
by chemical transformations.
Nano-composite Porous Materials: These compounds are able to trap hydrogen
by absorption at the material’s surface. The physical interaction involved in
physisorption is quite weak and the process is favored by low temperature (low
kinetic energy of absorbed molecules).
• Activated carbon has a high specific surface between 500 and 1,400 m2 /g and is
able to achieve up to 5.5 weight % of hydrogen. To achieve the best performance,
a very low temperature (77 K) is required, too low for practical applications.
• Carbon nanotubes can be divided in single-walled nanotubes (SWNT) similar
to a graphite cylinder and multi-walled nanotubes (MWNT) made of different
concentric wall-bounded SWNT. These structures have a theoretical Young
Table 55.3 DoE Gravimetric density 1.8 kWh/kg

requirements for hydrogen
storage systems (2,020 goals) Volumetric density 1.3 kWh/l
Filling time 1.5 kg/min
Cycles 1,500
Operating pressure 3–100 atm (0.3–10 MPa)
Release temperature 60/120ı C
Storage net cost 1.57 e /kWh
module close to 4 TPa and a tensile strength around 100 times greater than steel,
features useful for building a capillary structure able to adsorb gas. But these
materials also suffer a too low operating temperature (as before, the best results
are around 77 K) and a weight percentage no higher than 4% or 5%.
• Zeolites are material based on AlO4 and SiO4 tetrahedra, and the term is extended
to similar structures based on different elements as, for example, P, Ga, Be, Ge,
all showing an ordered crystalline structure with uniform cavities and channels,
that are highly porous, and have high specific surface and high thermal stability.
Zeolites are also useful for adsorption studies, with maximum storage capability
around 2.6–2.8 weight % and low temperature requirements.
• Metal organic frameworks are a family of crystalline inorganic-organic hybrid
solids made by metal ions or clusters linked by organic bridges. These materials
show good cycling resistance but also less thermal stability compared with
zeolites. The higher storage capability has been estimated around 7% weight at
77 K.
Interstitial Hydrides: These compounds are able to trap hydrogen in the lattice
interstitial space. The molecular hydrogen dissociates at the surface of the hydrides
and the atomic hydrogen enters the bulk via the diffusion process. Typical com-
pounds are made of two metallic elements, usually indicated by A and B, that
arrange with hydrogen in the general formula Am Bn Hl .
• AB5 compounds generally show good cycling resistance, good impurity contam-
ination resistance, and high volumetric storage density. The most studied AB5
compound is LaNi5 , which converts to LANi5 H6 . The reversible hydrogenation
process offers a low gravimetric density, around 1.25 weight %, but a volumetric
density around 0.1 kg/l. For these compounds, the DoE targets for 2,020 have
not yet been achieved, but due to their positive features of volumetric density,
stability, cycling, and the possibility of use with fuel cells, they have been an
effective reversible storage material employed for practical uses. More than 470
compounds are entered in the hydride database of Sandia Laboratories.
• AB2 compounds are usually formed by the element A from group 4 or lanthanides
and the element B by transition or non-transition metals, as, for example, ZrMn2 .
More than 620 AB2 compounds are known and the main properties of interest for
practical application are reversibility of the hydrogenation process, fast kinetics,
and good long-term cycling. Gravimetric density is low, however, no higher than
1.8%, and the cost of the materials is quite high, so they are not practical for
widespread use.
• AB compounds are less common than AB5 and AB2 ; less than 180 compounds
are currently entered in the Sandia database. The activation energy is quite high
and resistance to impurities is lower than in AB5 compounds. The representative
compound for this group is TiFe, with a total gravimetric capability of 1.85%
and a reversible capability around 1.5%. Partial substitution of Fe showed
improvement in cycling resistance and stability.
• Binary hydrides are the simplest case with the formula MHn , where M is a metal
directly bound to the hydrogen atoms. A typical binary hydride is AlH3 , known
since the 1940. The absorption capability of these compounds is generally quite
favorable (around 10.1% weight in the case of AlH3 ) and the de-hydrogenation
process is usually at temperature not critical. One troublesome feature is the
absorption process, which requires too high pressure for practical application
(on the order of GPa).
Complex Hydrides: Complex hydrides are usually salt compounds where many
hydrogen atoms show a covalent bound with a different element, in such a
way that the hydrogen and the other element form a complex anionic group.
This anionic group establishes an ionic or covalent bound with a third element.
They are interesting because of their high gravimetric density, however, the high
energy barrier for carrying on the hydrogenation/dehydrogenation processes is a
negative feature. Doping the compound has shown good results for improving the
hydrogenation/dehydrogenation kinetics.
• Alanates are hydrides composed of the complex group [AlH4 ] , as LiAlH4 ,
NaAlH4 , Mg(AlH4 /2 , Ca(AlH4 /2 . Dehydrogenation occurs between 200ıC and
300ı C, but a critical point is that for many compounds it is not reversible. In
some cases as for NaAlH4 , the process is reversible, but the pressure of hydrogen
release is too low for practical application. Some improvement is reported for
example through doping with titanium.
• Amides are hydrides composed of the complex group [NH2 ] and alkali metals,
frequently from the first and second groups of the periodic table. The gravimetric
density of hydrogen is generally smaller than other complex hydrides, and
frequent double-step desorption reactions involving intermediate compounds
make the release of the total stored hydrogen inconvenient. The operating
conditions for temperature, pressure, and kinetics are usually more favorable than
for other hydrides.
• Borohydrides are hydrides composed of the complex group [BH4 ] and an
element of the first or second group of the periodic table, or rare earth elements
or transition metals. They show the highest gravimetric density in between the
hydride family, but a limitation is their high reactivity.
2.5 Electricity
Storage of electricity can be carried out directly or indirectly. Indirect ways use
the electrical power to perform work in a system in order to make it able to
generate new work (change in the potential energy of the system). An example
is hydro-pumping for hydro-electrical plants in order to exploit the peak power
availability that cannot go directly to the grid, or transformatio to mechanical energy
by the charge of a flywheel. In this section, only direct electricity storage will be
considered, performed by accumulators able to provide back, on demand, electrical
energy.
Batteries: Electricity has historically been stored by batteries, where the electronic
current is generated by the chemical energy of electrolytes. Conventional batteries
use a metallic electrode interacting with an ionic solution (electrolyte); two distinct
ionic solutions (oxidizing and reducing, respectively) are separated by a porous
media. The potential difference established between the respective electrodes is the
“electromotive power” of the battery, able to move the electron if the electrodes
are connected to an electrical circuit. Many different materials can be used for
both electrodes and electrolytes (not only liquid). Some examples of the most
common batteries are as follows (for more detail, please refer to Reddy 2010,
Chen et al. 2009, Scrosati and Garche 2010 and Jayalakshmi and Balasubramanian
2008):
• Lead acid batteries: Here, the anode is made of Pb, the cathode is made of PbO2 ,
and the electrolyte is sulfuric acid (H2 SO4 ). The storage capability depends on
the size of the battery, and a number of sizes are available, from 1 Ah to more
than 100 Ah. The cell potential is the highest in the battery with liquid electrolyte,
equal to 2.2 V, with an electrical efficiency around 60%. Positive features are the
low cost of the materials, good performance for fast discharge, and effectiveness
at both high and low temperature. The limitations are limited cycling lifetime and
limited gravimetric energy density (around 30–40 Wh/kg).
• Nickel cadmium batteries: The anode in these batteries is Cd based, the cathode
is Ni based, and the electrolyte is an alkaline compound. The available sizes are
from 12.5 Ah to more than 100 Ah, and the cell potential is equal to 1.2 V. It is
possible to use these batteries at 20ı C to 45ı C and they are frequently used
for portable devices (laptops, radios). Positive features are long cycle life and
long-term storage, but they suffer a low energy density, cost more than lead-acid
batteries, and require special disposal as the cadmium residuals are hazardous.
• Nickel-metal hydride batteries: As with the previous, the anode in these accu-
mulators is Ni based, but the anode, adsorbing hydrogen, is an alloy that is
usually made of metals and rare earth material. NiMH batteries have a higher
capacity than NiCd batteries. Their advantages are, having no cadmium, minimal
environmental problems, a rapid recharge capability, and long cycle life. The
nominal voltage is 1.2 V up to 1.0 V in discharge (1.3 V is the maximum at
maximum charge and open circuit); partial discharge can produce a memory
effect, decreasing the capability.
• Nickel zinc: These are a variant of nickel batteries where the anode is made of
zinc. This battery is characterized by a nominal voltage around 1.6 V (1.7 at open
circuit) and is usually employed for mechanical devices (motorized bicycles,
scooters, lawnmowers, etc.) due to a good specific energy (50–70 Wh/kg). The
lifecycle is more than 500 cycles at maximal density of discharge and more than
double that at smaller density of discharge.
• Lithium ion batteries: A wide variety of alloys are used for the cathode and the
anode of lithium ion batteries. The name of such accumulators is due to the
fact that, while lithium is not present in the metallic state, it is exchanged in
between anode and cathode in the ionic state. Usually, the accumulators present
an intercalation of many electrodes and the current is generated by the removal-
insertion of Li ions in between the anode and cathode, across the electrolyte,
which can be either liquid or solid material. The voltage is higher than the
batteries listed above and can reach 4 V, with a specific energy between 100
and 150 Wh/kg1 and temperature operation range between 30ı C and 60ı C.
Table 55.4 Example of chemical reactions for common batteries

discharge

Lead acid battery Pb + PbO2 + 2H2 SO4 2PbSO4 + 2H2 O

charge
discharge

Nickel cadmium Cd +2NiO(OH) + 2H2 O Cd(OH)2 + 2Ni(OH)2

charge
discharge

Nickel-metal hydride MH + NiOOH M + Ni(OH)2

charge
discharge

Nickel zinc Zn+2NiO(OH) + 2H2 O Zn(OH)2 + 2Ni(OH)2

charge
discharge

Lithium ion (example) Li1=2 CoO2 + Li1=2 C6 C6 + LiCoO2

charge
discharge

Sodium sulfur 2Na + 4S Na2 S4

charge
Due to their high energy content, Li-ion batteries have been used most recently
for electronic devices (laptop, mobile phones, etc.) (Table 55.4).
• Sodium sulfur: A sodium-sulfur accumulator has liquid sulfur melt on the cathode
and liquid sodium melt at the anode. In the middle the electrolyte is a ceramic
solid (“ alumina based). The nominal voltage is around 2 V and it works at high
temperature (around 300ı C), with a specific density around 130 Wh/kg.
Super-capacitors: Along with batteries, another device capable of accumulating
electrical power is a capacitor. Traditional capacitors are constituted by two parallel
metallic electrodes, separated by an insulating material (dielectric) able to accu-
mulate charge (depending on the electrode surface area and dielectric thickness).
The storage capability of traditional capacitors is limited to the range of 0.1–1 F
(micro-farads) and they are usually employed for signal filtering and to smooth the
circuits of power supplies, but nowadays new generations of super-capacitors, able
to store a higher amount of energy, are employed to supply power during the peak
of demand in association with the batteries. Examples include their use in hybrid-
electric cars and in industrial application such as transpallets, forklifts, cranes, etc.
The technology is not yet mature, and improvements can be made to battery lifetime,
rated voltage, range of operating temperature, and energy density. Nevertheless,
super-capacitors play a key role in the development of electricity-based mobility
systems. Following are some examples of super-capacitors.
• Electrolytic capacitor: The difference between these and traditional super-
capacitors is the presence of an electrolyte as the conductor between the
dielectric and the electrode. Electrolytic super-capacitors with electrodes made
from aluminum and tantalum are available and the electrolyte can be either solid
or liquid. An example is the Ta-based super-capacitors, which can use sulfuric

acid or MnO2 (capacitance around 0.1–10 gF, voltage profile 25–50 V). Another
type is ceramic super-capacitors, where the dielectric is ceramic and the device is
assembled in multilayer geometry (around 100 alternate layers of electrode and
dielectric).
• Double-layer capacitor: The double-layer capacitor is made from two polarizing
electrodes containing an electrolyte hosting a separator and the energy is
stored at the electrode/electrolyte interface. The storage mechanism can be
pure electrical or electrochemical (in such a case, the capacitor is also called
a pseudo-capacitor). For the electrical double-layer capacitors, the electrodes
are typically carbon based, particularly nano-porous materials, whereas for the
electrochemical type the electrodes can be metal oxides, carbon composite
material, or conducting polymer. The capacitance strongly depends on the
electrode materials.
2.6 Thermal Energy Storage and Transportation
Storage of heat cannot be maintained for a long time or over long distances.
Important features of the system can be summarized as follows:
• Good storage capability, which means high energy density of storage medium
• Good efficiency, which means heat transfer between heat transfer fluid (HTF)
and storage medium
• Good cyclability, which means mechanical and chemical stability of storage
material
• Safety, which means compatibility between HTF, heat exchanger, and/or storage
• Lifetime, which means complete reversibility of a good number of charg-
ing/discharging cycles
In general, the storage systems can be divided into three categories: the sensible heat
system, the latent heat system and the chemical storage systems. For more details,
please refer to Gil et al. (2010), Medrano et al. (2010), Hasnain (1998), and Pinel
et al. (2011).
Sensible heat storage systems: Sensible heat storage systems are characterized
by an increase of the temperature of the storing medium, which depends on the
stored energy. For this reason, the medium should have a high specific heat capacity,
together with long-term stability under thermal cycling. Depending on the medium
phase, sensible heat storage systems can be divided into liquid media systems and
solid media systems. Typical liquids are water, oil-based fluids, and molten salts
and the temperature range can go from 25ı C to 90ı C for water-based fluids and
up to 300ı C for oil-based fluids and molten salts. Storage capability depends on
the tank size (large-scale storage applications can reach the order of millions of
cubic meters). Typical solids include rocks (by packed bed systems), in which
the temperature can reach up to 1,000ıC; ceramic brick (e.g., olivine, magnesite,
feolite), which is mainly employed in building heat management; and metals (e.g.,
aluminum, magnesium, zinc), for temperatures between 120ı C and 1,400ıC.
Latent heat storage systems: Latent heat storage systems are characterized by the
constant temperature of the storing medium, which undergoes to a phase transition.
The temperature depends on the phase transition temperature of the material.
The systems can exploit solid–solid, liquid–gas and solid–liquid transitions. The
most common are the solid–liquid systems for practical reason of a modest
volume change. A large number of different materials are employed for latent heat
application, the major categories being inorganic compounds (e.g., salt hydrates,
metals, alloys), organic compounds (e.g., paraffins, polyalcohols), and eutectic or
inorganic-organic compounds (a mixture of two or more compounds having definite
melting-freezing points). This kind of system has the advantage of allowing the
storage of a large quantity of energy in a relatively small volume, with a positive
impact on the costs.
Chemical heat storage systems: Chemical heat storage systems, based on chemical
reactions, employ material that undergoes a complete reversible reaction. The
typical application is for storing solar energy; solar radiation excites an endothermic
reversible reaction and the products of the reaction are available to give back the
stored energy. The advantage of this kind of application is a high energy density and
the possibility of longterm storage of the energy. For this reason there is interest in
coupling this system with continuous (24-h) power-generating systems. Materials
that can be used for this kind of application are, for example, those able to perform
the tranformation metal oxide–metal. For example,
SnO2 C 2CH4 C heat ! Sn C 2CO C 4H2

Sn C 2H2 O ! SnO2 C 2H2 C heat
Ammonia is also of interest due to its low cost and long experience with large-
scale industrial production. Heat storage involves the dissociation of the ammonia
in nitrogen and hydrogen:
2NH3 C heat ! N2 C 3H2

N2 C 3H2 ! 2NH3 C heat
The chemical storage systems can reach a high operating temperature; for example,
the temperature of dissociation of SnO2 takes place at around 700ı C.
3 Case Study: Design, Efficiency, Emissions
The target set by the Kyoto Protocol is to stabilize concentrations of greenhouse

gases in the atmosphere at a level that would prevent dangerous anthropogenic
interference with the climate system. Emissions from the transport field are about
32% of total emissions (Orecchini 2006, 2011; Orecchini and Naso 2006). To reduce
this value, one solution might be to use vehicles with a high degree of electrification
(hybrid, plug-in hybrids, and electric), characterized by a greater energy efficiency.
In fact, compared with internal combustion engine vehicles, vehicles with a high
degree of electrification consume lower quantities of energy and emit a lower
amount of carbon dioxide (http://web.mit.edu/evt/summary wtw.pdf) these latter
are, in fact, more efficient and sustainable than other conventional solutions. In
addition, the energy used could be provided by renewable sources.
The advantages of vehicles with a high degree of electrification can be summa-
rized as follows:
• Reduction or absence of emissions at the local level;
• Increased efficiency in the transmission of energy;
• Reduction of vibrations during operation;
• Much longer life expectancy;
• Recovery of braking energy.
Most automotive brands have developed a hybrid or electric vehicles, which helps
to address the crisis caused by the increasing cost of oil.
The role of these vehicles in transportation in cities is fundamental to achieving
the increasing constraints related to emissions of pollutants. Analyses focused on
this sector have highlighted how consumption and emissions of electric vehicles
are smaller than those of a gasoline vehicle of the same segment. Also, among the
advantages of vehicles with a high degree of electrification is the greater energy
efficiency obtained by energy recovery during braking (Brusaglino et al. 2009; Chau
and Wong 2002).
3.1 Well-to-Wheel Analysis and Comparison Between an Electric

Vehicle and a Internal Combustion Engine Vehicle
The aim of this case study is to perform a well-to-wheel analysis of two different
kinds of power train: electric vehicle and ICE (internal combustion engine) vehicle.
The well-to-wheel analysis takes into account the complete energy cycle, starting
from the energy source up to the useful effects and includes the well-to-tank
analysis (from the source up to the car) and the tank-to-wheel analysis (from the
energy stored on board up to the useful effects). The variables considered for
comparison are as follows: consumption, efficiency, and CO2 emissions. To carry
out the comparison, the ICE gasoline vehicle and the electric vehicle analyzed have
approximately the same power. Taking into account the typical power segment of
the electric vehicles, the power of the vehicles is similar to a City Car.
The characteristics of the gasoline vehicle are presented in Table 55.5 and the
characteristics of the electric vehicle, with a lithium-ion battery and an electric
permanent magnet synchronous motor are listed in Table 55.6.
Table 55.7 provides the efficiency of an electric vehicle and that of a gasoline
vehicle.
The efficiency of an electric vehicle is greater than the gasoline vehicle because
the power-train components are electrical/electronic, and these components have a
higher single efficiency (about 90%). Also, there is no mechanical transmission,
which is the main source of the loss of efficiency in gasoline vehicles.
Table 55.5 Gasoline vehicle datasheet

Power (kW) 52
Local consumption on combined ECE cycle (L/100 km) 4.2
Local emissions on combined ECE cycle (tank-to-wheel analysis) (g/km) 97
Table 55.6 Electric vehicle datasheet

Power (kW) 55
Battery capacity (kWh) 17.6
Local consumption on combined ECE cycle (kWh/100 km) 15 1 (230 V/8 A)
Local emissions on combined ECE cycle (tank-to-wheel 0
analysis) (g/km)
Autonomy (km) 145
Table 55.7 Electric and Electric vehicle efficiency (%) 70

gasoline vehicles’ efficiency
Gasoline vehicle efficiency (%) 18
3.2 Well-to-Wheel Analysis of CO2 Emitted
In an electric vehicle, the tank-to-wheel analysis shows that CO2 emissions are zero,
whereas in the well-to-tank analysis there is a certain amount of CO2 emitted.
The capacity of the battery of the electric vehicle considered is equal to
17.6 kWh, whereas the charging and discharging of the same occurs for a value
of the SOC (state of charge), between approximately 20% and 80%. It is necessary
to consider that the energy to be loaded is equal to about 10.56 kWh consumed
(Orecchini et al. 2012). Considering the efficiency of the charging system, distribu-
tion losses (MISE 2009), the percentage of energy produced from RES (renewable
energy sources,) GSE (2010) and the average efficiency of Italian thermal power
plants (Manna 2009), the total kWh consumed in the well-to-tank analysis will
be approximately 19.52 kWh. Furthermore, with zero local emissions, as is clear
from the tank-to-wheel analysis, the total emissions at the global level will be the
same as those of well-to-tank. In relation to energy consumption, the calculated CO2
emissions expressed in g/km are equal to approximately 70 g/km, as can be seen in
Fig. 55.2.
A different result is obtained in the well-to-wheel analysis on the gasoline
vehicle. The tank-to-wheel analysis of this vehicle is characterized by an emission
of CO2 higher than the electric vehicle (approximately 97 g/km of CO2 ). The CO2
emissions in the well-to-tank analysis will be smaller than in the electric vehicle
because only the efficiency of extraction and refining of fuel and transportation and
distribution are taken into account. The results can be seen in Fig. 55.3.
In Fig. 55.4, a comparison of the results in the two cases is shown.
CO2 emissions of an EV city car

80
70
CO2 consumption [g/km]
60
50
40
30
20
10
−
CO2 emissions Well To CO2 emissions Tank To CO2 emissions Well To
Tank analysis [g/km] Wheel analysis [g/km] Wheel analysis [g/km]
Fig. 55.2 CO2 emissions of an electric vehicle city car
CO2 emissions of a gasoline city car

120
100
80
60
40
20
0
CO2 emissions Well To CO2 emissions Tank To CO2 emissions Well To
Tank analysis [g/km] Wheel analysis [g/km] Wheel analysis [g/km]
Fig. 55.3 CO2 emissions of a gasoline city car
4 Economic Analysis
This economic analysis of the case study above is intended to highlight the economic
benefits of to the purchase of an electric vehicle versus that of a gasoline vehicle,
despite the cost of acquisition of the latter being lower.
Comparison in between CO2 emissions of an electric

and a gasoline city car
120
100
80
60
40
20
−
CO2 emissions Well CO2 emissions Tank To CO2 emissions Well To
To Tank analysis [g/km] Wheel analysis [g/km] Wheel analysis [g/km]
Fig. 55.4 Comparison between CO2 emissions of an electric and a gasoline city car
The cost of buying an electric city car is approximately 19,000 e, whereas that
of the same class of vehicle with a gasoline engine is approximately 13,000 e (the
costs mentioned do not include VAT). The amortization, shown below, is calculated
considering that a liter of gasoline in Italy is about 1.928 e (average price of
gasoline on 3 September 2012 (http://www.prezzibenzina.it/), corresponding to a
cost of 0.23 e per kWh (http://www.qualetariffa.it/quanto-costa-un-kwh-con-enel-
energia/)) and that the Italian city cars, on average, yearly travel about 15,000 km,
(ACI, Association of Italian Auto-vehicles). Knowing the vehicle consumption, the
costs of gasoline, and kWh, it is been possible to calculate the total cost of fuel
required to travel 15,000 km.
Below are three repayment plans for three possible scenarios:
• Scenario 1: amortization schedule considering only the fuel savings due to the
use of electric vehicles instead of gasoline.
• Scenario 2: amortization schedule considering, in addition to fuel savings, the
incentive to have free stamp of the vehicle for the first 5 years after purchase.
• Scenario 3: amortization schedule considering, in addition to fuel savingsand free
stamp of the vehicle for 5 years, the incentive of an insurance premium reduced
by 50% for the entire life of the vehicle.
4.1 Scenario 1
With fuel savings only, the payback time for the higher expense of purchase of
electric vehicles is 6 years, as can be seen in Fig. 55.5. The payback time will be
Exclusive fuel savings

4000
3000
2000
1000
0
1 2 3 4 5 6 7 8 9
Euro
−1000
−2000
−3000
−4000
−5000
−6000
Years
Fig. 55.5 Exclusive fuel savings
Saving fuel and road tax free for five years

4000
3000
2000
1000
0
1 2 3 4 5 6 7 8 9
Euro
−1000
−2000
−3000
−4000
−5000
−6000
Years
Fig. 55.6 Fule savings and road tax free for 5 years
reduced by the increase in mileage per year, taking into account that the reference
value is 15,000 km per year.
4.2 Scenario 2
By saving fuel and being free from road tax for 5 years, the payback time for the
higher cost of purchase of electric vehicles is 5 years, as can be seen in Fig. 55.6.
The payback time will be reduced by the increase in mileage per year, taking into
account that the reference value is 15,000 km per year.
Saving fuel, road tax free for five years and the reduction of the
insurance premium of 50%
10000
8000
6000
4000
Euro
2000
0
1 2 3 4 5 6 7 8 9
−2000
−4000
−6000
Years
Fig. 55.7 Fuel savings, road tax free for 5 years, and the reduction of the insurance pre-
mium of 50%
4.3 Scenario 3
By saving fuel and with road tax free for 5 years and by the reduction of the
insurance premium of 50%, the payback time for the higher cost of purchase of
electric vehicles is 4 years, as can be seen in Fig. 55.7. The payback time will be
reduced by the increase in mileage per year, taking into account that the reference
value is 15,000 km per year.
It is important to note that this result is lower than the average life of a car, which
in Italy was estimated to be 7.5 years by the ACI (http://www.aci.it/, http://www.
omniauto.it/magazine/7748/quanto-sono-vecchie-le-auto-degli-italiani), in which
case the investment is definitely favorable.
4.4 Comparison
By the comparison of the above three scenarios, the last is the most advantageous,
as shown in Table 55.8 and Fig. 55.8. Figure 55.8 shows the fuel savings alone in
red, the fuel savings and road tax free for 5 years in green, and in violet the fuel
savings and road tax free for 5 years and the reduction of the insurance premium
of 50%.
It is important to note that other incentives are possible. For example, a money
bonus with the purchase of the vehicle (5,000 e in Italy, an amount that can almost
cancel the price difference between the electric and the gasoline vehicle), free
parking, and access to the ZTL (Limited Traffic Zones) and to the bus lanes.
Table 55.8 Comparison between tree scenarios

Fuel savings + road tax free
Fuel savings + road for 5 years + reduction of the
Years Fuel savings tax free for 5 years insurance premium of 50%
1 5,037 4,887 4,387
2 4,073 3,773 2,773
3 3,110 2,660 1,160
4 2,146 1,546 453
5 1,183 433 2,067
6 220 530 3,680
7 744 1,494 5,293
8 1,707 2,457 6,907
9 2,670 3,420 8,520
Economic analysis
10000
8000
6000
4000
Euro
2000
0
1 2 3 4 5 6 7 8 9
−2000
−4000
−6000
Years
Fig. 55.8 Economic analysis
5 Summary
In this chapter, the role of energy vectors in the framework of the closed cycle,
matching the sustainability criteria, has been discussed. The more suitable vectors
for the exploitation of the renewable energy sources have been described, in
particular with regard to the storage aspects. The hydrogen vector has been
discussed for the storage of chemical energy, batteries and super-capacitors for the
storage of the electricity, and thermo-vector materials for thermal storage for the
exploitation of sensible, latent, and chemical heat. A case study has been provided
to compare the performance of an electric vehicle and a gasoline vehicle of the same
segment, with particular regard to the efficiency and the difference of consumption
and emissions. The economic analysis of the case study has been executed, stressing
the convenience of the adoption of electric vehicle from an economic point of view.
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Solar Energy: Harvesting the Sun’s
Energy for Sustainable Future 56
C. S. Psomopoulos
Abstract
The solar energy that reaches the earth exceeds by far humankind’s needs and
other energy sources at ground level, such as geothermic or tidal energy, nuclear
power, and fossil fuels. Solar energy is a renewable and sustainable form of
energy. Solar irradiance includes infrared radiation and thus provides adequate
energy to operate solar thermal technologies requiring reduced solar energy.
Thus, many regions of the world have enough solar irradiance to utilize solar
heating and cooling technologies. Most of the developing and some of the devel-
oped countries lie within the tropical belt of the world where the solar radiation
is higher. Technologies requiring higher irradiation are suitable for these regions,
providing significant utilization potential for both solar heating/cooling applica-
tions and solar electricity through concentrating solar power and photovoltaics.
A significant part of these regions are also semi-arid or desert, allowing the
implementation of large-scale facilities, and thus potential utilization is highly
increased, since these areas are commonly vast, with small inclinations and high
temperatures and almost no seasonal changes in solar irradiation. These areas
have the potential to cover a significant part of their needs in heating, cooling, and
electricity. For electricity, production may be great enough to allow significant
exports also. This chapter presents the basic technologies for harvesting solar
energy and exploiting this almost unlimited potential for energy utilization.
The market available technologies are presented, explaining the basic opera-
tional characteristics providing the main and most common applications. Basic
economics, cumulative installed power, and market values are also presented.
The benefits of utilization are presented along with the physical and technical
barriers to market expansion. The chapter provides a review of the current
condition of commercially available solar energy harvesting technologies.
C.S. Psomopoulos
Department of Electrical Engineering, T.E.I. Piraeus, Egaleo, Greece
e-mail: cpsomop@teipir.gr; cpsomop@gmail.com

DOI 10.1007/978-1-4020-8939-8 117,
1066 C.S. Psomopoulos
1 Introduction
The sun is the star in the center of our solar system. The sun’s rays keep our
planet warm and make life possible in this small corner of the universe. The solar
energy that reaches the earth has been estimated at around 173 1012 kW and
exceeds by far humankind’s needs. The world’s total primary energy demand
(TPED) was 12,300 million tons of oil equivalent (Mtoe) in 2008, including non-
commercial biomass, equivalent to a continuous power consumption of 13.75 TW
as was estimated by the IEA (2010a). Solar energy vastly exceeds other energy
sources at ground level, such as geothermic or tidal energy, nuclear power, and
fossil fuels. If the fact that sunrays also are responsible for wind power and biomass
growth is considered, then the potential for energy harvesting is more than obvious.
Solar energy is a renewable and sustainable form of energy because it will be
available as long as the sun continues to shine. Estimates for the life of the main
stage of the sun are another 4–5 billion years (Greenpeace 2008; IEA 2010a; Patel
1999; Philibert 2006; Sen 2008).
Sunlight hits the earth’s surface in two ways: directly and indirectly. The sun’s
light passes the atmosphere through numerous reflections and deviations. Direct
radiation is the amount of solar radiation received at any place on the earth directly
from the sun without any disturbances. Indirect solar radiation or diffuse insolation
is the sunlight that is reflected by other surfaces and molecules in the air to arrive
at the surface from all angles. On clear days, direct irradiance represents 80–90%
of the solar energy reaching the earth’s surface. On a cloudy or foggy day, the
direct component is essentially zero, whereas the indirect irradiance is almost 100%.
The sun’s total energy is composed of 7% ultraviolet (UV) radiation, 47% visible
radiation, and 46% infrared (heat) radiation. UV radiation causes many materials
to degrade, and it is significantly filtered out by the ozone layer in the upper
atmosphere, while visible and infrared radiation is used for energy production in the
earth’s surface by humans and the nature. Even though the amount of solar energy
reaching the earth is very high, the available amount varies with latitude, elevation,
shape of the surface, and season of the year in addition to time in a particular day.
Thus, the potential utilization varies not only with the weather conditions but also
with the geographical characteristics of each area (Greenpeace 2008; IEA 2010b;
Patel 1999; Philibert 2006).
Solar irradiance includes infrared radiation and thus provides adequate energy to
operate solar thermal technologies requiring reduced solar energy. This way, many
regions of the world have enough solar irradiance to utilize solar heating and cooling
technologies. The most typical example are the flat-plate, unglazed, collector-based
systems, including most solar water heating systems, which can use both direct and
diffuse solar radiation, so even under cloudy conditions there is some resource
available for conversion into heat. The amount of solar radiation at the earth’s
surface that is theoretically available is illustrated by averaged irradiance maps such
as the one shown in Fig. 56.1. These maps identify regions of solar irradiance at the
earth’s surface and indicate good or less suitable potential locations for each solar
technology (IEA 2003, 2009; IEA/OECD 2012; IPCC 2011; Philibert 2006).
56 Solar Energy: Harvesting the Sun’s Energy for Sustainable Future 1067
Fig. 56.1 Solar radiation at the earth’s surface (3TIER 2012)
A close look at these maps will show that most of the developing and some of the
developed countries lie within the tropical belt of the world where the solar radiation
is higher. The United States, Southern European countries, and the Mediterranean
area are some typical examples. Thus, these countries have the potential to exploit
this source in the most beneficial ways. On the other hand, about 75% of the world’s
population lives between latitudes 35ı N and 35ı S, an area also known as the world’s
“Sun Belt.” These regions receive the sun’s radiation for almost 3,000–4,000 h/year.
In solar power density terms, this is equivalent to an average 2,000 kWh/m2 per year,
corresponding to several thousand times the world’s energy demand: a resource that
currently presents limited exploitation. In the mid-long term, these technologies will
play an important role in these areas. On the other hand, significant changes are
introduced in the current energy systems to mitigate their negative impact on the
environment and the world’s climate. A large part of this enormous free energy
could be harvested through solar energy technologies, used in a sustainable way
(EPIA-Greenpeace 2011; ESTELA 2012a; Greenpeace 2008; IEA 2010a, 2011;
IEA/OECD 2012; IPCC 2011; Philibert 2006).
Technologies requiring higher irradiation are suitable for these regions, providing
significant utilization potential for both solar heating/cooling applications and solar
electricity through concentrating solar power and photovoltaics. A significant part
of these regions are also semi-arid or desert, allowing the implementation of large-
scale facilities, and thus potential utilization is highly increased, since these areas
are commonly vast, with limited vegetation growth, small inclinations, high tem-
peratures, and almost no seasonal changes in solar irradiation. These areas present
the potential to cover a significant part of their needs in heating, cooling, and
electricity. Especially for electricity, the production can be high enough to also allow
for significant exports (ESTELA 2012a; EPIA-Greenpeace 2011; Greenpeace 2008;
IEA 2010a, 2011; IEA/OECD 2012; IPCC 2011).
The work presented here presents the basic technologies for harvesting solar en-
ergy and exploiting this almost unlimited potential for energy utilization. The market
available technologies are presented, explaining the basic operational characteristics
providing the main and most common applications. Basic economics, cumulative
installed power, and market values are also presented. The benefits of utilization
are presented along with the physical and technical barriers to market expansion.
The work is a review of the current condition of commercially available solar energy
harvesting technologies.
2 Basic Equipment for Harvesting Solar Energy
2.1 Basic Equipment of Concentrated Solar Power Installations
The basic concept of concentrating solar power is relatively simple, as CSP devices
concentrate energy from the sun’s rays to heat a receiver to high temperatures.
This heat is transformed first into mechanical energy (by turbines or other engines)
and then into electricity. CSP also holds potential for producing other energy carriers
(solar fuels). CSP is a proven technology. The basic parts that concentrated solar
power installations consist of are reflectors and receivers. The receivers transfer the
heated fluid to the steam generator. The rest of the power plant is similar to a typical
steam power plant where the steam drives a steam turbine that transforms the heat
into mechanical rotation and then to electricity through a generator. At present, there
are four main CSP technology families, which are usually categorized by the way
they focus the sun’s rays (linear or point) and the receiver’s movement capability
(mobile or fixed). Figure 56.2 presents these four market available technologies
(ESTELA 2012a; EU-SETIS 2012a, b; IEA/OECD 2012; IEA 2010b; IPCC 2011;
Patel 1999; Arvizu et al. 2011a).
Parabolic trough systems are the most commonly used CSP technology; these
are line focused, mobile receivers and consist of parallel rows of mirrors (reflectors)
curved in one dimension to focus the sun’s rays. Their size usually varies from
50 to 300 MW, and they have been a proven utility-scale technology in commercial
operation since 1984 (ESTELA 2012b; EU-SETIS 2012b; IEA 2010b; IPCC 2011).
The mirror arrays can be more than 100 m long, with the curved surface typically
5–6 m across. The parabolic reflectors concentrate the sun 70–100 times onto a heat-
collection element (HCE) placed along the reflector’s focal line where the absorber
tubes are installed (ESTELA 2012b; IEA 2010b; IPCC 2011). The absorber tubes,
manufactured from stainless steel pipes with a selective coating, serve as the heat
collectors. The coating is designed to allow the pipes to absorb high levels of solar
radiation while emitting very little infrared radiation. The pipes are insulated in
a b
Reflector
Absorber Tube Curved Mirrors Curved Mirrors
Solar Field
Piping
Absorber Tube and

Reconcentrator
c d
Central Receiver
Reflector
Receiver/Engine
Heliostats
Fig. 56.2 Schematic diagrams showing the underlying principles of four basic CSP configu-
rations: (a) parabolic trough, (b) linear Fresnel reflector, (c) central receiver/power tower, and
(d) dish systems (Arvizu et al. 2011a)
an evacuated glass envelope to minimize heat loss. The reflectors and the absorber
tubes follow the sun’s path as it crosses the sky in one axis (ESTELA 2012a, b;
EU-SETIS 2012a, b; IEA/OECD 2012; IEA 2010b; IPCC 2011).
The majority of parabolic trough plants currently in commercial operation use
synthetic oil to transfer the heat (the heat transfer fluid) from collector pipes
to heat exchangers. This synthetic oil circulating through the tubes is heated to
approximately 400ı C. In the heat exchangers, the water is preheated, evaporated,
and then superheated. The superheated steam runs a turbine, which drives a
generator to produce electricity. After being cooled and condensed, the water returns
to the heat exchangers. A plant’s operation after the heat exchangers is almost
the same as a conventional steam turbine power plant, independent of the energy
source (coal, nuclear, gas, biomass, etc.) (ESTELA 2012a, b; EU-SETIS 2012a, b;
IEA/OECD 2012; IEA 2010b; IPCC 2011; Patel 1999). However, most existing
plants rely on combustible fuel as a backup to ensure capacity, as they have little
or no thermal storage. In Spain, for example, the SCP leader in EU, all CSP plants
derive 12–15% of their annual electricity generation from natural gas utilization.
Some newer plants in South Greece and Spain have significant thermal storage
capacities, allowing production of up to an additional 7.5 h of nominal power after
sunset. Molten salts are normally used as storage fluid in a hot-and-cold two-tank
concept (ESTELA 2012b; EU-SETIS 2012b; IEA 2010b).
Linear Fresnel reflectors (LFRs), which are line focus with fixed receivers, are
a more recent commercially available system approximating the trough systems.
The difference from parabolic troughs is the fixed absorber position above a field of
horizontally mounted flat mirror stripes, collectively or individually tracked to the
sun. The LFRs use long rows of flat or slightly curved mirrors to reflect the sun’s
rays onto a downward-facing linear, fixed receiver. A more recent design, known as
compact linear Fresnel reflectors (CLFRs), uses two parallel receivers for each row
of mirrors and thus needs less land than parabolic troughs to produce a given output.
The LFR systems have a simple design of flexibly bent mirrors and fixed receivers,
which require lower investment costs and facilitate direct steam generation (DSG),
thus eliminating the need for – and cost of – heat transfer fluids and heat exchangers.
Even though these advantages are notable, LFR plants are less efficient than troughs
in converting solar energy to electricity and it is more difficult to incorporate
storage capacity into their design. This is a significant disadvantage that affects the
technology selection in case thermal storage will be selected (ESTELA 2012a, c;
EU-SETIS 2012a, b; IEA/OECD 2012; IEA 2010b; IPCC 2011).
Another commercially available and proven technology is solar towers, also
known as central receiver systems (CRS). These systems are point focus with
fixed receiver and their size is usually between 10 and 50 MW. Solar towers use
hundreds or thousands of reflectors called heliostats, larger than 100 m2 in many
cases, to concentrate the sun’s rays on a central receiver placed atop a fixed tower.
Each mirror tracks the sun on two axes and reflects the light onto a fixed receiver
on top of a tower. The working fluid temperature depends on the type of fluid
that is used to collect the energy and is within the range of 500–600ıC, although
temperatures of more than 1,000ıC can be reached. The commercial tower plants
now in operation use either DSG in the receiver; or molten salts as both the heat
transfer fluid and storage medium. Point-focus collectors such as central receivers
are able to generate much higher temperatures than troughs and linear Fresnel
reflectors. Central receivers can generate temperatures of advanced steam turbines
and can be used to power gas turbine (Brayton) cycles. The concentrating power of
the tower concept presents higher efficiency than the parabolic trough and Fresnel
systems due to the very high temperatures achieved, and the cost of thermal storage
is reduced for the same reason. In addition, the concept presents flexibility as the
engineers can choose from a wide variety of heliostats, receivers, transfer fluids,
and power blocks. Some plants have several towers that feed one power block, as
in case of the Solucar Complex in Seville, Spain, where the first commercial power
station using this technology is located (IEA/OECD 2012; IEA 2010b; ESTELA
2012a, d; EU-SETIS 2012a, b; IPCC 2011; Patel 1999).
Parabolic dishes are point focus with mobile receiver systems that concentrate
the sun’s rays at a focal point propped above the center of the dish using curved
paraboloid-shaped glass mirrors. The entire apparatus tracks the sun, with the dish
and receiver moving in tandem. The parabolic dish tracks the sun throughout the
day and concentrates the radiation onto the heat absorption unit of a Stirling engine.
The focused solar thermal energy is then converted to grid-quality electricity. The
conversion process involves a closed cycle, high-efficiency solar Stirling engine
using an internal working fluid (usually hydrogen or helium) that is recycled through
the engine. The working fluid is heated and pressurized by the solar receiver, which
in turn powers the Stirling engine. This design eliminates the need for a heat transfer
fluid and for cooling water (IEA 2010b; ESTELA 2012d; EU-SETIS 2012b; IPCC
2011; Patel 1999).
Parabolic dishes present very high solar-to-electric conversion performance in
CSP systems. The Stirling engine dish system achieved a 31.25% efficiency rate in
2008. Parabolic dishes are limited in size (typically 10–25 kW) and each produces
electricity independently, which means that hundreds or thousands of them would
need to be co-located to create a large-scale plant. In contrast, other CSP designs can
have capacities covering a very wide range, starting as low as 1 MW. The optimal
size of troughs, LFRs, and towers, typically from 100 to 250 MW, depends on the
efficiency of the power block. Dish Stirling systems are flexible in terms of size and
scale of deployment. They are capable of small-scale distributed power output and
are also suitable for large, utility-scale projects with thousands of dishes arranged in
a solar park. Their modularity allows them to be installed in areas with higher slope
than the other technologies, with greater availability in cases of failure or scheduled
maintenance. In addition to their compact size, their other features include the
absence of cooling water, low compatibility with thermal storage, and hybridization,
which puts parabolic dishes in competition with PV modules as much as with other
CSP technologies. Table 56.1 presents a comparison of the alternative solar thermal
power systems technologies (IEA 2010b; ESTELA 2012a, e; EU-SETIS 2012b;
IPCC 2011; Patel 1999).
Thermal storage is an important attribute of CSP. All CSP plants have some
ability to store heat energy for short periods of time and thus have a “buffering”
capacity, primarily for operational purposes, providing 30 min to 1 h of full-load
storage. This allows them to smooth electricity production and eliminate short-
term variations other solar technologies exhibit during cloudy days or transients
to the grid. Plants are now being designed for 6–7.5 h of full-load storage, which
is enough to allow operation well into the evening when sunlight is very limited or
absent. The concept of thermal storage is simple: throughout the day, excess heat is
diverted to a storage material (e.g., molten salts). When production is required after
sunset, the stored heat is released into the steam cycle and the plant continues to
produce electricity. In thermal storage, the heat from the solar field is stored prior
to reaching the turbine. Storage media include molten salt (presently comprising
separate hot and cold tanks), steam accumulators (for short-term storage only), solid
ceramic particles, and high temperature concrete. The heat can then be drawn from
Table 56.1 Comparison of alternative solar thermal power system technologies (Patel 1999)
Solar concentration Operating temperature Thermodynamic
Technology (x Suns) on the hot side (ı C) cycle efficiency
Parabolic trough 100 300–500 Low
receiver
Linear Fresnel
reflectors
Power tower central 1,000 500–1000 Moderate
receiver
Dish receiver with 3,000 800–1,200 High
engine
the storage to generate steam for a turbine as and when needed. Studies proven
that, in locations with good sunlight (high DNI), extending electricity production to
match this demand requires a storage capacity of 2–4 h. In slightly less sunny areas,
storage could be larger, as it also helps compensate for the somewhat less predictable
resource. The solar field is larger compared with the rated electrical capacity to
ensure sufficient electricity production. As a result, at maximum sunlight power,
solar fields produce more heat than their turbines can absorb, and the produced
heat can be stored. In the absence of storage, on the sunniest hours, plant operators
need to “defocus” some unneeded solar collectors, thereby losing this energy.
Storage avoids this loss of energy while also allowing for extending production after
sunset. For example, some trough plants in Spain store enough heat in molten salts
to produce power at the rated capacity of the turbine (50 MWe) for more than seven
additional hours (IEA/OECD 2012; IEA 2010b; EU-SETIS 2012a, b; IPCC 2011).
2.2 Basic Equipment of Solar Thermal and Cooling Technologies
2.2.1 Non-concentrating Solar Thermal Technologies

Non-concentrating solar thermal technologies have been common for several years
in domestic and tertiary sectors and recently have also been found in industrial
applications. Though a broad variety of non-concentrating solar thermal collectors
are available, the two main types are flat-plate and evacuated tubes. The flat-plate
collectors can be glazed (Fig.56.3) or unglazed (Fig.56.4). A flat plate collector runs
plastic or copper tubing through an insulated, weather-proofed box. Evacuated tube
collectors (Fig. 56.5) are made up of rows of parallel, transparent glass tubes. The
main advantage of vacuum tubes is lower heat loss due to the vacuum. Even though
there are a wide range of solar thermal collector designs, a number of components
are common, independent of design or brand. The absorber is responsible for
collecting the incoming near-infrared and visible solar radiation and is painted
a dark color in order to maximize absorption. Most collectors have an absorber
that also reduces the release of the infrared radiation, ensuring that as much heat
as possible is retained. These are called selective absorbers and present higher
efficiency than the simple absorbers (ESTTP 2007; IEA 2009; IEA/OECD 2012;
IPCC 2011).
Fig. 56.3 Schematic diagram of thermal solar collectors: glazed flat-plate (Arvizu et al. 2011b)
Another common component of all collectors is the circuit through which

the heat transfer fluid flows. The heat exchange efficiency between this circuit and
the absorber must be maximized in order to minimize heat losses and maximize the
system’s efficiency. To achieve this, many designs locate the absorber directly on
the external surface of the hydraulic circuit. Most non-concentrating collectors have
a housing, except for the unglazed collectors that are mainly used for swimming
pool heating. This housing reduces energy losses to the environment from both
the absorber and fluid circuit heat exchanger and protects both elements from
degradation (ESTTP 2007; IEA 2009; IEA/OECD 2012; IPCC 2011). The part
of the housing that faces the sun is transparent, usually glass or transparent
polycarbonate, to allow solar radiation to reach the absorber. Here, a distinction can
be made between flat-plate collectors and evacuated tube collectors (IEA/OECD
2012; IPCC 2011).
In flat-plate collectors, the housing is a shallow box, comprising a casing (usually
aluminum, galvanized steel, or hard plastic), insulation material (mineral or rock
wool are commonly used) or vacuum to reduce thermal losses on the back of
the collector, and one or two transparent layers of low-iron, tempered solar glass
(sometimes including an antireflective coating that increases transmissivity of the
cover) (ESTTP 2007; IEA/OECD 2012; IPCC 2011).
In the evacuated tube collectors, the housing is completely different. The
absorber is enclosed in a glass tube with vacuum inside and thus the heat losses to
the environment are very low (a heat transfer medium is not present). Evacuated
tube collectors are usually classified as direct flow tubes and heat pipe tubes.
The most popular direct flow tube is the Sydney tube, also known as a twin-glass
tube or thermos flask tube. The Sydney tube is the primary solar thermal product in
China and its main feature is that the vacuum is located between two glass tubes
that are fused together. The outside of the inner tube is coated with a selective
surface. Where the load requires higher temperatures and the ambient temperatures
are lower, well-insulated evacuated tube collectors perform better. They also work
Fig. 56.4 Schematic diagram of thermal solar collectors: unglazed tube-on-sheet and serpentine
plastic pipe (Arvizu et al. 2011c)
better than flat-plate collectors in low irradiation conditions, so are most suitable in
locations with overcast skies (ESTTP 2007; IEA/OECD 2012; IPCC 2011).
Solar irradiation is also used for air heating applications. Solar air heating
systems collect the sun’s energy in an absorbing medium and use it to heat air.
This heated air can be used in process heat applications, for example, for drying or
preheating, and in buildings for space heating or air conditioning. The collectors of
solar air heating systems are commonly divided into two basic categories: unglazed
and glazed. Unglazed air collectors consist of a metal or plastic absorber without a
covering. They are commonly used to heat ambient air for commercial, industrial,
agricultural, and process applications. Glazed air collectors are usually used to heat
recirculating (conditioned) building air and are primarily for space heating. These
collectors often have an energy collecting surface integrated into the building’s
façade (IEA/OECD 2012; IPCC 2011).
ter
d Wa
Heate
Insulation
y
Energ sfe r Copper
Solar Tran
Heat Sleeve in
sfe r Manifold
Tran
Heat Aluminium
op
e s to T Header
r Ris
Vapo Botto
m Casing
rns to
uid Retu
ens ed Liq
Cond Copper
Manifold
Vacuum Indicator Evacuated Glass Tube Evacuated Heat Pipe
Fig. 56.5 Schematic diagram of thermal solar collectors: evacuated-tube collectors (Arvizu et al.
2011d)
The most commonly used solar collectors have a nominal peak thermal power
production of 0.7 kWth /m2 . This is a nominal peak power value, whereas the actual
thermal energy production varies depending on the installation parameters and the
available solar radiation. Other parameters affecting the thermal energy production
from the collector areas in operation are the outside temperature, the application,
and the solar thermal technology used. Typical examples of the estimated annual
thermal production for glazed flat-plate collectors are 1,000 kWhth /m2 in Israel,
700–1,000 kWhth /m2 in Australia, and 525 kWhth /m2 in Germany (ESTTP 2007;
IEA/OECD 2012; IPCC 2011; Philibert 2006).
2.2.2 Concentrating Solar Thermal Technologies

Concentrating solar technologies focus sunlight from a large aperture area onto a
small area by means of lenses or mirrors. When the concentrated light is converted
to heat, very high temperatures can be produced: the higher the concentration
ratio, the higher the maximum temperature. High-concentrating, sun-tracking solar
technologies are mainly used to produce high-temperature heat to drive steam
turbines and produce electricity. However, these high temperatures can also be used
in heat applications; or waste or surplus heat can be utilized in combined heat
and power (CHP) installations. Concentrating solar thermal collectors generally
need to track the sun in one or two axes in order to present high efficiency and
concentration. Only devices with very low concentration can be mounted stationary
or with simply seasonal tracking (ESTELA 2012a; EU-SETIS 2012a; IEA/OECD
2012; IEA 2010b; IPCC 2011).
The solar energy used by high-concentrating solar technologies is measured as
direct normal irradiance (DNI), which is the energy received directly from the sun
on a surface tracked perpendicular to the sun’s rays (IEA 2010a). Concentrating
solar technologies require clear skies and sufficient DNI to reach high levels of
performance. This requirement limits the areas for feasible and viable implemen-
tation of such technologies. A compound parabolic concentrator (CPC) is also
available, which is reflector that uses most of the diffuse radiation, not just direct
radiation. This reflector type is used with both non-evacuated flatplate collectors and
evacuated tube collectors. The CPC is typically designed for a concentration ratio
<2, which allows for stationary mounting and does not necessarily require tracking
systems. A special CPC design is the so-called maximum reflector collector,
which can achieve higher efficiencies in spring and autumn while preventing
overheating in summer due to an asymmetric reflector trough. This concentrator can
be used in expanded areas considering other concentrating technologies, as diffused
radiation is used (ESTELA 2012a; EU-SETIS 2012a; IEA/OECD 2012; IEA 2010b;
IPCC 2011).
2.2.3 Solar Cooling Technologies

Solar cooling technologies use the heat produced by the sun’s radiation to create
cooling conditions through a thermally driven cooling process. In solar cooling,
there are two main thermally driven processes, the closed-cycle and the open-cycle
processes. In closed-cycle processes, thermally driven sorption chillers are used to
produce chilled water for space conditioning equipment, such us, but not limited
to, air-handling units, fan coils, and chilled beams. The open-cycle processes, also
known as desiccant evaporative cooling systems (DEC), typically use water as the
refrigerant and a desiccant as the sorbent for direct treatment of air in a ventilation
system (IEA/OECD 2012; IPCC 2011).
Two types of sorption processes exist in closed-cycle systems: adsorption-
and absorption-based systems. Based on closed-cycle sorption, the basic physical
process applying both technologies involves at least two chemical components, one
of them serving as the refrigerant and the other as the sorbent. Common absorption
cooling pairs are ammonia-water and water-lithium bromide, with many sorption
chillers available commercially at capacities over 100 kWth but few at capacities of
100 kWth or less (IEA/OECD 2012; IPCC 2011). The efficiency of closed-cycle
systems can vary depending on the driving temperature: the higher the driving
temperature, the higher the coefficient of performance (COP). With driving temper-
atures around 70–100ıC, the COP is around 0.7; whereas with driving temperatures
around 150–180ıC the COP can reach 1.1–1.2. One significant advantage of closed-
cycle systems is that the produced cold water can be supplied to any type of
air-conditioning equipment (IEA/OECD 2012; IPCC 2011; SOLAIR 2009).
The open cooling cycle systems produce conditioned air directly. Thermally
driven open cycle cooling systems are based on a combination of evaporative
cooling and air dehumidification by a desiccant, usually a hygroscopic moisture-
absorbing material. Solid desiccant cooling systems are mature commercial tech-
nologies and have reached a visible market penetration in some areas, such as
the United States. In general, desiccant cooling systems represent a sustainable
option for centralized ventilation systems, offering the ability to use the sun’s
energy to pre-treat air entering a conditioned space (IEA/OECD 2012; IPCC 2011;
SOLAIR 2009).
2.2.4 Supporting Technologies for Solar Heating and Cooling

In solar heating and cooling systems, there are related and enabling technologies
that can support these systems and improve their operation. Although these are not
necessarily required for system operation, they can play an influential role in the
potential applications, market consideration, and perception of solar heating and
cooling technologies. For example, the addition of a thermal storage component in
the system extends operational hours and improves market perceptions, and if the
storage system is an improved one with acceptable cost, then the market perceptions
are even more improved. Improvements in electrical equipment and control systems,
focusing on minimization of electricity consumption and performance increment,
can increase the cost effectiveness of solar heating and cooling systems (IEA/OECD
2012; IPCC 2011; SOLAIR 2009).
Heat storage devices store the heat absorbed by solar thermal collectors so that
it can be utilized when the load is required. Storing solar heat means actually
keeping the heat absorbing fluid warm enough for the application that the system
is installed for (e.g., domestic space heating and cooling and hot water). For 1 or
2 days, this is a very common practice with acceptable cost for conventional hot
water usage. Seasonal heat storage can be important in climates with prolonged
periods of seasonally low solar irradiation levels, where heat storage would ideally
need to be able to bridge several months. In countries with high irradiation and
long summers, seasonal storage could replace other heating systems entirely. Higher
storage capacity obviously enables higher utilization of solar thermal energy (solar
fraction), thus this is a parameter that should be considered in order to increase the
use of solar thermal and cooling systems (ESTTP 2007; IEA/OECD 2012; IPCC
2011; SOLAIR 2009).
Considering heat’s physical process, there are four main types of thermal energy
storage technologies that can be identified: sensible heat storage, latent heat storage,
sorption heat storage, and thermochemical heat storage (ESTTP 2007; IEA/OECD
2012; IPCC 2011; SOLAIR 2009).
Sensible heat storage systems use the heat capacity of a material; when heat is
stored, the material’s temperature increases. The vast majority of market-available
systems are sensible heat storage systems and use water as a heat storage and
transfer medium. Storing sensible heat at temperatures higher than 100ı C requires
pressurized liquid water or other materials such as concrete or molten salts. In the
case of air collectors, the heat can be stored in rock beds or other thermal mass
(ESTTP 2007; IEA/OECD 2012; IPCC 2011; SOLAIR 2009).
Latent heat storage systems utilize the phase-change properties (melting or
evaporation) of a material. In small temperature ranges, latent heat storage systems
are usually more compact than the water heat storage systems. The most commonly
used latent heat storage technologies are low-temperature storage systems in
building structures to improve their thermal performance, or in cold storage systems
Sorption heat storage systems are still in development and only a few have
been placed on the market. These systems use water vapor uptake by a sorption
material that can be either a solid or a liquid. In principle, sorption heat storage
Solar Solar
A Close-Coupled Collector Energy
Solar Water
Heater
Solar Energy
To Taps
Controller
Tank
Boiler
Arrows Show Cold

Direction of Water Water
Flow Through Copper Feed
Pipes When the Sun
Pump
Heats the Collector Panels.
Fig. 56.6 Generic schematics of thermal solar systems. Left: passive (thermosiphon). Right:
active system (Arvizu et al. 2011e)
densities can be more than four times higher than sensible heat storage in water,
and thus their commercial development will increase the capabilities of heat storage
in solar heating and cooling systems (ESTTP 2007; IEA/OECD 2012; IPCC 2011;
SOLAIR 2009).
Thermochemical heat storage systems store energy through a chemical reaction.
Most common thermochemical storage systems present storage densities 8–10 times
higher than water, while there some chemicals that present densities that can be even
20 times higher than water. This storage technology is still in the development stage
and few systems have been demonstrated. Salts existing in anhydrous and hydrated
form are the materials under investigation for implementation on these technologies
Solar thermal systems in building applications come in two main types: ther-
mosiphon or natural circulation and pumped (forced circulation) systems (Fig. 56.6,
Arvizu et al. 2011e). Thermosiphon systems, common in frost-free climates, operate
using the law of physics that states that heated liquids are lighter than cooler ones
in order to circulate the heat transfer fluid to the heat storage. This avoids the
need for pumping, but requires that the heat storage needs to be placed above the
collector, limiting its size because of the weight. These systems do not consume
energy for fluid recirculation, but they could present heat losses if they are not
well insulated. Pumped circulation systems allow the separation of the collector
and the heat storage, so the storage can be placed within the dwelling. They are
more complicated because they require pumps and a control system to optimize
operation. Both the control system and the pump (or pumps) consume electricity.
The ancillary solar equipment consists of a controlling microprocessor, temperature
sensors, and actuators (typically pumps and valves). The maximization of the
system’s output and minimization of components losses and consumption are the
critical parameters to optimize the system and maximize efficiency. Here it must be
noted that solar thermal systems are always a part of a larger heating, ventilation,
and cooling (HVAC) system, which is also a part of a larger system, usually a
building. Technologies aiding the integration of solar heating and cooling systems
into HVAC systems installed in buildings are important factors in widespread
deployment of solar heating and cooling systems and will support the effort for a
cleaner more sustainable environment (ESTTP 2007; IEA/OECD 2012; IPCC 2011;
SOLAIR 2009).
2.3 Basic Equipment of Photovoltaic Systems and Types

of Installations
Photovoltaics are of great interest because the sun freely provides light in huge
quantities and it is expected to shine for the next 4–5 billion years. There is
more than enough solar irradiation available to satisfy the world’s energy demands.
According to several studies (EPIA-Greenpeace 2011; Luque and Hegedus 2003;
Sen 2008; Šúri et al. 2007), the earth is exposed to enough sunlight to generate
annually, using currently available technology, electricity with an average value
equal to 1,700 kWh/m2 of land. A large amount of statistical data on solar energy
reaching earth’s surface has been collected globally for many years and for many
areas. For example, the US National Solar Radiation database contains 30 years
of solar irradiation and meteorological data from 237 US sites. The European
Joint Research Centre (JRC) also collects and publishes European solar irradiation
data from 566 sites (EPIA 2011). Figure 56.7 presents the solar irradiation and
photovoltaic power generation potential in the EU in kWh/kWp of installed power,
as given by Šúri et al. (2007) and the JRC. Higher solar irradiation corresponds to
higher power generation potential. Europe receives average annual energy around
1,200 kWh/m2 , while the Middle East received 1,800–2,300 kWh/m2 per year. Even
though only a rather small part of solar irradiation can be used for electricity
production, this “efficiency loss” does not actually waste a finite power resource,
as with the use of fossil fuels. The reduced efficiency, however, has an impact
on the cost of the PV systems (EPIA 2011; EPIA-Greenpeace 2011; Sen 2008;
Šúri et al. 2007).
Photovoltaic (PV) systems consist of cells that convert sunlight into electricity.
Each of these cells is manufactured by layers of a semi-conducting material,
specially produced in order to develop an electric field across the layers when
sunlight falls on the cell. This electric field causes electricity flow and thus power
is produced. The electric field is generated by the following mechanism (EPIA-
Greenpeace 2011; Luque and Hegedus 2003; Sen 2008): When the cell is exposed
to light, photocarriers are generated and this carrier separation within the cell layers
produces a photovoltage and charge motion produces a photocurrent, which runs in
reverse through the diode junction (Lotsch et al. 2005; Luque and Hegedus 2003;
Rocket 2010; Sen 2008). The sunlight’s intensity determines the amount of electrical
power each cell generates. A photovoltaic system does not need bright sunlight in
order to operate. It can also generate electricity on cloudy and rainy days from
Fig. 56.7 Solar irradiation and photovoltaic power generation potential in the EU (JRC, Šúri et al.
2007)
reflected sunlight (EPIA-Greenpeace 2011; Luque and Hegedus 2003; Sen 2008).
A typical rooftop PV installation is shown in Fig. 56.8.
The basic and key parts of a solar electricity generation system are the photo-
voltaic modules to collect and transform the sunlight and the inverter to transform
the produced direct current (DC) to alternate current (AC). The support structures to
orient the PV modules towards the sun and the system components required for the
connection of the PV to the grid are also required. Where the PV system is a stand-
alone one, a set of batteries with a regulator–charger is also required. The system
components, excluding the PV modules, are referred to as the balance of system
(BOS) components (EPIA 2011; EPIA-Greenpeace 2011; Greenpeace 2008; Lotsch
et al. 2005; Luque and Hegedus 2003).
The solar cell is the basic unit of a PV system. PV cells are generally made either
from crystalline silicon, sliced from ingots or castings, from grown ribbons, or from
alternative semiconductor materials deposited in thin layers on a low-cost backing
Fig. 56.8 Rooftop installation (2011) over ceramic rooftiles in Kalivia – Attica Greece. Installed
power 9.46 kWp (Courtesy of ArvisSolar Ltd)
(thin film). Cells are connected together to form larger units called modules. Thin
sheets of ethyl vinyl acetate (EVA) or polyvinyl butyral (PVB) are used to bind cells
together and to provide weather protection. The modules are normally enclosed
between a transparent cover (usually glass) and a weatherproof backing sheet
(typically made from a thin polymer). Modules can be framed for extra mechanical
strength and durability. Thin film modules are usually encapsulated between two
sheets of glass (EPIA 2011; EPIA-Greenpeace 2011; Greenpeace 2008; Krauter
2006; Lotsch et al. 2005; Luque and Hegedus 2003).
The typical connection between modules is an array, where they are connected to
each other in series in order to increase the output voltage produced by the system.
The current produced by the system is increased when the arrays are connected in
parallel. The connections present similarities with the batteries’ connection types
to increase the output voltage and current of a battery system (EPIA 2011; EPIA-
Greenpeace 2011; Krauter 2006; Luque and Hegedus 2003). The power generated
by PV modules depends on the module size, the power density measured in Wp/m2 ,
and the technology used and varies from a few watts (typically 20–0 Wp) up to
300–350 Wp per module. Low-wattage modules are typically used for stand-alone
applications where power demand is generally low. Standard crystalline silicon
modules contain about 60–72 solar cells and have a nominal power ranging from
120 to 320 Wp depending on size, efficiency, and power density. Standard thin film
modules have lower nominal power (60–150 Wp) and their size is generally smaller.
Modules can be sized according to the site where they will be placed and installed
quickly, but typically standard dimensions, almost common to any manufacturer,

are used when a system is designed. They are robust, reliable, and weatherproof.
Module producers usually guarantee a power output of at least 90% and 80% of the
Wp, even after 10 and 20–25 years of use, respectively. Module lifetime is typically
considered to be 25 years, although it can easily reach over 30 years (EPIA 2011;
EPIA-Greenpeace 2011; Greenpeace 2008; Krauter 2006; Lotsch et al. 2005; Luque
and Hegedus 2003).
Inverters are required in every PV installation. They convert the DC power
generated by a PV module to AC power in order to make the system compatible
with the electricity distribution network and most common electrical appliances.
The inverter is essential for grid-connected PV systems. Inverters are offered in
a wide range of power classes, ranging from a few 100 W (normally for stand-
alone systems) to several kW (the most frequently used range) and even up to
2 MW central inverters for large-scale systems. Usually, inverters of up to 8 kW
are one phase, meaning that the output AC voltage is one phase, whereas over
8 kW the inverters usually provide three-phase symmetrical output AC voltage.
In the case of large inverters over 250 kW, these central inverters have output
AC voltage symmetrical three-phase medium voltage, ready for connection to the
local medium voltage distribution network (EPIA 2011; EPIA-Greenpeace 2011;
Greenpeace 2008; Krauter 2006; Lotsch et al. 2005; Luque and Hegedus 2003;
SMA 2012).
Inverters are produced by many manufacturers around the world, and they present
typical values of efficiency of around 95–98% depending on the manufacturer and
input voltage and current of the PV system. Differences of 2% are critical for the
total power produced by the PV system, especially for the grid-connected ones.
If the inverters include transformers then their total efficiency is decreased by a small
percentage of around 3–5% depending on the transformer’s power losses, and thus
the total efficiency of such an inverter is around 91–93% (EPIA 2011; Greenpeace
2008; Krauter 2006; SMA 2012).
The PV module’s output increases with the solar radiation and decreases with
the temperature increase, while other parameters also affect the operation (ambient
temperature, wind velocity, atmospheric conditions, etc.). In every condition the
maximum output power of the module is different. The inverters should have an
important function: to convert the maximum achievable energy under different
conditions. In order to perform this operation, an intelligent control system is
required to set the optimum operating point for every inverter under different
conditions (EPIA-Greenpeace 2011; Lotsch et al. 2005; Sen 2008; SMA 2012).
Modern inverters are always able to achieve the maximum performance from the
solar modules despite different radiation levels. A procedure that measures the PV
generator’s current achieved potential at fixed intervals, thus allowing the generator
to be operated as continuously as possible at its MPP (maximum power point), is
included in the inverters. During MPP tracking, the inverter’s internal resistance
undergoes very small changes at specific time intervals, which simultaneously
change both the voltage and the current values of the PV generator. The change in
both of these parameters directly affects the generator’s output power. If this output
power increases, the inverter retains the new voltage and current values. If the PV
generator loses power, the inverter continues operating with the original values until
the next measuring interval. MPP tracking operates extremely reliably and all well-
known inverter manufacturers use it. Recently, some larger inverters (over 8 kW)
have divided their power input connector in two sections and incorporated two MPP
systems (EPIA 2011; EPIA-Greenpeace 2011; JRC 2010; SMA 2012).
In cases where the PV system is not connected to the electricity grid, the system
is considered to be stand-alone. In order for such a system to supply electricity for
consumption, additional systems are required for storing the excess energy produced
by PV system so that it can be used when production is lower or when there is no
production. The equipment required includes batteries and charge controllers. Lead
acid batteries are typically used in such installations due to lower cost and relative
high operational life, although new high-quality batteries, designed specifically for
solar applications and with a life of up to 15 years, are now available. Batteries are
connected to the PV array via a charge controller. The charge controller protects
the batteries from overcharging or discharging and monitors the condition of the
batteries. The controller can also provide information about the state of the system
or the electricity consumption. The controller has a significant role in the system
because it manages the batteries’ charging and discharging conditions, and thus
affects the actual lifetime of the batterie (EPIA 2011; JRC 2010; Krauter 2006;
Lotsch et al. 2005; SMA 2012).
PV systems as they have been described previously can be divided in two main
types based on their installation, that is, whether they are grid connected or are
off-grid or stand-alone installations. The off-grid or stand-alone installations can be
divided further based on whether they are used for domestic consumption or non-
domestic consumption. The grid-connected systems can be divided in distributed PV
systems and centralized PV systems (EPIA 2011; EPIA-Greenpeace 2011; Krauter
2006; Lotsch et al. 2005; Zahedi 2006).
Off-grid domestic photovoltaic systems provide electricity to households and
villages located in rural areas that are not connected to the national electricity
grid. Theses PV systems are usually designed to provide electricity for lighting,
refrigeration, and other low-power domestic loads. The systems require all the
equipment previously mentioned. These types of PV systems have been installed
in thousands of places worldwide and they are often the most appropriate tech-
nology to meet the electricity demands of off-grid communities. Off-grid domestic
systems are typically around 2–3 kW per household, in size and generally offer
an economic alternative to extending the electricity distribution grid (EPIA 2011;
EPIA-Greenpeace 2011; Krauter 2006; Lotsch et al. 2005; Zahedi 2006).
Off-grid non-domestic PV systems are common in many applications requiring
small amounts of electricity and the distribution network is far, and the PV
commercial cost is competitive with other small generating sources. These systems
were the first commercial application for terrestrial PV systems. They provide power
at a low maintenance for a wide range of applications, such as telecommunications,
water pumping, vaccine refrigeration, and navigational aids. In recent years, this
type of installation has also been used to supply illumination installations such
as street lights, plaza lights, and so on in urban areas in an effort to reduce the
use of electricity from fossil fuels (EPIA 2011; Krauter 2006; Lotsch et al. 2005;
Zahedi 2006).
Grid-connected distributed photovoltaic systems are usually installations up
to few hundreds of kW in size. These installations are typically residential or
commercial and are connected to the electricity grid. In most of cases, the electricity
produced by the PV is fed back to the utility grid, while the consumption is
covered by the grid. In some cases, the PV system covers part of the whole of
the consumption, and if there is additional need for electricity this is covered by
the grid, or electricity is fed back into the utility grid when the on-site generation
exceeds the demand of the load. These systems are usually integrated into the
built environment and supply electricity to residential houses and commercial and
industrial buildings. The costs of these systems are lower compared with an off-grid
installation because there is no need for battery storage in these PV systems (EPIA
2011; EPIA-Greenpeace 2011; Krauter 2006; Lotsch et al. 2005; Zahedi 2006).
Grid-connected centralized photovoltaic systems or large industrial and utility-
scale power plants are large PV installations requiring huge free spaces. These types
of PV electricity generation plants present installed power from many hundreds
of kilowatts (kW) to several megawatts (MW). The solar panels for industrial
systems are usually mounted on frames on the ground or are installed on large
industrial buildings such as warehouses, airport terminals, or railway stations. These
systems can make double-use of an urban space and provide electricity into the grid
where energy-intensive consumers are located, strengthening the utility distribution
network locally. These systems can produce enormous quantities of electricity
at a single in an environmentally friendly manner. They are also installed as an
alternative to conventional centralized power generation or adjacent to central power
stations powered by fossil fuels to reduce the emissions by the stations (EPIA 2011;
EPIA-Greenpeace 2011; Krauter 2006; Lotsch et al. 2005; Zahedi 2006).
3 Applications of Solar Energy
The sun has produced energy for billions of years and it is expected to continue
for a few billion more. Solar energy is the radiant light and heat from the sun. This
energy can be converted into other forms of energy, such as heat and electricity,
using the appropriate equipment. Solar energy technologies include solar heating
and cooling, solar electricity, and solar daylight architecture (EPIA-Greenpeace
2011; Greenpeace 2008; IEA/OECD 2012; IPCC 2011).
3.1 Sanitary Hot Water
Small-scale, low-temperature solar thermal systems can supply heat for domestic
hot water. The collectors can be installed in various kinds of systems almost always
including a hot water tank. Individual domestic hot water systems have a collector
size between 3 and 6 m2 , with storage of between 150 and 300 L. These systems
work either with thermosiphon (natural circulation) or pumped (forced circulation)
systems, usually in cases where the storage cannot be installed over the collectors.
Natural flow systems (thermosiphon, monoblock, or with separate collector and
storage areas) work without any need for pumps or control stations. Solar domestic
hot water systems can be designed to cover from 30%, in combination with a
back-up system, to close to 100% of domestic hot water demand, depending
on collector area, storage size, and climate. The backup is usually electricity in
industrialized countries, or even biomass and fossil fuels, but in a majority of
systems in developing countries, solar water heaters are often the sole source of hot
water (ESTTP 2007; Greenpeace 2008; IEA 2009; IEA/OECD 2012; IPCC 2011;
Philibert 2006; Singhal 2011; Weiss and Mauthner 2012).
3.2 Solar Systems for Combined Sanitary Hot Water and

Space Heating
Solar heating systems for combined domestic hot water and space heating, also
called “combisystems,” are almost identical to solar heaters for sanitary water. These
systems present the same type of collectors and the circuit for transporting the
produced heat to the storage. The basic difference is the usually required pumped
(forced circulation) systems. A solar combi-system requires a larger collector
area and generally larger storage to meet the space heating needs, considering
that sanitary hot water averages only 20% of the total space and water heating
demand in existing buildings in OECD countries. These systems always use an
auxiliary energy source, typically biomass or fossil fuels, to cover the part of the
heating demand not covered by the solar thermal system. In typical single-family
homes in a mid-European climate, such systems can provide energy savings (non-
renewable energy) in the range of 25–30%. In central and northern EU countries
(e.g., Germany, Austria) where combi-systems account for around 50% of annually
installed capacity, the use of solar combi-systems is not widespread. One reason for
this is the lack of low-cost compact thermal storage. Here it must be noted that these
systems are well suited to middle and high latitudes, due to significantly higher solar
radiation in the transitional periods around winter (September–October and March–
May) and the significant heating demand in these latitudes at that time (ESTTP
2007; Greenpeace 2008; IEA 2009; IEA/OECD 2012; IPCC 2011; Philibert 2006;
Singhal 2011; Weiss and Mauthner 2012).
3.3 Large-Scale Solar Systems for Building Heating and Cooling
Solar thermal systems supplying heating or even cooling to the building sector
can also be found in large-scale applications used for district heating, mainly in
multifamily buildings or even tertiary sector buildings. These systems have several
collector areas, which can vary from tens to hundreds of square meters and also
have large storage systems. These systems now have an important share in some
European markets such as in France (ESTTP 2007; IEA/OECD 2012; IPCC 2011;
Philibert 2006; Uniclima 2012). Solar energy is an attractive low-cost source of heat
for district heating systems, where typical working temperatures range from 30ı C
to around 100ı C for water storage. Important factors include the high cost of fossil
fuels and biomass that allows rather small payback times, as well as environmental
concerns related to greenhouse gas emissions. Large-scale solar thermal plants
can also be used if thermally driven district cooling systems are implemented.
The large scale of the solar collector fields and associated storage offer improved
economics due to a better ratio of storage volume to collector surface (ESTTP 2007;
IEA/OECD 2012; IPCC 2011; Philibert 2006; Uniclima 2012).
3.4 Solar Heat for Industrial Process
A significant number of industrial processes require heat at temperatures <120ıC

and therefore solar thermal technologies can be utilized to cover these needs.
This provides a strong potential for market expansion for solar heating and cost
reduction for industries while also making production lines more environmentally
friendly. The required equipment for low-temperature industrial applications is
the same as in large-scale district heating solar systems that have been on the
market for many years, typically flat-plate or evacuated tube collectors. Typical
industrial sectors that could utilize solar heating in their processes are transport
equipment, machinery, mining and quarrying, food and tobacco, and textiles and
leather. Many processes and activities common to these sectors can use solar thermal
systems, such as washing, leaching (mining industry), cooking, drying, preheating
of boiler feed water, and space heating in industrial buildings. Solar crop drying, an
important agricultural process in developing countries, can also use much simpler
collectors, such as perforated roof panels through which air is drawn via small
openings in the panels and then ducted to feed the dryers. Industrial applications
requiring medium- or high-temperature applications can utilize concentrating solar
heating technologies, with the limitations to areas with relatively high DNI. These
technologies require modifications in many cases in order to become suitable for
industrial processes due to the fact that concentrating solar technologies are, up
to now, designed for power production (ESTELA 2012a; ESTTP 2007; EU-SETIS
2012b; IEA 2010b; IEA/OECD 2012; IPCC 2011; Philibert 2006).
3.5 Water Treatment and Seawater Desalination
There are a lot of regions around the earth that experience water shortages, and
the need for water desalination is expected to continue growing. These regions
often have high solar resources and DNI. These solar resources can provide a
notable advantage in desalination processes that are thermally driven. In these
areas, concentrated solar thermal technologies can be used for thermal desalination
processes such as distillation. Distillation is preferred for more saline water over
reverse osmosis technology. Furthermore, the use of solar resources greatly reduces
the desalination’s energy cost, a process that is energy intensive and thus costly
(ESTELA 2012a; IEA 2010b, 2011; IEA/OECD 2012; IPCC 2011; Philibert 2006).
3.6 Solar Cooking
The application of solar thermal energy in cooking, known as solar cooking, is a

successful application in a number of contexts, such as community cooking in India.
In India, concentrating technology is used to directly heat a pan or to produce steam
for large-scale kitchen serving, where, according to Singhal (2011), this technology
can serve up to 10,000 people a day. However, recorded experiences with solar
cooking are mixed due to mismatches with traditional cooking habits and increased
cooking times (IEA/OECD 2012; IPCC 2011; Singhal 2011).
3.7 Swimming Pool Heating
Swimming pools are an interesting application for solar thermal systems. In the
EU, North America (United States and Canada), and Australia this application is a
growing solar thermal application. The sun’s energy heats the water collectors and
can yield a temperature increase of up to 20ı C compared with the environment, even
though the common increment is around 10ı C. In North America and Australia,
unglazed water collectors for swimming pool heating are the dominant application
of solar thermal technology (IEA/OECD 2012; IPCC 2011; Weiss and Mauthner
2012).
3.8 Solar Cooling Applications
Solar heat utilization in building space cooling is a promising new application

of solar systems. It presents a significant advantage compared with other solar
thermal applications because there is a natural match between the availability
of maximum solar irradiance and the peak demand for cooling, particularly in
commercial buildings. Some solar cooling technologies such as desiccant cooling
can extend comfort by also managing humidity levels. A number of closed heat-
driven cooling systems have been built using solar thermal energy as the main source
of heat. These systems often have large cooling capacities of up to several hundred
kW. Since 2000, a number of systems have been developed in the small-capacity
range, below 100 kW, and, in particular, below 20 kW and down to 4.5 kW, with a
total solar collector area of about 24,000 m2 and a total capacity of about 9 MW
chilling power. Industrial refrigeration, such as in the food processing sector, is
also an attractive candidate for solar thermal air conditioning technology, but closed
heat-driven cooling cycles and high-efficiency systems (higher COP and thus higher
temperature difference) are required (IEA/OECD 2012; IPCC 2011; Philibert 2006).
3.9 Solar Thermal Electricity
The basic concept of solar thermal power is relatively simple: concentrating solar
power devices concentrate energy from the sun’s rays to heat a receiver to high
temperatures. This heat is transformed first into mechanical energy (by turbines or
other engines) and then into electricity. Even though the first commercial plants
began operating in California in the period from 1984 to 1991, supported by
federal and state tax incentives and mandatory long-term power purchase contracts,
there was over a decade without almost any market development. Starting in
2006, new installations in Spain and the United States, in response to government
measures such as feed-in tariffs (Spain) and policies obliging utilities to obtain
some share of power from renewables, largely from solar, re-merged the market.
These installations are always rather large ones, over a few MW of installed power,
connected to the grid, providing electricity to several thousands of households. Due
to the requirements for high values of DNI these can be installed only in areas
included in the sun’s belt, a large-scale area that extends from latitudes 35ı N to
35ı S. But even though this area is limited, the potential for electricity from CSP is
great enough that the power demand of numerous countries can be satisfied. As an
example, a small part of North Africa in the Sahara Desert is enough to produce
the electricity needs of all of Europe. The potential of investments and applications
towards a more sustainable and carbon-free future Are significant (ESTELA 2012a;
EU-SETIS 2012a; Greenpeace 2008; IEA 2010b, 2011; IEA/OECD 2012; IPCC
2011; Philibert 2006).
3.10 Solar Electricity: Photovoltaics
Photovoltaic systems are widespread around the world. They provide electricity in
small houses and villages in rural areas and powering research facilities spread
in every corner of the planet. They are building-integrated, installed in buildings’
rooftops, and there are also large-scale utility-size installations. These facilities can
be found as grid connected or off-grid or stand-alone installations. The off-grid
or stand alone installations can be divided further considering if they are used for
domestic consumptions or non domestic consumptions. The grid-connected systems
can be divided in distributed PV systems and centralized PV systems. The off-grid
photovoltaic systems are usually located in rural areas that are not connected to the
national electricity grid. These types of PV systems have been installed in thousands
places worldwide and they are often the most appropriate technology to meet the
electricity demands of off-grid communities and a wide range of applications, such
as telecommunication, water pumping, vaccine refrigeration, and navigational aids.
Recent years this type of installation is used to supply illumination installations
such as street lights, plazas’ lights, etc. inside urban areas, in an effort for reducing
the use of electricity from fossil fuels (EPIA 2011; EPIA-Greenpeace 2011; IPCC
2011; Krauter 2006; Lotsch et al. 2005; Zahedi 2006).
4 Solar Power Systems: Installed Capacity Worldwide
4.1 CSP Installed Capacity Worldwide
Concentrating solar power systems have been commercially available since the
middle of the 1980s. The first new major concentrated solar thermal electricity
plants were Nevada Solar One, with an installed capacity of 64 MW in the United
States, and the PS 10 plant of 11 MW in southern Spain, built in 2007. Spain’s
Central Government with the Royal Decree 661/2007, dated 25 March 2007,
provided a driving force for the current CSP plant construction and the ambitious
expansion plans, through a guaranteed feed-in tariff of 0.269 e/kWh for 25 years.
This has made Spain the world leader in installed CSP capacity (ESTELA 2012a;
EUROBSERV’ER 2012b; EU-SETIS 2012a, b; IEA 2010a, 2011; IPCC 2011;
REN21 2012).
At the end of spring 2010, the cumulative capacity of all CSP plants was about
867 MW, with another 1,170 MW under construction. In addition, another 8 GW
are in the planning stage for realization in 2015. The CSP market continued its
steady growth during 2011, following the trend of the past few years. More than
450 MW of CSP was installed, increasing total global capacity by 35% to just over
1,760 MW. The majority of CSP facilities currently under construction are located
in Spain. Spain is leading the global market with 1151.4 MW in operation in 2011
(EUROBSERV’ER 2012b), corresponding to over 65% of the globally installed
power, and this dominance is expected to continue over the coming years as projects
with a total capacity of 15 GW have applied for interconnection. This is in line with
the European Solar Industry Initiative, which aims at a cumulative installed CSP
capacity of 30 GW in Europe, of which 19 GW would be in Spain. Also in Spain,
the first CSP plant with 24-h power production, under certain conditions, has been in
operation since 2011, mainly due to a 15-h storage capability (Fig. 56.9) (ESTELA
2012a; EUROBSERV’ER 2012b; EU-SETIS 2012a, b; IPCC 2011; REN21 2012).
The second largest market for CSP, with an installed capacity in 2011 of
28.8% of global power, is the United States, with 507 MW in operation. The first
commercially available CSP installation was located in the United States. In addition
to the installed capacity, an additional 1.3 GW of CSP is under construction.
In the rest of the world, around 100 MW of installed CSP plants were in
operation at the end of 2011. Algeria has 25 MW in operation, Egypt and Morocco
20 MW each, Iran 17 MW, Thailand 9.8 MW, Italy 5 MW, Australia 3 MW, and
India 2.5 MW. In the coming years, the installed CSP capacity is expected to rise
further globally, as many countries are planning or have under construction CSP
plants. In some cases, these CSP facilities are integrated with coal- or gas-fired
plants (hybrid systems) or with biomass power plants. These hybrid systems present
Fig. 56.9 Gemasolar plant in operation: central tower, salt receiver, and heliostat technology,
19.9 MW rated power and 110 GWh of annual production, located in Andalusia, Spain (Courtesy
of Torresol Energy)
many advantages, especially the 24-h operation and reduced emissions, and seem
attractive to the markets (ESTELA 2012a; EUROBSERV’ER 2012b; EU-SETIS
2012a, b; IPCC 2011; REN21 2012).
Parabolic trough plants dominated in the early stages and continue to do
so, having a share of almost 90% of the installed plants. However, competing
technologies, especially linear Fresnel reflectors, present lower costs and power
towers can achieve higher temperatures and thus higher efficiency, and are emerging
for these reasons. Market trends tend to have more or less equal shares all these
three technologies for CSP in large-scale installations, even though dish systems
are becoming increasingly attractive (ESTELA 2012a; EUROBSERV’ER 2012b;
EU-SETIS 2012b; IPCC 2011; REN21 2012).
4.2 Solar Heating and Cooling Installed Capacity Worldwide
Even though solar heat can be captured by a variety of technologies and utilized in
a wide number of applications, the most mature technology is the solar domestic
hot water system. This technology has a long history, and was first deployed on a
large scale in the 1960s in countries such as Australia, Japan, and Israel (IEA 2011;
IEA/OECD 2012). Since then, the introduction of long-term subsidy schemes or
solar obligations (e.g., subsidies in Austria and Germany, and solar obligations in
Israel) and the competitive advantages of solar hot water systems over alternative
technologies (e.g., in Cyprus and Greece), has lead to a significant increase of the
installed capacity in some markets. In 2010, glazed water collectors provided an
estimated 150 TWh (540 PJ) of heat annually (IEA 2011; IEA/OECD 2012; IPCC
2011; REN21 2012).
By the end of 2010, the solar thermal collector capacity in operation worldwide
was estimated to be 195.8 GWth , corresponding to 279.7 million square meters;
By the end of 2011, it was estimated to have grown by 25%, to 245 GWth
according to Weiss and Mauthner (2012) or 232 GWth according to REN21 (2012),
whose estimates are more conservative. The dominant technologies in the market,
with 88.3% of the total installed capacity, are flat-plate collectors (FPC) and
evacuated tube collectors (ETC). Unglazed and glazed water collectors have 11%
and 0.7% shares of the market, respectively (EUROBSERV’ER 2012b; IEA 2011;
IEA/OECD 2012; IPCC 2011; REN21 2012; Weiss and Mauthner 2012). The global
leader in installed glazed and unglazed water and air collectors is China, with
117.6 GWth (135.5 GWth in 2011 according to REN21 2012), followed by Europe
with 36.0 GWth , and the United States and Canada with 16.0 GWth , mostly with
unglazed collectors. These regions together account for 86.6% of total installed
capacity worldwide. The market for solar heating technology has seen substantial
growth over the past decade, and the leaders were Europe and China. In Europe, the
market size more than tripled between 2002 and 2008 according the data provided
by IPCC (2011). Although the 2008 financial crisis affected the solar heating
systems market, resulting in decreases of 10% in 2009 and 13% in 2010, the market
saw an average 12% increase per year from 2000 to 2010 according to ESTIF’s data
(2011). In China, the use of solar domestic hot water systems is growing rapidly,
mainly because these systems have considerably lower average annual costs than
competing technologies of gas and electric water heaters, according to IEA data
(IEA 2010a; IEA/OECD 2012) with $27 for solar, $82 for gas, and $95 for electric
(ESTIF 2011; EUROBSERV’ER 2012b; IEA 2011; IEA/OECD 2012; IPCC 2011;
REN21 2012; Weiss and Mauthner 2012).
Another interesting parameter of the market is the evaluation of the global market
based on installed power per capita. This analysis provides interesting results.
Globally, Cyprus was the leading solar heating economy, with 0.575 kWth /capita in
2010, followed by Israel with 0.394 kWth /capita. The leader in continental Europe
was Austria, with 0.337 kWth /capita, followed by Greece with 0.266 kWth /capita
and Germany with 0.112 kWth /capita. China was among the top 10 for per capita
installed capacity for the first time in 2010, with 0.088 kWth /capita (EUROB-
SERV’ER 2012b; IEA/OECD 2012; IPCC 2011; REN21 2012).
The solar space heating and cooling market has seen notable growth, especially
the last 5 years. The most advanced solar thermal markets are in Germany, Spain,
and Austria, where advanced applications – such as water and space heating
for dwellings of all sizes, hotels, and large-scale plants for district heating, as
well as air conditioning and cooling – account for a substantial share of each
market. Worldwide, the market share for systems that provide both water and space
heating is about 4% and rising, with installations in established markets in Europe
(Germany, Spain, Austria, Greece, Cyprus), South America (Brazil, Mexico), and
Asia (China, India, Japan) (EUROBSERV’ER 2012b; IEA/OECD 2012; IPCC
2011; REN21 2012).
Europe is also leading the market in large-scale systems (>0.035 MWth /, with a
combined capacity of 215 MWth in 149 operating systems in 2010. Among these,
80 solar heating and cooling plants were larger than 700 kWth . In Denmark and
Sweden, solar heat is fed into district networks, and a number of German providers
purchase or offer to “store” their customers’ solar heat (EUROBSERV’ER 2012b;
IEA/OECD 2012; IPCC 2011; REN21 2012).
Solar cooling systems represent a more recent technology and, consequently, the
installed capacity is limited. In 2011, about 750 solar cooling systems were installed
worldwide. This number includes small-capacity installations up to 20 kW (Mugnier
and Jakob 2012; IEA/OECD 2012). A number of very large-scale installations
have been completed or are under construction. Two typical examples are the
solar cooling system at the headquarters of the CGD bank in Lisbon, Portugal
(cooling capacity 400 kW and collector field 1,560 m2 /; and the solar cooling system
installed at the United World College in Singapore, completed in 2011 (cooling
capacity 1,470 kW and collector field 3,900 m2 /. The Singapore installation has
proven its economic viability, as the installation was reported fully cost competitive.
Another interesting fact with regard to this facility is that it was executed on
an energy services company (ESCO) model under which the customer is not
exposed to equipment or project costs, and the ESCO sells the resultant cooling
capacity to the customer. In market terms, large solar cooling systems have to
date been more favorable than small, due to economies of scale and demand
and equipment limitations in smaller capacities. The small scale (<20 kW) solar
cooling installations, also known as solar cooling “kit” systems, which are for
residential application, have increased considerably the recent years, especially
in Spain, according to Henning and Wiemken (2007). However, this trend almost
completely halted in 2008 due to the economic crisis, and the market has since been
a shrinking one. A very limited market of several hundred kits still exists in 2011,
mainly in Central Europe and in dry and sunny climates (Middle East, Australia, the
Mediterranean islands) (EUROBSERV’ER 2012b; Henning and Wiemken 2007;
IEA/OECD 2012; IPCC 2011; Mugnier and Jakob 2012; REN21 2012).
4.3 PV Installed Capacity Worldwide
Measuring the cumulative nameplate capacity of all PV systems installed worldwide

presents difficulties and significant uncertainties due to the lack of adequate data in
many nations globally, especially the less developed countries. The consideration
of a broad range of parameters to determine the amount of PV installed can
explain these difficulties and uncertainties. For example, not all the purchased and
shipped PV modules are installed in that same year, since installation projects
face many difficulties, especially large-scale installations. This seems to lead to
overestimations of the cumulative installation capacity. On the other hand, utilizing
only data from reported installations tends to underestimate the total amount of
installed PV, due to the difficulty of tracking off-grid installations, installations by

companies that no longer exist, and other capacity not captured by the measure.
Despite these difficulties, the European Photovoltaic Industry Association (EPIA)
estimated that global cumulative installed PV capacity reached 39.5 GW in 2010, as
shown in Fig. 56.10. In 2010, approximately 16.6 GW of additional PV capacity was
installed worldwide, constituting a 131% increase over the 7.2 GW installed in 2009.
These 16.6 GW corresponded to a 71% increase in global cumulative installed PV
capacity. The European Union was the leader in installations for 2010, with 13 GW
of the total 16.6 GW installed in that year. Germany led new installed capacity with
7.4 GW installed, followed by Italy with 2.3 GW, the Czech Republic with 1.5 GW,
Japan with 0.99 GW, the United States with 0.88 GW, France with 0.72 GW, China
with 0.52 GW, and Spain with 0.37 GW. Estimates of global solar capacity vary
widely across data sources, and data considered most accurate is that published
by EPIA (2011) and EUROBSERV’ER (2012a). Examining the evolution of this
cumulative installed capacity of PV systems, considering the type of installations,
grid-connected systems have steadily gained market share relative to off-grid
systems since 2005. One reason for the shift is that government subsidies worldwide
tend to promote grid-connected PV. EU member states Germany and Spain were
the first to promote these subsidies, and rest of EU and the world followed,
making adequate adaptations to local conditions (EPIA 2011; EUROBSERV’ER
2012a).
While grid-connected PV systems have seen a significant increase in recent
years, dominating the global PV market, there are still a number of countries
where smaller, off-grid systems comprise the majority of the local PV market.
The inequalities in the different countries’ market distribution between grid-
connected and off-grid installations reflect the various types of subsidies, the stages
of market maturity, demand for particular applications, geographical differences,
and other factors, economic or otherwise. The majority of the countries listed in
Fig. 56.10 installed mainly grid-connected PV in 2010, including Germany, France,
Italy, Spain, Japan, and the United States. In contrast to the world leaders in
installed PV, the PV market in countries like Sweden, Turkey, Mexico, and Norway
is dominated by off-grid systems, mainly domestic and small-scale installations.
Generally, domestic off-grid applications tend to be more common than off-grid
industrial or agricultural systems (EPIA 2011; EPIA-Greenpeace 2011; Greenpeace
2008; IEA 2010a).
The huge increase in installed PV systems in the EU resulted in the increment
of the share of photovoltaics in the EU’s electricity mix. Today, PV systems
produce power that is almost 2% of the demand in the EU and roughly 4% of
peak demand, on average. In selected regions and countries, this amount is notably
higher. In Italy, for example, PV covers 5% of the electricity demand, and more
than 10% of peak demand, in the electricity mix. In the region of Bavaria, a
federal state in southern Germany, the PV installed capacity amounts to 600 W
per habitant, corresponding roughly to three panels per capita – an astounding
figure, especially if it is considered that Germany does not have high PV generation
potential (see Fig. 56.7) (EPIA 2011; EPIA-Greenpeace 2011; Greenpeace 2008;
IEA 2010a, 2003).
ROW USA
Japan 3,2 GW, 8% 2,5 GW, 6%
China
France 3,6 GW, 9% 0,9 GW, 2%
1,1 GW, 3%
Czech
2 GW, 5% ROEU
1,3 GW, 3%
Italy
3,5 GW, 9%
Spain
4 GW, 10%
Germany
17,4 GW, 44%
Fig. 56.10 Global cumulative installed PV capacity through 2010, with market share (%). ROW
Rest of World, ROEU Rest of EU (EPIA 2011; EUROBSERV’ER 2012a)
5 Economic Analysis and Cost Evaluation
5.1 CSP Technology
Capital investment for solar-only reference systems is rather high compared with
other energy sources, but, on the other hand, offers considerable long-term benefits
because of minimum fuel costs for backup/hybridization. The cost per MWe
installed is decreasing as the installed capacity is increasing. For example, an
installation of 50 MWe without storage is currently of the order of e4,800/kWe,
varying from e2,100 to 6,000/kWe, depending on the different parameters and
especially the technology used. The existence of storage capacity increases the
capital cost significantly (EU-SETIS 2012b). The DNI is a parameter that de-
termines significantly the production cost. A study presented by Salazaar (2008)
showed that the cost of electricity production for parabolic trough systems is
currently of the order of e0.18–0.20/kWh in Southern Europe in regions with
DNI of 2,000 kWh/m2 /a. For DNI in the range of 2,300–2,700 kWh/m2 /a, as
encountered in the Sahara region or in the US, the current cost could be decreased by
20–30%. Stoddard et al. showed, in 2006, a cost reduction of the order of
25–35% for parabolic trough plants is achievable due to technological innovations
and process scaling up to 200 MWe, for a given DNI (EU-SETIS 2012b; Salazaar
2008; Stoddard et al. 2006).
Another study executed by IEA/OECD, published in 2010 (IEA 2010b), showed

that for large, state-of-the-art trough plants, current investment costs are US$4.2/W
to US$8.4/W, depending on labor and land costs, technologies, and the amount and
distribution of DNI. This study also showed that cost is significantly increased by the
storage capacity and the size of the solar field. Plants without storage that benefit
from excellent DNI present the lower investment cost in the above range; plants
with large storage and a higher load factor but at locations with lower DNI (around
2,000 kWh/m2 /a) present the higher values. These investment costs are slightly
higher than those of PV devices, but CSP plants have a greater energy output per
MW capacity (IEA 2010b).
CSP plants follow the general rule of the market regarding power plants, the
higher the installed capacity, the lower the capital cost per installed MW is. Ac-
cording to an IEA/OECD study on CSP, the investment cost per watt is expected to
decrease by 12% when moving from 50 to 100 MW, and by about 20% when scaling
up to 200 MW. These cost reductions are total ones, as different cost categories
present different cost reductions. Typical examples are the costs associated with
power blocks, balance of plant, and grid connection, which are expected to drop by
20–25% as plant’s capacity doubles. Another significant parameter for reduction
of investment costs is the increased competition among technology providers and
mass production of components. Investment costs for trough plants could fall by
10–20% if direct steam generation were implemented, which allows higher working
temperatures and better efficiencies. Turbine manufacturers should follow their
actions in similar cases with other power sources requiring turbines (steam or
gas) to develop effective power blocks for the CSP industry. In total, investment
costs have the potential to be reduced by 30–40% in the next decade, considering
the technology’s developments and the mass production of equipment (EU-SETIS
2012b; IEA 2010b).
The investment costs for solar towers are more difficult to estimate, but they are
generally higher than the ones for trough plants. However, in this technology the
efficiency is the key point for reduction of investment costs. An efficiency increase
from 15% to 25% will allow an overall investment cost reduction of around 20%,
according to EU-SETIS (2012b) and IEA (2010b). The mass production of small,
flat mirrors promises to bring costs down further, as the problems regarding wind
resistance and precision in pointing is resolved using computers. The improvement
of the solar tower industry is expected to reduce investment costs by 40–75%
(EU-SETIS 2012b; IEA 2010b). Another parameter affecting costs is operation
and maintenance requirements, which depend on the power production. These costs
include plant operation, fuel expenses in the case of hybridization or backup, feed
and cooling water, and field maintenance costs. Typical values for a common 50 MW
trough plant have been assessed from US$13/MWh to US$30/MWh, including
fuel costs for backup. Once again, higher installed capacity corresponds to lower
operation and maintenance costs (EU-SETIS 2012b; IEA 2010b; Salazaar 2008).
If the annualized lifetime electricity generation cost is estimated, the electricity
generation cost ranges from US$200/MWh to US$295/MWh for large trough plants.
These figures of levelized energy costs, as these are also known, were estimated in
an IEA/OECD study for large trough plants, as this CSP technology dominates the
market numbers that are most readily available. The actual cost depends mostly on
the available sunlight. The impact of storage on generating costs is not as simple
as it may seem, because even though the investment costs are increased with the
added storage capacity, the same applies with the yearly electrical output, and thus
the energy cost changes only marginally. The main advantage of storage is that
allows solar plants to compete with fossil-fuel plants by supplying base-load power
in the not-too-distant future. According to the IEA/OECD study, the US Department
of Energy has set an objective for its CSP program to reach competitiveness with
fossil fuels by 2015 for intermediate loads (accounting for around 50% of the total
load demand), at around US$100/MWh, and by 2020 for base loads (accounting
for around 40% of the total load demand), at around US$50/MWh. Considering
the peak loads (accounting for the remainig 10% of the total load demand), CSP
technologies’ costs are close to the conventional sources due to the very high costs
that these present for the peak loads (EU-SETIS 2012b; IEA 2010b).
5.2 Solar Heating and Cooling Technology
Solar heating of sanitary water is by far the most attractive application of renewable
technology that also reduces consumers’ energy expenses. Like many renewable
energy technologies, solar water heating presents higher investment costs and
lower operation and maintenance costs than conventional technologies, while in the
regions inside the sun’s belt the “fuel cost” is almost zero due to the high irradiation
from the sun. Analyzing the total investment costs for a typical solar thermal system,
there three basic categories:
Cost of basic equipment, including the solar collectors;
Cost of additional equipment such as collector mounting components, storage
vessels, and plumbing;
Installation labor costs, which may include system design, assembly, and scaf-
folding.
In domestic solar water heating applications, collectors, storage vessels, and
collector mounting are in one package and thus one cost category (ESTIF 2011;
ESTTP 2007; IEA/OECD 2012; IPCC 2011; REN21 2012).
Investment costs for solar water heating depend on system design and application
characteristics (and thus the complexity of the chosen technology) and market con-
ditions in the region of operation. Thermosiphon systems require lower investment
costs because they use natural circulation, avoiding the need for pumping and the
associated equipment, installation, and operating costs, but these are mainly limited
to frost-free climates. In other regions, higher-cost forced-circulation systems will
be required, even for small-scale applications. In some cases, the chosen application
requires forced circulation even in regions that can have thermosiphon systems
(ESTIF 2011; ESTTP 2007; IEA/OECD 2012; IPCC 2011).
Labor costs, design characteristics, and the size of the local solar heating and
cooling market can also considerably influence the overall investment costs. In small
domestic applications, installation costs can be as high as 50% of overall investment

costs, depending on the technology selected, especially in countries with high labor
costs and lack of market competition. Investment costs for a domestic hot water
system can vary around the world by a factor of almost 10, from US$250 to
US$2,400/kWth, according to IEA/OECD’s Solar Heating and Cooling Road Map
2012. On the other hand, EU studies have foreseen that if the solar-thermal capacity
in Europe continues to expand, it is expected that system costs for small-scale
forced-circulation units installed in central Europe will be decreased to e400/kWth
in 2030, a cost that it is significantly lower than the present costs in this area
(EU-SETIS 2012c; IEA/OECD 2012; IPCC 2011; REN21 2012).
The costs of large-scale solar hot water systems, whether used in district heat, in-
dustrial applications, or commercial buildings, are rather different since economies
of scale provide obvious advantages: installation costs comprise a smaller share
of total investment costs. A representative example is Denmark’s market, where a
recent market boom in large-scale solar heating for district heating operators, has
resulted in more market competition and lower investment costs per kWth . Taking
a look at the Danish market, investment costs for the most cost-effective Danish
systems varies from US$350 to US$400/kWth and heat prices correspondingly down
to US$35–US$40/MWhth. Large-scale systems in EU countries indicate that the
investment costs range between e270/kWth (around US$350) to 800/kWth (around
US$1,040) (EU-SETIS 2012c; IEA/OECD 2012; IPCC 2011; REN21 2012).
Solar cooling markets are limited and the technology is still emerging, dominated
mainly by demonstration projects, which include a smaller or larger amount
of research and development. For these reasons, the investment costs for solar
cooling are difficult to assess. Despite the conditions mentioned above, there are
a number of operating solar cooling installations that have been realized without
subsidies, mainly in tropical regions with high electricity costs. According to
the IEA/OECD roadmap 2012 for solar heating and cooling, the solar cooling
investment costs, for medium to large systems, are estimated in the range of
US$1,600–US$3,200/kWcooling. Unless the implementation of the solar cooling is
expanded, investments costs are not expected to be reduced the coming years, even
though the operation and maintenance costs for solar cooling systems are generally
low as the systems require no fuel and use little electricity in auxiliary systems
such as circulation pumps (EU-SETIS 2012c; IEA/OECD 2012; IPCC 2011;
REN21 2012).
5.3 PV Technology
The technology developed by the PV industry was among the most expensive in
the first stages of development and use. Over the past 30 years of operation, the
PV industry has achieved impressive price decreases in the modules costs, which
has lead consumers to consider PV installations as a possibility for electrification.
According to a EPIA-Greenpeace report (EPIA-Greenpeace 2011), the price of PV
modules is reduced by 22% each time the cumulative installed capacity (in MW)
is doubled. This reduction in manufacturing costs and retail prices of PV modules

and systems (including electronics and safety devices, cabling, mounting structures,
and installation) is a result of the economies of scale and experience gained
by industry and installers. This has been brought about by extensive innovation,
research, development, and ongoing political support for the development of the PV
market, especially from the EU. This result of the EU’s effort is that EU member
states have cumulative installed power representing almost the 75% of the global
volume (see Fig. 56.10) (EPIA 2010, 2011; EPIA-Greenpeace 2011; Rigby et al.
2011; Rocket 2010). However, the module is only part of the total cost picture.
Additional costs are introduced with the inverter; the balance of system (BOS) costs,
which include the other system components and technical costs, installation, and
engineering/permitting. The module represents typically 50–60% of total installed
systems costs (EPIA-Greenpeace 2011; Rocket 2010).
PV system prices, where the module price is a percentage, have also decreased
over the past 30 years, although this decrease was not as impressive one as for the
PV modules alone. The price of inverters has followed a similar price learning
curve to that of PV modules for the same reasons. Innovation, development, and
economies of scale resulted in a significant reduction in the inverters cost (EPIA-
Greenpeace 2011; Rigby et al. 2011). Prices for some balance of systems (BOS)
elements have not decreased at the same pace due to the fact that the majority of the
economies of scale were already present, while non-technical costs do not present
such decreases. In particular, the price of the raw materials used in these elements
(typically copper, steel, and stainless steel) has been more volatile, as they are
brokerage products. Installation costs have decreased at different rates depending
on the maturity of the market and type of application. For example, some mounting
structures designed for specific types of installations (such as typical bases for
horizontal cement roofs in rooftop installations) can be installed in half the time
it takes to install a more complex version (as bases for stone tile-covered roofs
with inclination in rooftop installations). Reductions in prices for materials (such
as mounting structures), cables, land use, and installation account for much of the
decrease in BOS costs. This lowers the total installation costs. Another contributor
to the decrease of BOS and installation-related costs is the increase in efficiency
at the module level, which is directly related to the power density that the module
presents (Luque and Hegedus 2003). More efficient modules imply lower costs for
the balance of system equipment, installation-related costs, and land use (EPIA
2011; EPIA-Greenpeace 2011; Rigby et al. 2011).
In only 5 years time, the share of the PV modules in the total system price has
fallen from about 60–75% to as low as 40–60%, depending on the technology,
according to the EPIA-Greenpeace report of 2011. The inverter accounts for roughly
10% of the total system price, while the cost of engineering and procurement makes
up about 7% of the total system price (EPIA-Greenpeace 2011; Rigby et al. 2011).
The remaining costs represent the other balance of system components and the cost
of installation. In 2010, the range represents prices for large systems in Germany.
The rate at which PV system prices will decrease depends on the installed PV
capacity. By 2030, prices could drop to the range of e0.70–e0.93/Wp and by 2050,
the price could be as low as e0.56/Wp, according to a EPIA-Greenpeace report

(EPIA 2011; EPIA-Greenpeace 2011; Rigby et al. 2011).
6 Benefits from Solar Energy Utilization
6.1 CSP Technology
The main benefit of CSP systems is obvious. They can replace the power generated
by fossil fuels in a stable and highly predictable way and thus reduce the greenhouse
gas emissions causing climate change. As it has been estimated in the study
presented by Greenpeace et al. (2009), each square meter of concentrator surface,
for example, avoids 200–300 kg of CO2 each year, depending on its configuration.
Typical concentrated solar power plants are made up of hundreds or even thousands
of concentrators arranged in arrays, thus the reductions can be severe. CO2
emissions during the manufacture, installation, and servicing over the average
20-year lifecycle of a solar power plant are “paid back” after the first 3–6 months
of operation. The life-cycle assessment of the components together with the land-
surface impacts of CSP systems indicate that it takes around 5 months to “pay back”
the energy used to manufacture and install the equipment. Considering that plants
could last 40 years, as demonstrated in the Mojave Desert plants in United States,
which have operated since 1984, this is a good ratio. Most of the CSP solar field
materials can be recycled and used again for further plants, as a typical plant is made
of mainly of metals, concrete, and mirrors, all of which are recyclable (ESTELA
2012a; Greenpeace et al. 2009; IEA 2010b; IPCC 2011; Stoddard et al. 2006).
CSP electricity generation presents some significant advantages in addition
to the aforementioned benefit of replacing fossil fuels. It is highly predictable,
based on the sun irradiation values, and thermal storage capacity is continuously
improving and can worked together (hybridization) with gas and fossil fuels or
biomass, enabling stable energy production in national or international electricity
networks. Solar thermoelectric plants (CSP) respond well to variable load demand,
especially in peak load demands as well as intermediate load demands. Especially
for the peak loads, present, with the current technology, costs comparable with
fossil fuels. Demand can be met at any time, day and night, if there is adequate
storage capacity, and can supply electricity at peak hours if needs are anticipated.
Furthermore, these plants can contribute to the electrical systems’ stability as they
are using steam generators. This type of generation allows the local grids to accept
additional amounts of electricity produced by other renewable sources that affects
the grids’ stability (ESTELA 2012a; Greenpeace et al. 2009; IEA 2010b; IPCC
2011; Stoddard et al. 2006).
Most of the developing and some of the developed countries lie within the
tropical belt of the world, where the solar radiation is higher. About 75% of
the world’s population lives in the world’s “sun belt.” These regions receive the
sun’s radiation for almost 3,000–4,000 h/year. In solar power density terms, this is
equivalent to an average 2,000 kWh/m2 per year, corresponding to several thousand

times the world’s energy demand: a resource that currently sees only limited
exploitation. In the mid- to long term, these technologies will play an important
role in these areas. A significant part of these regions are also semi-arid or desert,
allowing the implementation of large-scale facilities, and thus potential utilization
CSP electricity is highly increased, since these areas are vast, with limited vegetation
growth, small inclinations, and high temperatures, and almost no seasonal changes
in solar irradiation. These areas present the potential to cover a significant part of
their needs in electricity and in addition could also allow significant exports if the
electricity production is high enough, supporting the economic development of these
regions. This potential is great, as, according to the study presented by Greenpeace,
SolarPACES and Estela in 2009, using a mere 0.4% of the total surface of the Sahara
Desert, European demand for electricity could be entirely met, and global demand
could be met by using only 2% (ESTELA 2012a; Greenpeace 2008; Greenpeace
et al. 2009; IEA 2010b, 2011; IEA/OECD 2012; IPCC 2011).
The social and economic benefits of CSP plants deserve notice as they are
significant. CSP plants are mainly located in dry areas that are uncultivated, that
is, not used for agriculture. Direct benefits include the creation of new jobs and
consequently the collection of taxes; indirect benefits include an increase in local
services to support the new jobs created. Commercial activity within these areas
will directly and indirectly benefit local communities. Jobs created directly are
for high-quality personnel, as the plants require skilled labor for construction,
maintenance, and operation. The types of jobs initially created would most likely
be technical or in construction, but opportunities for related manufacturing and
services jobs will also develop as facilities evolve, providing positions for less-
skilled personnel. According to current industry practices, for CSP electricity plants,
every 100 MW installed will provide 400 man/year equivalent manufacturing jobs,
600 in contracting and installation, and 60 in operation and maintenance. These jobs
are mainly for skilled and trained personnel. In addition to these jobs, the demand for
local services and commodities will be also increased, providing additional indirect
jobs and thus community benefits. The number of these additional working positions
can be estimated using the widely accepted rule: “for each construction job, four
service jobs are created in support.” Once construction is completed, operation and
maintenance will also require local services and commodities preserving a good
percentage of the jobs created during construction (ESTELA 2012a; Kearney and
ESTELA 2010; Greenpeace et al. 2009; IEA 2010b; IEA/OECD 2012; IPCC 2011).
6.2 Solar Heating and Cooling Technology
Solar heating technologies are the most common applications of sun’s energy
utilization, and solar cooling systems have become an emerging market. The
technical potential for solar heating and cooling energy systems is enormous,
depending mainly on the application and the region of implementation. The land
and/or roof space availability and the proximity of heating and cooling demand can
limit the implementation of the technical potential. The benefits from increasing
the penetration of solar heating and cooling technology, especially in the building
sector, are significant. The market available technology could cover most of the
needs of indoor heating and sanitary hot water in new and even retrofitted houses
provided that energy efficiency and energy savings measures, including good
insulation, have significantly decreased domestic thermal energy demand. The
penetration of solar heating and cooling systems will decrease the consumption
of fossil fuels like oil and natural gas, and electricity used for indoor heating and
cooling and for sanitary hot water (ESTIF 2011; ESTTP 2007; EU-SETIS 2012c;
IEA/OECD 2012; IPCC 2011; REN21 2012).
There is a long list of the advantages that can be ascribed directly solar thermal
systems. Solar thermal technologies always lead to a direct reduction of primary
energy consumption and energy costs, as they rely on the sun, which is freely
available and almost infinite (it will continue to shine for a few more billion years).
These systems can be combined with many kinds of back-up heat sources available
in the market and do not consume other energy sources. Even when circulation is
required in solar thermal systems, the increase in electricity demand is very limited,
considering the power generation and transmission capacities avoided. Only few
inhabited areas worldwide with only a small fraction of the earth’s population cannot
be benefit from the sun with the market available solar thermal technologies, but
it is expected that even these limitations will be overcome through research and
development of the related technologies. The life-cycle environmental impact of
solar thermal systems is extremely low. And if the economic part of the investment
is also considered, then it is well known that solar thermal prices are predictable at
the moment of the investment since the future prices of fuels do not affect them,
while local jobs are created through the value chain (ESTIF 2011; ESTTP 2007;
IEA/OECD 2012).
In addition to solar thermal applications, solar cooling technologies present
a number of attractive features compared with the alternatives. Solar cooling
requires high solar radiation, and high solar radiation corresponds to high ambient
temperatures. Thus, it is obvious that maximum solar radiation usually coincides
with peak cooling demand and, this way, solar cooling can help reduce electrical
network peaks associated with conventional cooling, as it offers air-conditioning
that is not based on electricity. If solar cooling is widely deployed, the need for
expensive additional electricity network resources associated with electrically pow-
ered cooling will be reduced. For example, the electricity-driven air conditioning
installed in Greece during the last 3 years has a consumption corresponding to
a 400 MW power plant. Avoidance of this increased electricity demand due to
peak cooling loads will lead to reduced peak power production, mainly from fossil
fuels today, and thus a reduction in greenhouse gas emissions, and avoidance of
reinforcement of transmission and distribution network, thus leading to substantial
cost reductions and beneficial environmental impacts (ESTIF 2011; ESTTP 2007;
IEA/OECD 2012; IPCC 2011; Greenpeace 2008; Mugnier and Jakob 2012; Singhal
2011; SOLAIR 2009).
Moreover, if thermal storage is used, the solar thermal cooling system can also
deliver cooling in the evening. Solar cooling systems can also be used for other
heating purposes, such as domestic hot water or space heating, in other seasons
besides summer. Open-cycle solar cooling systems provide humidity management
as well as space cooling. Also, solar thermal cooling, as an absorption chiller, does
not use refrigerants (CFCs and HCFCs, used in electric compression chillers), which
are harmful greenhouse gases and require special treatment in case of a leakage,
and thus their environmental impact is further decreased. The major disadvantage
that limits the use of solar cooling is that it is still in the early stages of market
development; costs need to be reduced through further development and increased
deployment. The technology is not yet effective and developed adequately in order
to be used in single-family and multi-family dwellings in a competitive way, and
thus achieve widespread deployment (IEA/OECD 2012; IPCC 2011; Greenpeace
2008; Mugnier and Jakob 2012; Singhal 2011; SOLAIR 2009).
The EU-27 is leading the way in legislative measures and awareness campaigns
in order to make the most of these benefits. The installed capacities of solar-thermal
systems for the EU-27 are expected to be 52 GW in 2020 and 135 GW in 2030.
The estimated maximum potential for solar-thermal systems in the EU-27 is up
to 320 GW by 2020 and 700 GW by 2030. This represents about 3% and 7% of
projected EU heat demand by 2020 and 2030, respectively, and can lead to savings
of approximately 25 Mtoe of fossil fuel use in 2020, 47–50 Mtoe per year by
2030, with a maximum cumulative fossil fuel avoidance of 500 Mtoe, for the period
2010–2030 and 126 Mtoe per year by 2050. If the maximum potential is realized,
solar heating and cooling systems could potentially avoid up to 30 Mt/year CO2
in 2020 and 65 Mt/year CO2 in 2030. The corresponding maximum cumulative
avoided CO2 emissions for the period 2010–2030 would be up to 600 Mt CO2
(ESTIF 2011; ESTTP 2007; IEA/OECD 2012; IPCC 2011; Greenpeace 2008;
Henning and Wiemken 2007; Mugnier and Jakob 2012).
6.3 PV Technology
The benefits of electricity production from PV systems are quite important, as

these reduce the greenhouse emissions by replacing fossil fuels. Life cycle studies
have proven that the energy required to manufacture a solar power system can be
recouped by the energy costs saved over 1–2 years, while some new generation
technologies can recover the cost of the energy used in less than a year, depending
on their location. As has already been mentioned, above the typical operational
life time of a PV systems is at least 25 years; thus it is ensured that each panel
generates many times more energy than it costs to produce (EPIA 2010, 2011;
EPIA-Greenpeace 2011; Fthenakis and Bulawka 2004; Rigby et al. 2011). In
addition, there are no substantial limits to the massive deployment of PV. Material
and industrial capability are plentiful, mainly due to fact that there are alternative
materials to crystalline silicon. The PV industry has demonstrated its ability to
increase production quickly enough to meet growing demands. This ability has been
demonstrated in Germany, Italy, and Japan, which have implemented proactive PV
policies. This ability will become a significant advantage in the effort to increase
renewable energy share in the power mix in order to support sustainability in power
production (EPIA 2011; EPIA-Greenpeace 2011; Fthenakis and Bulawka 2004;
Rigby et al. 2011; Šúri et al. 2007).
Small-scale PV systems can be installed in every urban area as long as there
is no shade. This possibility is extremely helpful where decentralized electricity
generation is considered. Decentralized electricity production systems are among
the key points of the smart grids, and can support the heavy power demand that is
increasing continuously. Since small-scale photovoltaic systems can be connected
directly to a low-voltage distribution network, they can be easily spread out the
network, providing support to specific network positions and reducing the need for
local capacity increase, due to increased demand in many cases (EPIA 2010, 2011;
EPIA-Greenpeace 2011; Rigby et al. 2011). This deployment of small-scale PV
systems will support the effort to make cities greener. The EU, where the majority
of studies have been executed, has a capacity of over several GWp of PV systems
to be installed on 40% of all building roofs and on 15% of all facades that are
suitable. If the more than 22,000 km2 total ground floor area in the EU-27 cities are
added to the above mentioned areas, the potential capacity of PV systems that could
be installed in EU-27 will reach or exceed 1.5 TWp. If this scenario is applied,
then the resulting electricity generation could potentially exceed the 1,400 TWh,
an amount corresponding on the 40% of the electricity demand predicted for 2020.
The key point is that PV systems, especially the small scale ones can seamlessly
integrate into the densest urban environments. Domestic and tertiary consumptions
such as but not limited to lighting, air-conditioning, office equipment, refrigerators,
food processing equipment, and so on are responsible for a significant amount of
energy consumed globally; thus resulting in significant amounts of greenhouse gases
emissions through the use of fossil fuels. If the abovementioned scenario for PV
installation were to be applied, totally or even partially, then these emissions would
be decreased notably. Additionally, installation of small-scale photovoltaic systems
in buildings is one of the key factors in the effort to develop sustainable, low or even
zero emission buildings (EPIA 2010, 2011; EPIA-Greenpeace 2011; Fthenakis and
Bulawka 2004; Rigby et al. 2011; Šúri et al. 2007).
International Energy Agency (IEA) calculations showed that if 4% of the world’s
very dry desert areas were used for PV installations, the world’s total primary energy
demand could be met. Following this report and considering the fact that are huge
free areas without any use; the untapped potential is already very high. These vast
areas, such as but not limited to roofs, building surfaces, fallow land, and desert,
could be used to support solar power generation (EPIA 2011; EPIA-Greenpeace
2011; Greenpeace 2008; IEA 2003, 2010a; JRC 2010; Šúri et al. 2007).
Summary
The solar energy that reaches the earth exceeds by far humankind’s needs and
other energy sources such as geothermic or tidal energy, nuclear power, and fossil
fuels. Solar energy is a renewable and sustainable form of energy. Solar irradiance
includes infrared radiation and thus provides adequate energy to operate solar
thermal technologies requiring reduced solar energy. This way, many regions of the
world have enough solar irradiance to utilize solar heating and cooling technologies.
Most of the developing and some of the developed countries lie within the tropical
belt of the world where the solar radiation is higher. Technologies requiring
higher irradiation are suitable for these regions, providing significant utilization
potential for both solar heating/cooling applications and solar electricity through
concentrating solar power and photovoltaics. A significant part of these regions
are also semi-arid or desert, allowing the implementation of large-scale facilities,
and thus potential utilization is highly increased, since these areas are commonly
vast, with small inclinations and high temperatures, and almost no seasonal changes
in solar irradiation. These areas present the potential to cover significant part of
their needs in heating, cooling, and electricity. Electricity production could be
high enough to allow significant exports also. The benefits from harvesting the
sun’s energy are enormous: the use of fossil fuels can be significantly reduced,
resulting significant reductions in greenhouse gas emissions; electricity networks
can be strengthened and improved by implementing both solar thermal electricity
and PV; energy security is greatly increased as the consumption of fossil fuels
is reduced and thus the existing quantities can last longer. The widespread use
of solar heating and cooling as well and small-scale PVs can reduce the living
costs in the domestic sector, while in a more general approach the utilization of
sun energy reduces directly and instantly the energy costs in every activity. Local
communities can be benefit through jobs and income creation from solar energy
implementation. Increased environmental and economic benefits, along with the
social benefits, prove the role of the sun’s energy in a sustainable future. But this
future requires more than the sun’s energy to become reality. Sustainable production
and consumption, use of the energy from wind and biomass, sustainable water
management and sustainable engineering education, are only part of what it is
required in addition to sun’s energy harvesting.
7 Cross-References
Advanced Energy Devices-Lithium Ion Battery and High Energy Capacitor

Blueprints for Teaching Ecodesign and Sustainability to University Students
Changing Energy Demand Behaviour: the Potential of Demand Side Management
tion
Energy Sources of the Future, Introduction
Policy and Decision-Making, Introduction
Renewability of Energy Resources, Energy Vectors and Energy Technologies for
Mobility
Regions
Teaching Old Disciplines New Tricks - Sustainable Engineering Education
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Wind
57
Elvir Zlomusica
Abstract
Wind farms have seen their extreme growth and development since the signing
of the Kyoto protocol. In 5 years (2007–2011) the capacities have more than
tripled. In 2011, about 75 countries worldwide had commercial wind power
installations, and 22 countries in the world already have more than 1,000 MW
of installed capacities. Europe has also seen an increase of offshore markets.
This is mainly related to the UK, Denmark, and Belgium. When the shares of
production technologies for electricity production are analyzed, the proportion of
the use of wind energy in the world is 2.2%. With the development of technology,
technical characteristics of wind turbines and wind parks have significantly
improved. Special attention is nowadays paid to those elements of wind turbines
that showed certain shortcomings during the previous period, i.e., transmission
mechanisms, generators, blades, etc. The availability of the present wind turbines
is 98%, and the level of utilization is constantly increased, as well as the
economic life with the modern machines that are nowadays projected for 25-year
time period. There is currently an intensive work underway on new construction
designs.
Wind turbine economics are changing rapidly, because of the new turbine
producers, expansion of wind energy, initiatives for RES, etc. Nevertheless, it
can be concluded that the price of electricity generated from wind farms becomes
more and more comparable with the price of electrical energy produced from
“conventional” fossil fuels. However, the only cases where they are completely
comparable are the very large wind parks that are located at places with excellent
wind characteristics.
Central critical points of some wind turbine project are turbine purchase
contract, financing, liquidity, wind turbine repair, and annual variations of
E. Zlomusica
University Dzemal Bijedic of Mostar, Mostar, Bosnia and Herzegovina
e-mail: elvir.zlomusica@unmo.ba

DOI 10.1007/978-1-4020-8939-8 119,
1110 E. Zlomusica
wind climate. Also, other factors affect the economics of wind farm, including
depreciation, income taxes, and initiatives.
Wind turbines have some negative as well as positive impacts on the envi-
ronment. Benefits of wind energy are different and very important. Experience
in the implementation of wind projects in the EU shows that social acceptance
is very important for the successful development of wind energy. Three key
dimensions of social acceptance have been identified: community acceptance,
market acceptance, and sociopolitical acceptance. The chapter presents the state
of the art, design, wind turbine parts, efficiency, emissions, and economic
analysis on these issues.
1 Introduction
The first attempts at generation of electrical energy from wind date back to the end
of the nineteenth and the beginning of the twentieth century (James Blyth, Scotland,
Charles F. Brush, Cleveland, USA, Poul la Cour, Denmark, etc.).
This was followed by a long time period with a huge number of different
construction designs of wind turbines. Among others, it was noted that in 1940
in Vermont (USA), air-profile blades were introduced in the construction of wind
turbines (Smith-Puntam).
Big energy crises in 1970s placed the wind turbines more in the spotlight.
A period with different construction solutions (single-blade, double-blade, three-
bladed, horizontal, vertical, and other wind turbines) ensued. An aspiration was
toward big dimensions and powers. Some of those solutions were more; others were
less successful. Some of them were very expensive. In any case, the construction
technology did not sufficiently go hand in hand with the constructive elements
design.
EU was the first one to recognize the possibilities and the importance of
renewable energy sources, the energy of the wind among them. Thus, EU was the
first to set its goals in mid-1990s. Until now, these goals have been fulfilled every
time by the set deadlines. On the other hand, the goals set at the beginning of the new
millennium (Directive 2001/77/EC) have been a subject of intensive discussions for
a number of years already. In 2008, the biggest number of capacity was added in the
wind energy for the first time in EU.
Wind farms have seen their extreme growth and development since the signing
of the Kyoto protocol (1997), Fig. 57.1. In some countries and/or their parts, this
growth is comparable even with the development of mobile telephony.
At that time, Denmark set up an example of its own. One can say that Denmark
found itself “at the right time at the right place.” So, even today Danish companies
are bigger producers of wind turbines in the world. As an example, almost 26% of
the electric energy supply in Denmark comes from the energy of the wind (Wind
in Power 2011) (38% in January 2007 or according to the information from the
system operator web site, in the morning of 13 September 2011, the wind turbines
in Denmark generated 64% of total electricity production).
57 Wind 1111
Installed Wind Power in the World

- Annual and Cumulative -
12,000 60,000
10,000 50,000
Cumulative MW
8,000 40,000
MW per year
6,000 30,000
4,000 20,000
2,000 10,000
0 0
1983 1990 1995 2000 2005
Source: BTM Consult ApS - March 2006 Year
Fig. 57.1 Growth of installed capacities (BTM Consult 2006)
Among other countries, one should especially mention Germany, which, in 2008,
had the biggest number of installed capacities in the world. Namely, in these
countries, the space resources for installing the wind parks are almost completely
exhausted. They are setting their future goals on the basis of repowering and opening
of offshore markets.
2.1 Wind Farm Market
At the end 2011, wind farms with a the total of 238,351 MW were installed
throughout the world (Global Wind Statistics 2012). For the sake of comparison, in
2006 there were 74,052 MW installed, Fig. 57.2. So, in 5 years the capacities have
more than tripled. Thus, all realistic expectations were surpassed. If it is looked at
the values from 11 years ago (18,000 MW in the year 2000), the results are even
more significant. Globally, the ten countries with the most installed wind capacity
are shown in Table 57.1. For the first time, in 2011, Denmark is not among the
top 10.
By the end of 2002, 75% installed capacities were in Europe, 15% in USA, and
10% in the rest of the world. In 2006 the data was as follows: 65% in Europe,
15.6% in USA, and 19.4% in the rest of the world (with a significant share of
India with 6,270 MW or 8.4% and China with 2,604 MW or 3.5%). Therefore, that
proportion has changed and keeps changing, so that in 2011 in Europe there was
1112 E. Zlomusica
250,000 [MW]
200,000
150,000
100,000
50,000
0
1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
6,100 7,600 10,200 13,600 17,400 23,900 31,100 39,431 47,620 59,091 74,052 93,820 120,291 158,864 197,637 238,351
Fig. 57.2 Capacities installed in the world on 1996–2011 (Global Wind Statistics 2012)
Table 57.1 Top 10 countries Country MW %

by installed capacities at the
end of 2011 (Global Wind China 62; 733 26:3
Statistics 2012) USA 46; 919 19:7
Germany 29; 060 12:2
Spain 21; 674 9:1
India 16; 084 6:7
France 6; 800 2:9
Italy 6; 747 2:8
UK 6; 540 2:7
Canada 5; 265 2:2
Portugal 4; 083 1:7
Rest 32; 446 13:6
Total top 10 205,905 86.4
World total 238,351 100
40.5%; in Asia, 34.6% (26.3% in China, 6.7% in India); and in USA, 19.7% installed
capacities of total installed capacities in the world. Of total capacities added in 2011,
China installed 44%.
Today, about 75 countries worldwide have commercial wind power installations.
There are 22 countries in the world already, of which in Europe as many as 15
countries, with more than 1,000 MW of installed capacities. Five years ago, this
was 13 countries, of which 8 in Europe. As far as Europe is concerned, Germany
and Spain have more than 50% of total installed capacities (Wind in Power 2011).
In the EU, 9,616 MW of wind energy capacity was installed in 2011, for a total
installed capacity of 93,957 MW – enough to supply 6.3% of the EU’s electricity,
according to the European Wind Energy Association (EWEA).
Thanks to the 16,500 MW added in 2010, a few years before the estimates were
made, China took over the first position by installed capacities from the USA,
and the USA took over that place from Germany in 2008. In 2011 China added
“incredible” approx. 18,000 MW. Also, China has considerable plans in the next
period, 100 GW by the year 2020 (China Increases Its Wind Power 2009; China
Boosts Wind Power Target to 100 GW by 2020). Also, in 2010 China became the
world’s largest producer of wind turbines.
57 Wind 1113
30%
28% Approximate Wind Penetration, end of 2010
Estimated Wind Electricity as a Proportion of
Approximate Wind Penetration, end of 2009

26%
24%
22%
Electricity Consumption
20%
18%
16%
14%
12%
10%
8%
6%
4%
2%
0%
U.S.
Netherlands
Denmark
Germany
Portugal
Sweden
Australia
Ireland
Greece
France
Poland
canada
Turkey
TOTAL
Spain
China
Brazil
Japan
India
Italy
UK
Source: Berkeley lab estimates based on data from BTM Consult, EIA, and elsewhere
Fig. 57.3 Top 20 countries using the wind energy (2010 Wind Technologies Market Report)
Europe has also seen an increase of offshore markets. This is mainly related
to the UK, Denmark, and Belgium (Wind in Power 2011). EU has set its goals
for RES by 2020. Specific values have been set for each EU member country.
As for the energy of the wind, the estimates and forecasts are both different and
optimistic (180–230 GW). This implies creation of over 2,000,000 new jobs in this
sector by 2020. These optimistic goals can be achieved by intensifying offshore
markets and by opening offshore parks, the implementation of which is currently
below expectations.
Figure 57.3 shows 20 countries that use the wind energy for electricity generation
the most. As previously said, Denmark is in the first place and is followed by
other European countries (Portugal, Spain, Ireland, Germany, etc.), while the first
non-European country taking the tenth place is India. According to the diagram in
Fig. 57.3, and according to the other available data, when the shares are analyzed of
production technologies for electricity production, the proportion of the use of wind
energy in the world is 2.2%.
3 Trends in the Development of the Industry of Wind

Turbines
With the development of technology, technical characteristics of wind turbines and

wind parks have significantly improved.
As an illustration of that, Fig. 57.4 shows a constant increase in size (rotor
diameter and hub height) and the power of wind turbines during the period 1998–
2010.
1114 E. Zlomusica
Average Rotor Diameter and Hub Height (m)
90
80
70
60
50
40
30 Rotor Diameter
20 Hub Height
10
0
COD: 1998-99 2000-01 2002-03 2004-05 2006 2007 2008 2009 2010
Turbines: 1,418 1,982 1,686 1,942 1,515 3,190 5,004 5,733 2,855
Capacity: 1,014 MW 1,756 MW 2,080 MW 2,779 MW 2,440 MW 5,249 MW 8,348 MW 9,993 MW 5,113 MW
Source: Berkeley Lab
Fig. 57.4 Increase in rotor diameter and hub height (2010 Wind Technologies Market Report)
Since the cost of design, transport, mounting, and electrical infrastructure is

minor for total investment, if the installed power is higher, it is economically more
justified to use big wind turbines at the localities with good wind characteristics.
According to the statistical data, the average installed power of an individual
wind turbine in the year 2011 in Germany was 2,243 MW (Ender 2012).
Special attention is nowadays paid to those elements of wind turbines that
showed certain shortcomings during the previous period, i.e., transmission mech-
anisms, generators, blades, etc. The availability of the present wind turbines is 98%;
the level of utilization is constantly increased, as well as the economic life with the
modern machines that are nowadays projected for 25-year time period. Certainly,
all this is thanks to the 20-year operational experience in this field.
There are a large number of wind turbine producers in the world today. There
are certainly both a lot of similarities and differences between them. In the last
7–8 years, some new producers of equipment appeared, mostly huge multinational
companies (General Electric (GE), Siemens, Mitsubishi, etc.), which, together with
the already existing producers, have been leading to intensive improvement of wind
turbine characteristics and reduction of its prices (Van Kuik et al. 2006). Figure 57.5
shows percent of various wind turbine producers in total production for 2010.
A few years ago, 70% of wind turbines in the world were produced by
the European companies. As two typical representatives of this concept of the
development of wind turbines, two companies specialized in that production have
imposed themselves Vestas and Enercon. A decrease of share of these companies
in the world’s production of wind turbines may first of all be explained by the
expansion of RES market, i.e., of wind farms in the other areas in the world. Namely,
it is indicative that the companies in those countries where big capacities are being
installed have increased their share (e.g., in the USA, General Electric Wind; in
China, Sinovel, Goldwind, Dongfang, United Power (Ender 2006, 2008, 2009)).
57 Wind 1115
18%
Domestic Regional Global
16% Supplier Supplier Supplier
14%
Global Market Share
12%
VESTAS (DK)
10% SINOVEL (PRC)
GOLDWIND GE WIND (US)

8% (PRC) GAMESA (ES)
ENERCON (GE)
6% DONGFANG (PRC)
SUZLON GROUP (IND)
SIEMENS (DK)
4%
UNITED POWER (PRC)
2%
0%
0 5 10 15 20 25 30
Source: BTM Consult - A Part of Navigant

No.of markets (Total supply > 50MW)
Consulting - March 2011
Fig. 57.5 Top 10 wind turbine market share in 2010 (BTM Consult 2010)
4 Environmental Impact of Wind Turbines
Wind turbines have some negative as well as positive impacts on the environment.
The possible negative impacts of wind turbines are visual impact, noise, bird and
bat kills, shadow effect and pollution during manufacturing and installing the wind
turbines, land use, electromagnetic interference, marine mammals, etc. A number
of studies have concluded these impacts are minor or easy to avoid (Boyle 2004).
Wind turbines are highly visible elements with rotating blades in the landscape.
In flat areas often wind turbines are placed in simple geometrical layout, and in hilly
areas better layout is the turbines follow the altitude contours of the landscape. Big
wind turbines with low blade rotation speed and similar size and type fit better in
the surrounding than bigger number of small turbines with higher rotation speed, in
terms of their visual effect as an environmental factor.
In Denmark there are several examples of birds nesting in cages mounted on
wind turbine towers. Some birds get accustomed to wind turbines very quickly;
others take a somewhat longer time. A number of studies (including offshore wind
farms) have concluded that birds almost always modify their migratory routes,
but migratory routes of birds should be taken into account when siting wind
turbines.
Wind turbines cast a shadow on the neighboring area when the sun is visible.
The rotor blades cause a flickering (blinking) effect while the rotor is in motion.
1116 E. Zlomusica
Table 57.2 Emissions avoided using wind farms to produce electricity (Environmental issues
2009)
Emissions Benefits
Average wind
(onshore and Hard
offshore) coal Lignite NGCC vs. coal vs. lignite vs. NGCC
CO2 , fossil (g) 8 836 1; 060 400 828 1; 051 391
SF6 , fossil (mg) 8 2; 554 244 993 2; 546 236 984
NOx (mg) 31 1; 309 1; 041 353 1; 278 1; 010 322
NMVOC (mg) 6 71 8 129 65 3 123
Particulates (mg) 15 147 711 12 134 693 6
SO2 (mg) 32 1; 548 3; 808 149 1; 515 3; 777 118
Source: CIEMAT
In Germany the judge tolerated 30 h of shadow flicker per year. Also, there are
possibilities of computing a shadow map.
The energy balance of wind energy is very positive. The energy consumed in the
whole chain of wind plants is recovered in several average operational months.
Environmental benefits of wind electricity can be assessed in terms of avoided
emissions compared to other alternative electricity generation technologies (CO2 ,
SO2 , NOx , and other pollutants). Emissions avoided using wind farms to produce
electricity instead of coal or natural gas power plants are quantified in Table 57.2
(NGCC – natural gas combined cycle, NMVOC – nonmethane volatile organic
compounds). The CO2 emissions related to the manufacture, installation, and
servicing over the average 20-year life cycle of a wind turbine are offset after a
mere 3–6 months of operation, resulting in net CO2 savings thereafter.
Wind energy also avoids significant amounts of external costs of conventional
fossil fuel-based electricity generation.
5 Types of Wind Turbines
Windmills, wind turbines, or devices for conversion of wind energy into mechanical
work can be classified according to various criteria. The most common is accord-
ing to:
• Aerodynamics
• Rotor axis position
According to the aerodynamic impact, they can be divided into those using:
• Resistance
• Uplift force
• Combination
One way to classify wind turbines is in terms of the axis around which the turbine
blades rotate:
• Horizontal axis wind turbine (HAWT)
• Vertical axis wind turbine (VAWT)
57 Wind 1117
a b
Wind Wind
Fig. 57.6 Wind turbines (a) HAWT, (b) VAWT
Most modern wind turbines are horizontal axis wind turbines of upwind type,
Fig. 57.6.
In the recent decades construction development concept of wind turbines,
influenced mainly by technological-technical factors, has been developing in several
lines (Gasch and Twele). The best concept proved to be the Danish one, or
the concept of horizontal three-bladed wind turbine with transmitter-multiplicator.
Attempts to apply the wind turbine concept with one- or two-bladed rotor have not
been successful so far.
6 Wind Power
Wind turbines transform kinetic wind energy into mechanical work, so it should start
from the kinetic energy expression, proportional to the multiplication of mass (m)
and squared wind speed (v/.
1
E D m v2 (57.1)
2
Since the power is a product of energy divided by time, it is
1
Pv D P v2
m (57.2)
2
Using expression for mass flow rate
m
P D vA (57.3)
where is air density, A is cross-sectional area, and combining with expression

(57.2), it gives an important relationship for wind power:
1
Pv D A v3 (57.4)
2
1118 E. Zlomusica
Table 57.3 Specific wind Wind speed (m/s) Power (W/m2 )

power
0 0
1 1
2 5
3 17
4 39
5 77
6 132
7 210
8 314
9 447
10 613
11 815
12 1; 058
13 1; 346
14 1; 681
15 2; 067
For standard meteorological conditions at the temperature of 15ı C and the pressure
of 1,013.3 hPa, air density is 1,225 kg/m3 . Table 57.3 shows the power per meter of
cross section (W/m2 ) for different wind speeds, a quantity that is called the specific
power or power density.
Kinetic wind energy turns into mechanical work at the rotor blades, which is the
result of lowering of the wind speed due to the impact of wind against the rotor
level.
It is normal that the entire wind energy cannot be used at the rotor, i.e., air
flow cannot be stopped. Thus, in the expression (57.4) the coefficient of power of
aerodynamic transformation Cp , it needs to be added, and its value is going to be
discussed further:
1
Pv D A v3 Cp (57.5)
2
7 Aerodynamic Model of a Wind Turbine
Wind turbines use kinetic wind energy for getting of needed power to start an
electric power generator. Depending on constructive solutions, there are several
types of wind turbines, a horizontal one being the most widely used (rotor axe is
parallel to horizontal line).
In theoretical studies of aerodynamic characteristics of wind turbines, the turbine
is replaced by an ideal one that represents a circular discontinuous area of pressure.
That is the simplest aerodynamic wind turbine model, so-called Rankine-Froude
disc model. This model is also known as the actuator disc model. Rotor is shown as
a rotating disc with infinite number of immeasurably thin blades whose resistance
57 Wind 1119
i
e
ni np
ne
pi pe
Fig. 57.7 Diagram of streamlines, speeds, and pressures for an idealized wind flow through the
wind turbine rotor (Technical Encyclopedia 10 1982)
equals zero and whose tip speed is higher than the wind speed. This model assumes a
sudden drop of pressure at the rotor disc. Flow speed is constant in radial direction,
changing slowly from the period prior to the blade impact to the one after blade
impact. It is calculated that flow speed remains the same beyond the flow boundaries.
Thus, an ideal wind turbine is a mathematical discontinuous surface of pressures
through which the wind flows at a constant speed, without any friction or whirls.
Figure 57.7 shows a diagram of streamlines, speed, and pressures for idealized
airflow through the rotor of a wind turbine with a horizontal axis. External
streamlines turn toward edges in the rotor zone, due to obstacles. They go around
rotor and do not take part in energy transformation. Sections i i and e e are
placed far enough from the rotor. The wind power at the rotor is
F D m
P .vi ve / (57.6)
where m P (kg/s) is a flow of air mass through a control volume, and vi and ve (m/s)
are wind speeds in the sections i i and e e. By evening power absorbed by an
ideal rotor with change of kinetic wind energy in its flow through the control volume
limited by the sections i i and e e, formula is taken from
v2i v2e
P D F vp D m (57.7)
2
1120 E. Zlomusica
By adding the expression (57.6), it results in
v2i v2e
P .vi ve / vp D m
m (57.8)
2
where the wind speed at the rotor level is
vi C ve
vp D (57.9)
2
and air mass flow through an ideal rotor is
m
P D Avp (57.10)
It can be written as
vi C ve
m
P D A (57.11)
2
By adding the expression (57.11) into the expression (57.7), the result is
1
P D A .vi C ve /.v2i v2e / (57.12)
4
Differentiation of the expression (57.12) through ve and equaling of dP/dve D 0

results in a maximum power for vi D 3ve so the maximum power which can be
gained from the wind is
8
P D A v3i (57.13)
27
1
Having the total wind power Pu D 2
A v3i , maximum wind turbine efficiency is
8
27
A v3i 16
Cp max D 1
D or 59:3%
2
A v3i 27
This regularity was formulated by the German physicist Albert Betz in 1919, and
it called Betz’s law which says that a maximum of 59.3% of kinetic wind energy
can be turned into mechanical energy. Of course, due to different kinds of losses of
wind turbines, this level is lower today and its maximum is 50%.
8 Wind Turbine Parts
The best constructive solution is a lift-based wind turbine with a rotor placed on the
front (upwind) side of the tower and which is parallel to the horizontal line, Fig.57.8.
For that reason, mostly this type of turbine will be taken into consideration.
In this section will be discussed. These main parts are:
57 Wind 1121
Blade
Gearbox
Generator
Wind Nacelle
Yaw drive
Tower
Foundation
Fig. 57.8 Wind turbine – main parts
• Rotor
• Gearbox
• Generator
• Regulation system
• Tower
• Foundation
Figure 57.8 shows the basic functional parts of a horizontal wind turbine.
Figure 57.9 shows basic components and functional elements of Vestas turbine
V90-3.0 MW, and more details on this type can be found in the Table 57.4.
Table 57.4 shows the main characteristics of some types of wind turbines that
can be found on the market.
9 Rotor
Wind turbine rotor is made of certain number of blades connected to the shaft
through hubs. Rotor speed is one of the main project parameters of any wind turbine.
Since the wind turbine power equals a multiplication of rotor torque and rotor speed
P D M D M 2n; (57.14)
it can be concluded that the power will increase with increased force – load on
the rotor blade, e.g., higher wind speed and longer rotor diameter. Since the wind
1122 E. Zlomusica
17
16
14
6 13
10
5 8 11
1
7
9 12 15
1 Oil cooler 6 Service crane 11 Mechanical disc 16 Pitch cylinder

brake
2 Water cooler for 7 OptiSpeed®-
12 Machine 17 Hub controller
generator generator
foundation
3 High voltage 8 Composite disc 13 Blade bearing
transformer coupling
14 Blade hub
4 Ultrasonic wind
9 Yaw gears 15 Blade
sensor
5 VMP-Top 10 Gearbox
controller with
converter
Fig. 57.9 Basic parts of the wind turbine V90-3.0 MW (vestas.com)
speed cannot be affected, longer rotor diameter might be a solution. Limits are
technological and mechanical characteristics of equipment and material.
A very significant parameter for aerodynamic designing of rotor blades is tip
speed ratio. It represents ratio of the rotor blade tip speed and the wind speed (value
of so-called undisturbed streamline):
2nR R
D D (57.15)
v1 v1
Also, the formula proves that rotor speed can be connected to the tip speed ratio.
Wind turbines with a small number of rotation have a low (ca 1), with a high start
torque. For these reasons it comes to a bigger number of blades and, consequently,
a high rotor thrust. A typical example is American windmill with 20–30 blades,
Fig. 57.10. Wind turbines with D 5 8 have no such problems, and they have
just few tall and well-shaped blades. Another reason for usage of rotors with a small
57 Wind
Table 57.4 Characteristics of wind turbines (Wind Turbine Market 2005, 2007, nordex.de)
Type Enercon E-70 Nordex N80 Repower 5M Vestas V90/3 MW
Hub height 57/64/85/98/113 m 60/80/100/115 m (lattice) 100/120 m onshore 80/105 m
Rated power (kW) 2,300 2,500 5,000 3,000
Tower construction Concrete, tubular steel Conical tubular steel, lattice Conical tubular steel Conical tubular steel
Tower weight 140/232/336/1,171 t 115/193/281/205 t 175/275 t
Nacelle weight (t) 66 86 290 70
Cut-in wind speed (m/s) 2.5 4 3.5 4
Rated wind speed (m/s) 13.5 15 13 15
Cut-out wind speed (m/s) 28–34 25 25 25
Rotor blade type 3 E-70/4 LM 38.8/or/NR 40 3 LM 61.5 RISÖ P + FFA-W3
Rotor diameter (m) 71 80 126 90
Swept area (m2 ) 3,959 5,026 12,469 6,362
Rotor speed (rpm) 6–21.5 10.9–19.1 6.9–12.1 8.6–18.4
Blade tip speed (m/s) 22–80 80 80 75.7
Blade weight (kg) 6,000 8,700 19,000 6,600
Rotor speed control Variable by MC-System Variable by MC-System Variable by MC-System OptiSpeedTM
Overspeed control Pitch Pitch Elec. pitch, independent blade feathering Pitch
(continued)
1123
1124

Type Enercon E-70 Nordex N80 Repower 5M Vestas V90/3 MW
Generator type Enercon E-70 E4 Winergy Diverse Diverse
Generator construction Synchronous, multiple Asynchronous, double fed Asynchronous six-pole, Double fees asynchronous with
ring generator double fed wounded rotor and slip rings
four-pole, OptiSpeedTM
Grid connection Inverter 2,500 kW 5,000 kW
Generator potential (V) 400 660 660/950 690
Gearbox type Without gear Eickhoff, Winergy Diverse Diverse
Gearbox construction Spur, planetary Spur, planetary 2 planetary + 1 spur stage
Gearbox steps 3 3 3
Gear ratio 1:68.14 ca. 1:97 1:104.5
Security systems Fail-safe Multiple redundant Pitch, Fail-safe 2
Main brake system Feathering of each blade Feathering of each blade El.independent blade Pitch
with stand by generator feathering
second brake system Feathering of each blade Disc brake Disc brake Disc brake
with stand by generator
Control Enercon (microprocessor) Remote field controller Mita-technik A/S VMP, vestas
Distance control Enercon scada Nordex control DFÜ VMP, vestas
E. Zlomusica
57 Wind 1125
Fig. 57.10 American windmill
number of blades is their high price. Costs of three-blade rotor represent about 20%
of total costs of a wind turbine.
Also, sound level is in relation to the tip speed ratio. Number of revolution of
a rotor is regulated with a favorable aerodynamic system, which will be also more
discussed later.
10 Blades
Basic function of blades is to turn kinetic energy of wind into mechanical work
needed for rotation of rotor. Today’s blade types are designed aerodynamically so
they can be moved by uplift force. The most widely used are three-bladed rotors.
1126 E. Zlomusica
In today’s wind turbines, rotor diameter reaches up to 164 m. This results in a

lower rotor speed in order to maintain a certain tip speed ratio. Of course, those
blade parts closer to the hub will work with a lower coefficient of usability.
Mechanics of fluids proved that one third of the blade length closer to the blade
tip will produce two third of power as related to the entire blade, while one third of
its length closer to the rotor hub is almost unproductive under nominal conditions,
but it also has a function in reaching the start torque.
Blades represent a critical element of wind turbines in relation to dynamic load
under conditions of a turbulent fluid flow. Especially critical is the place of metal
connection with the rotor hub due to the complexity of links between the blade
composite structures and the metal part.
Blade tip speeds reach high values. Three-blade rotors reach blade tip speeds
between 70 and 90 m/s.
In designing and implanting wind turbine rotor blades, several requirements have
to be met: profile shape, strength, mass, elasticity, and dynamic balance of mass for
a maximum number of rotation.
Great help in reaching these goals is provided by computer programs. CFD
(computational fluid dynamics) is a group of methods dealing with studies of
behavior of airflow about rotor and wind turbine blades.
Material used for blade forms is usually composite materials: polymers (polyester)
reinforced with glass or carbon fiber, Kevlar (it has better mechanical characteris-
tics – tensile strength), or epoxy adhesive.
In a blade production process, it is necessary to invest a lot of manual work and
attention. A high-quality product is a result of combination of workers’ skills and
high technology. After production, control and testing are obligatory, on both static
and dynamic loads, and modal forms.
11 Gearbox
Gearbox is fixed between the main shaft and the generator. It is one of the most
important wind turbine components. Its main function is multiplication of rotation
number of the main shaft which does not exceed 100 min1 to the speed required by
the generator, which is, depending on the generator type, usually about 1,500 min1 .
For different types of wind turbines, there are different transmission relations and
different power of gearboxes. The most frequently used are high ratios, such as
Vestas V90-3 MW which has the ratio 1:104.5.
Gearbox has been very often a problematic component. Lately it has been given
more attention, especially its tribological characteristics, cooling, efficiency, and
lower noise level. Special attention is paid to its control (measurement of noise and
vibrations).
The two main types of gearboxes are those with cylindrical tooth profiles and
planetary ones. Cylindric gearboxes are simple, easier to maintain, and cheaper,
while planetary one is compact, produces less noise, and has lower mass and higher
efficiency, Fig. 57.11.
57 Wind 1127
Fig. 57.11 Gearbox by “Hansen” company
Today’s modern big turbines have mostly combination of planetary and cylindric
transmission. The first part is planetary and the other two are cylindric.
Some types of wind turbines (direct drive working at low rotor speeds) have no
gearbox.
12 Generator
Electric generator is the most important electric component in wind turbines. It

serves to turn kinetic energy of the shaft rotation into electric energy.
Generators for wind turbines are of special design, since they are subject to
many changes of rotation torque, due to change of wind speed. It is necessary to
cool generators. Recently, attention has been increasingly paid to their quality, i.e.,
quality of their outgoing power.
Asynchronous and synchronous generators can be used. Both have some advan-
tages and disadvantages.
Synchronous generators have same rotation speed for magnet disc and rotor.
They are directly linked to the rotor. Rotation speed depends on the number of
poles. By combining rotor rotation speed and number of poles, it can get a certain
frequency, e.g., 50 Hz. Thus, a low rotation speed requires big number of poles,
which leads to increased dimensions and mass of generators, Fig. 57.12. Bigger
dimension results in more labor force and consequently higher cost. Synchronous
generator is linked parallel to distribution grid, by means of synchronous devices,
which enables connection without electric shock. Its advantages are:
• Enabling an isolated operation with high-quality regulators of power and fre-
quency.
• If overexcited, they might transmit unproductive inductive reactive energy to the
grid.
1128 E. Zlomusica
Fig. 57.12 Synchronous generator
Today’s turbines use often so-called Danish concept. That implies directly con-
nected asynchronous generator (with cage rotor) to the grid.
Asynchronous generators have different speed of magnet flow rotation and
the rotor. The difference in speed represents sliding. That is a very important
characteristic since it enables more flexible transmission of the rotation torque
and reduces mechanical damage of the teethed transmission. They are connected
to the rotor through gearbox. They are often designed in the form of 2 poles and
1,500 min1 . Its advantages are:
• Simple primary electric power equipment, since asynchronous generator is not
excited and has less demanding cage rotor.
• It has no equipment for excitement and synchronization.
• It uses less demanding equipment for connecting to the grid, as well as protection
and program management.
Disadvantages of this generator type are:
• It spends inductive reactive power from the grid or compensation plant.
• Gearbox overloaded.
• It is not suitable for independent running.
57 Wind 1129
Modern wind turbines lately use more and more double-feed wounded rotors.
Selection of a certain type of generator for specific wind turbine depends partially
on application of desired outgoing characteristics and the cost.
13 Regulating System
Regulating system includes all the wind turbine systems which manage mechanical
components. They can be divided into:
• Yawing system
• System for aerodynamic regulation of the rotor speed
• System for mechanical and aerodynamic braking
• Control and management system
Yawing system turns the housing (nacelle) and consequently rotor according to
the wind direction, aiming at adjustment of rotor running. Older types of turbines
and today’s small turbines (battery chargers, etc.) do that by means of rosette or
wind vane. Today’s huge horizontal wind turbines usually solve that through electric
engine or hydraulic transmission whose final teeth is linked with a teethed ring fitted
between the housing and the tower (transmission ratio is high and reaches a value of
up to 4,000). This system prevents sudden turns of housing in a situation of quickly
changing wind directions.
Based on the data measured at the met station on the top of the housing, controller
orders turning of the housing (at the speed of ca 1ı /s) for a given angle in relation to
the horizontal line. The housing is stopped in a needed position, thanks to specially
designed brakes.
In case of high wind speed, dangerous for some components or the entire
wind turbine, this system is used for braking, together with the whole system for
aerodynamic regulation of speed of the rotor revolving.
System for aerodynamic regulation of the rotor speed. Wind turbines are designed
to provide a maximum (nominal) power at the wind speeds of about 15 m/s
(depending of the type and producers). Wind turbine designer designs it for these
speeds since high wind speeds are rare and can damage turbine structure. That
means that a favorable system of regulation needs to solve rotor speed as well.
System for aerodynamic regulation of rotor speed (power) can be designed in
two ways:
• Passive control (stall)
• Active control (pitch, active stall)
Both principles have pros and contras. In regulation by passive stall, blades are
fastened with screws to the rotor hub. At higher wind speed, the angle of attack of
the wind is increased, which further causes turbulence and reduction of lift force and
increase of resistance, Fig. 57.13. All this leads towards decreasing rotation torque
and power.
Advantages of this system are:
• Simpler system without movable parts and complex control systems
• Lower price
1130 E. Zlomusica
v = 8 m/s
v = 24 m/s
Fig. 57.13 Stall effect
Fig. 57.14 Different power control
Disadvantages are:
• In some cases too heavy dynamic thrust on the rotor due to aerodynamic forces.
• Less usable nominal turbine power. Power starts to decrease slowly when it
reaches its nominal value. It is impossible to sustain a stable output, Fig. 57.14.
Today this system is used for low-power (small size) turbines.
57 Wind 1131
v
v = 8 m/s
v = 24 m/s
Fig. 57.15 Effect of blade pitching
Regulation with turning of blades has two ways: pitch and active stall. The
entire blade turns around its axis for a certain angle, depending on the wind speed,
Fig. 57.15. At the high wind speed, blades turn so that wind attack increases, which
decreases aerodynamic forces on the blades and consequently on the wind turbine
rotor.
Pitch mechanism driven by hydraulic engine will perform turning of the rotor
blade to a desirable angle, depending on the wind direction change, in order to
maximize output for a specific speed.
In addition to adjustment of speed, the system can serve to stop the rotation, by
bringing blades into a position where flow breaks down on the back side of blades.
Basic advantages are less loaded rotor, Fig. 57.16, which leads to a possibility to
reduce material and mass in the basic structure. This system is also more flexible
and efficient as compared to the stall regulation. Its disadvantage is high cost and
possible stalls (special design of the shaft, hub, bearings, etc.)
The first generation of pitch regulation had a central system for simultaneous
turning of all blades. For the reason of different wind speeds at different heights
and consequently different loads, possibility of turning of each blade separately has
been introduced later. Along with other improvements, better usability is obtained,
safety, etc.
Active stall regulation is increasingly used in today’s big megawatt turbines,
Fig. 57.17. It is like pitch regulation, since blades turn around their longitude axis
1132 E. Zlomusica
Fig. 57.16 Rotor thrust for different systems of power control
Stall Active Stall Pitch
Fig. 57.17 Different principles of power controls
too. At low wind speed, in this regulation, blade turns around its axis just like in
pitch regulation. When a set power is reached, the blade starts turning in the opposite
direction in comparison to pitch regulation. This form of regulation enables more
precise regulation than in pitch, and it is simpler and avoids some aerodynamic
problems that appear in pitch regulation.
System of Mechanical and Aerodynamic Braking. System of mechanical braking
represents an obligatory component of wind turbines. It has disc brakes hydrauli-
cally driven. They are fixed at the generator shaft, because of its lower torque at the
teeth and its turning mechanism.
In addition to mechanical braking, there are aerodynamic brakes in rotor blades.
Blades which have pitch regulation system, it functions as an aerodynamic brake by
means of slow (gradual) increase of resistance force and decreased torque.
Control and management system aims at maintaining the turbine within an
operating range, i.e., it regulates and controls internal components of a wind turbine
57 Wind 1133
and connects them with external systems. That means limiting of rotor speed, torque,
power, and rotor thrust, which is especially related to high-speed wind.
The system processes all the data needed for wind turbine operating (wind
speed, wind direction, cooling device temperature, air humidity, rotor thrust, various
control signals, etc.) and sends the signals to the central processing unit which
manages components of all regulation systems.
14 Tower
Tower is the most massive and after rotor the biggest component of a wind turbine.
In the course of time and development of turbines, various mast and tower types
have been tested. Tower of horizontal wind turbine is usually tubular and conic in
structure, in order to increase its bearing capacity and reduce material cost. Tubular
towers have a low aerodynamic resistance, maintenance is simple, they are tall
and elegant, and their mounting is quick and simple. They are made of steel and
concrete.
A less common structure is lattice. Recently tubular structures are made in several
segments, for easier transport and technical conditions of mounting.
Electrical wiring is placed inside the tower, as well as stairs and lift to
the housing, controlling units, steering device, measuring equipment, and safety
installation.
Conic tubes are made of steel panels of 40–20 mm thickness and different widths.
After cutting of steel sheets, roll machine makes tubular shape and these sections
are welded by using powder welding technique. After that, welded sections are
connected by circular welding into bigger sections of 20–30 m and mass of up to
70 t, Fig. 57.18.
Fig. 57.18 Transport of tower segments

1134 E. Zlomusica
What follows is an ultrasound and x-ray control of the welded points, anti-
corrosion protection, and trial assembling section at the locality of the manufac-
turing plant. Then these sections are transported to the locality, mounted by cranes
and joined with bolts.
For a Vestas turbine of V90-3.0 MW, the height of the tower is 105 m, weight
of 285 t, and tower diameter of 3.98–2.3 m. Tower has a significant economic share
in wind turbines. About 20% of the total price goes to the tower, and for towers
higher than 50 m, additional $15,000 is calculated for every additional 10 m. Its
height depends on wind characteristics at the locality and of the rotor dimensions.
When selecting tower height, it is necessary to determine an optimum solution as
compared to the price and outgoing characteristics of electric power from a certain
turbine type.
15 Foundation
The main tasks of the foundation are:

• Ensuring stability, i.e., preventing overthrowing of the entire turbine structure
• Maintaining certain limiting values of specific load forces on the ground
For example, for the wind turbines (Vestas 2 MW, rotor diameter 80 m, tower
height 100 m) in the area of Steinberg (Austria) are based on the dimensions
15:3515:351:9 m, Fig. 57.19. The favorable geological structure enables cheaper
foundation construction.
Fig. 57.19 Foundation

57 Wind 1135
16 Specific Features of Research
Because of the need to install wind farms on complex terrains and in specific wind
conditions, there is a requirement to have special research in these circumstances
and consequently, a special analysis of behavior of the selected equipment in these
conditions.
There is currently an intensive work under way on new construction designs,
for example, the new offshore wind turbine of the company “Vestas” V164 7 MW,
which has a 164 m diameter rotor, which means that it has a size almost like three
football fields (vestas.com).
“Direct drive” wind turbines present another special example; their biggest
manufacturer is German “Enercon.” Their program also includes the development
of a prototype of machine of 7.5 MW with rotor diameter of 127 m, hub height of
135 m, rotational speed of 5–11.7 rpm, and storm control of 28–34 m/s (enercon.de).
It should mention and projects as Sway Turbine AS, 10 MW, (swayturbine.no),
Windtec SeaTitan, 10 MW, (windtec.at), etc.
One of the possible solutions that has been subject of intensive work in the past
years is a shrouded wind turbine, in Fig. 57.20 (flickr.com), that would be much
more efficient than the present “conventional” wind turbines. Either way, it will
certainly take a number of years before the new construction designs are put to
commercial production.
Fig. 57.20 Shrouded wind turbine (flicer.com) (flickr.com)

1136 E. Zlomusica
17 Case Study
An example for case study is Tauernwindfarm Oberzering located in the Austrian

Alpine region. Tauernwindfarm is the highest located wind farm in the world
(1,900 m above the sea level). Tauernwindfarm Oberzering has 11 wind turbines
Vestas V66 1.75 MW with total 19.25 MW (http://www.tauernwind.com). Average
wind speed in hub height is 7 m/s, average power density of the wind is 472 W/m2 ,
and full load is 2,150 h/year. Electricity production is about 40,000 MWh/year
(approx. 10,690 households); therefore, efficiency is roughly 24%. Environmen-
tal benefits are savings in oil 11.1 million liter and CO2 reduction
29,900 t/year.
18 Economic Analysis
Wind turbine economics are changing rapidly, because of the new turbine producers,
expansion of wind energy, initiatives for RES, etc. Wind turbine economics contains
costs and incomes.
• Costs:
• Pre-investment costs
• Investment (capital) costs
• Operation and maintenance (O and M) costs
• Dismantling costs
Pre-investing costs embrace wind potential assessment, technical project de-
velopment, economic project development, feasibility study including wind speed
measurements, turbine selection, and financing.
Investment costs embrace project development, area, financing costs, contract
preparation, wind turbines, grid connection, roads, foundations, cranes for turbine
eraction, installation, and commissioning.
Income in wind park projects:
• Payments for production
• Insurances
• Service interruption
• Break of machinery
• Guarantee payments
• Power curve
• Production guarantees
• Availability
The main incomes are payments for production of electricity of wind park.
Production of wind park depends of wind potential (assessment, long-term behav-
ior), power curve of wind turbines (contract, surveillance), and availability of wind
turbines in wind park (contract, surveillance, fast service), Fig. 57.21. The quality
of the contracts determines the economy of the whole project.
57 Wind 1137
Fig. 57.21 Production of wind park
Financing; Project
4% development
Foundation;
,...;5%
5%
Grid
connection;
8%
Turbine
78%
Fig. 57.22 Capital costs of wind park
Central critical points of some wind turbine project are:

• Turbine purchase contract
• Financing
• Liquidity
• Wind turbine repair
• Annual variations of wind climate
Also, other factors affect the economics of wind farm, including depreciation,
income taxes, and initiatives.
Investment (capital) costs
Total investment cost is typically 1,100–1,350 e/kW (Krohn et al. 2009). It
depends from area to area and from country to country. The average structure of
investment costs is shown in Fig. 57.22. About 3=4 of the capital cost is cost of wind
turbines.
1138 E. Zlomusica
Reserves;
Rents; 20% Maintenance;
5%
59%
Insurance;
7%
Wind farm
management;
9%
Fig. 57.23 O and M costs of wind park
Operation and maintenance (O and M) costs. O and M costs are:

• Area rental
• Maintenance
• Repair
• Wind farm operation and management
• Insurances
• Interest and clearance for loans
• Taxes
Example of the structure of operation and maintenance (O and M) costs is shown
in Fig. 57.23.
Some of operations and maintenance costs (O and M) are annual costs, which
do not depend so much on the hours of operation of wind park – annual energy
produced – as insurance and administrations, while repairs are directly related to
annual energy produced. O and M costs, which have already been levelized to
increase future cost escalations, are about 3% of the initial capital cost of the wind
farm or approx. 25% of annual income. O and M costs depend on how much the
wind park is used in a given year, also on the age of turbines in wind park. According
to manufacturers the life span of wind turbines amounts to 25 years. Site specific
factors (wind speed, storms, turbulence, icing conditions) and the quality of the
maintenance of the turbine have an important influences on life span.
An example cost analysis for Tauernwindfarm Oberzering is given in
Table 57.5. In the table are investment (capital) costs and estimate of the levelized
annual cost of operation and maintenance (O and M). And Feed-in tariff is
7.8 ect/kWh for 13 years.
Total capital costs are 23,864,166 e, Table 57.5, and they provided through
equity capital 3,650,000 e fundings 2,583,073 e and long-term credits 17,631,093 e.
Specific investments are 1,239,696 e/MW, and specific O and M costs
21.23 e/MWh.
It is noteworthy here that it is very difficult to make a comparison between
different technologies for generation of electricity, especially these from RES
and the “conventional” ones. Nevertheless, it can be concluded that the price of
electricity generated from wind farms becomes more and more comparable with the
57 Wind 1139
Table 57.5 An example cost analysis

Capital costs Amount (e) Percentage (%)
Wind turbines and accessories 16,915,206 71.0
Legal rights and contract payments 1,541,960 6.4
Electrical cables and grid connection 3,910,000 16.4
Access road incl. surveyor work 605,000 2.5
Public relations, lawyer, and other costs 377,000 1.5
Planning and supervision of construction 515,000 2.2
Total capital cost 23,864,166 100
O and M costs
Machine parts, maintenance, and repairs 474,650 54
Personnel costs 106,000 12.0
Administration 40,000 4.55
Property leases 43,000 4.9
Bookkeeping, consultation, and other services 35,000 4
Insurance 140,000 16
Other 40,000 4.55
Total operational costs for 1 year 878,650 100
price of electrical energy produced from “conventional” fossil fuels. However, the
only cases where they are completely comparable are the very large wind parks
that are located at places with excellent wind characteristics. For offshore wind
parks there is not yet sufficient statistical data. Hence, wind energy projects still
need some financial help (incentives) to come up with market prices, and many
governments provide incentives for wind-produced electricity (kWh). Wind energy
has low contribution of greenhouse gas emission and air pollution, and wind-
generated electricity has a benefit for neutralizing the environmental impact. Also,
other important arguments in favor of wind energy are the industry’s job creation
potential and the security of supply.
Figure 57.24 shows average values of the price of electricity produced in wind
farms during the period 1999–2010. As presented in the diagram in Fig. 57.24, the
data relate to a different number of projects (from 11 to 232) and different number
of installed capacities (from 594 to 17,033 MW).
The rated power of new wind turbines is increased. It means the corresponding
capital cost per kW dropped. The labor required for new (larger) wind turbine is
not much higher than for a smaller one. The cost of a rotor is proportional to
diameter as well as power delivered. Also, taller towers of wind turbine increase
energy faster than cost increase, etc. But, due to the intensifying installation of wind
farms, lower wind speed sites, the use of state-of-the-art technology in the past few
years, discussed above in this chapter and other factors, at the beginning of 2006,
the wind turbines got even more expensive, which, due to the big influence on the
overall cost, also increased the cost of electricity produced in wind parks, Fig. 57.24.
It is difficult to make a realistic forecast of the movement of prices in the future
period for the wind farms, as this involves many influencing factors; it is especially
difficult to make their comparison with fossil fuels. However, there are a lot of such
1140 E. Zlomusica
Fig. 57.24 Cumulative capacity-weighted average wind power prices (2010 Wind Technologies
Market Report)
120
113
101
100
82 79 75
80
68
€/MWh
60
40
20
0
2015. 2030. 2015. 2030. 2015. 2030.
Coal Gas Wind
Fig. 57.25 Electricity generating cost in the EU, 2015 and 2030 (Krohn et al. 2009)
forecasts that are more than optimistic (Van Kuik et al. 2006; World Energy Outlook
2009; International Energy Outlook 2010).
IEA in its review from 2008 assumed price increase of constructive costs of
the newly built plants in EU. The assumed price of emission is $30/t of CO2 plus
$30/MWh of production costs for coal-based plants, while for gas-based plants the
cost is $15/MWh.
Figure 57.25 shows prognoses for electric power production costs in EU for 2015
and 2030 (source: IEA World Energy Outlook 2008). The diagram shows that new
57 Wind 1141
capacities of wind turbines in the period 2015–2030 are expected to have lower
production price in comparison to the coal and gas technologies.
19 Summary
Wind turbines have their extreme growth and development. In 5 years (2007–2011)
the capacities have more than tripled. With the development of technology, technical
characteristics of wind turbines and wind parks have significantly improved. There
is currently an intensive work underway on new construction designs.
Wind turbine economics are changing rapidly, because of the new turbine
producers, expansion of wind energy, initiatives for RES, etc. The generation cost
of wind turbines approaches the cost of coal-fired generation.
Wind turbines have some negative as well as positive impacts on the environment.
Benefits of wind energy are different and very important. Experience in the
implementation of wind projects in the EU shows that social acceptance is very
important for the successful development of wind energy.
References
2010 Wind Technologies Market Report, U.S. Department of Energy
G. Boyle, Renewable Energy, Power for a Sustainable Future (Oxford, 2004). ISBN 0-19-926
178-4
C. Ender, International development of wind energy use – status 31.12.2005, DEWI magazine nr.
29, pp. 38–44, Aug 2006
33, pp. 43–53, Aug 2008
35, pp. 28–33, Aug 2009
C. Ender, Wind energy use in Germany – status 31.12.2011, DEWI magazine nr. 40, pp. 30–43,
Feb 2012
European Parliament, Directive 2001/77/EC, Renewable energy: the promotion of electricity from
renewable energy sources (2001), http://europa.eu/legislation summaries/energy/renewable
energy/l27035 en.htm. The Kyoto Protocol to the Framework Convention on Climate Change,
http://unfccc.int/essential background/kyoto protocol/items/1678.php
R. Gasch, J. Twele, Wind Power Plants – Fundamentals, Design, Construction and Operation.
(Solarpraxls AG, Berlin (ISBN 3-934595-23-5)/James and James, London (ISBN 1-902916-
38-7))
Global Wind Statistics, 7.2.2012, http://www.gwec.net
http://www.swayturbine.no
http://www.windtec.at
http://www.flickr.com/photos/mass cec/5762452246/
http://www.enercon.de
http://www.nordex.de
http://www.vestas.com
International Energy Agency, World Energy Outlook 2009 (Paris, 2009), p. 128
1142 E. Zlomusica
International Energy Outlook, U.S. Energy information administration, Office of integrated

analysis and forecasting, U.S. Department of energy (2010), http://www.eia.gov/oiaf/ieo/index.
html
International Wind Power Market Update 2010, BTM consult, Mar 2011
S. Krohn, P.E. Morthorst, S. Awerbuch, The economics of wind energy, A report by the european
wind energy association, articles of the EWEA, www.ewea.org/fileadmin/ewea documents/
documents/publications/reports/Economics of Wind Main Report FINAL-lr.pdf. Accessed
Mar 2009
Recharge, China boosts wind power target to 100 GW by 2020, www.rechargenews.com/regions/
asia pacific/article177459.ece. Accessed 5 May 2009
Technical Encyclopedia 10 (Yugoslav Lexicographical Institution, Zagreb, 1982), pp. 254–262
United Press International, China increases its wind power, Beijing, www.upi.com/Energy
Resources/2009/01/19/China increases its wind power/UPI-58981232388248. Accessed 19
Jan 2009
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ternational Conference Advances in New and Sustainable Energy Conversion and Storage
Technologies (Croatia, Dubrovnik, 2006), pp. 61–79
Wind Energy – The Facts, Part V, Environmental issues (2009) http://www.wind-energy-the-facts.
org/
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Wind Turbine Market (2005), Hannover
Wind Turbine Market (2007), Hannover
World Market Update 2005, BTM consult, Mar 2006
Section VII
New Materials
New Materials: Introduction
58
Atsushi Suzuki
The increased awareness about global effects on the environment calls for techno-
logical innovations in the materials science field. Considering that the development
of science and technology has centered on materials and energy, it is necessary
to develop human-friendly and environment-conscious materials with excellent
properties and functional performance. In this sense, two global risks are of priority:
weather risk and resource risk. The former risk is attributed to changes in Earth’s
climate, which in turn are due to the continuing rise in the atmospheric concentration
of greenhouse gases by fossil fuel burning. Several ecomaterials and ecoprocesses
have been introduced with the aim of reducing greenhouse gas emissions to a
significant extent. The latter risk is due to the limited number of natural resources
of rare-earth elements and commodity substances. Hence, materials design is being
prioritized in the development of alternative materials. These global problems are
driven by two essential factors: population increase and the increasing demand for
energy in the developed and developing countries.
The aforementioned risks have frequently been noted since the middle of the
last century. The first World Summit on Sustainable Development (Earth Summit)
held in 1992, in Rio de Janeiro, Brazil, brought together a number of leaders from
business and nongovernmental organizations. At the Earth Summit 2002 held in
Johannesburg, South Africa (“Rio+10”), the world leaders discussed a wide range
of issues that had to be resolved, including environmental pollution, energy, and
countermeasures against global warming. “Rio+20,” which will be held in 2012
once again in Rio de Janeiro, aimed at securing renewed political commitment,
to assess the progress toward internationally agreed goals and to address new and
emerging challenges for sustainable development.
A. Suzuki ()
Department of Materials Science & Research, Institute of Environment and Information Sciences,
Yokohama National University, Yokohama, Japan
e-mail: asuzuki@ynu.ac.jp

DOI 10.1007/978-1-4020-8939-8 124,
1146 A. Suzuki
Against the background of rapid economic development in the developing

countries and increasing globalism, scientists, engineers, and social scientists are
concerned that greenhouse gas emission may not be reduced at the rate and
magnitude required to restrict the increase in the global average temperature to a
sustainable level. Some scientists and specialists pointed out that the “tipping point”
or the “point of no return” had already been reached a couple years ago when the
atmospheric carbon dioxide level reached a specific concentration. Considering the
lack of political agreements between the developed and developing countries, some
researchers have been showing interest in geoengineering approaches, including
carbon dioxide removal and solar radiation management, which are based on the
present advanced techniques. In addition to prior art, the geoengineering, which
would allow for large-scale manipulation of climate, may help in solving global
warming issues to some extent.
On the other hand, many researchers in the materials science field believe
that comprehensive innovation and the development of new knowledge could
help establish a truly sustainable society. In addition to technological innovation,
reconstruction of social systems, including creation of markets, development of
manufacturing and distribution processes, and reformation of legal and financial
systems, would be possible. Technological innovation causes changes in production
and consumption patterns, and global trends in such pattern changes may lead to
more technological innovations. In the last two decades, a large number of techno-
logical developments pertaining to information technology, nanotechnology, genetic
engineering, and genomics were seen. The discovery of one piece of knowledge by
materials researchers and engineers could ignite a technical innovation that would
bring about a marked change in the society and our lifestyle. For example, the
Internet would disseminate information rapidly at a low cost; nanotechnology would
allow for the supply of clean water by the use of ultrafine filters; genetic engineering
can be used in agriculture to solve the food crisis problem; and genomics would
contribute to personalized medicine by aiding the development of rational methods
to optimize drug therapy. Such prior art and almost all the recent innovations
are related to advanced materials and systems. Therefore, it would not be an
exaggeration to say that technological innovations are entirely dependent on the
development of new materials and commodity substances with unique properties.
Technological innovations are expected to provide a wide range of breakthroughs
that aid the establishment of a sustainable society. These breakthroughs will have
wide-ranging implications for economic activities and will help achieve harmony
with the natural environment. To establish comprehensive innovation strategies, it is
necessary to address crosscutting issues by interdisciplinary collaborations, which
depend on social, economic, and regulatory factors.
In addition to the paradigm shift brought about by new knowledge in science
and technology, major changes to the framework of the society and individual
lifestyle may result from unexpected events. In fact, this century has had a turbulent
start with a series of terrorist attacks, unusual climatic events such as tsunami and
hurricanes, the prevalence of new infectious diseases such as SARS and bird flu,
58 New Materials: Introduction 1147
and the most recent nuclear disaster triggered by the Great East Japan earthquake
and tsunami. These experiences taught us many valuable lessons. The best thing
that materials scientists and engineers can do in this tragic phase is to dedicate the
accumulated knowledge and skills to technological advancements for the betterment
of the society and the environment.
The section on new materials includes some typical examples of the recent
achievements and innovations in advanced materials research and technology. The
chapters can be divided into three main areas: Energy, Resources, and Computer-
Aided Materials Design; Renewable and Biodegradable Materials and Nature
Technology; and Resource Consumption and Alternative Materials. The first area
consists of three chapters: Advanced Energy Devices: Lithium Ion Battery and
High Energy Capacitor, Advanced Materials for Fuel Cells, and Computational
Materials Science and Computer-aided Materials Design and Processing. The sec-
ond area consists of two chapters: Biopolymers for Environmental Applications:
Highly Functional Polyactic Acid Composites Used for Durable Products, and
Mechanisms of Organisms as Environment-Friendly Materials Design Tools. The
third area consists of two chapters: Thermodynamics and Resource Consumption:
Concepts, Methodologies, and the Case of Copper, Alternative Materials Devel-
opment Utilizing Advanced Nanotechnology.
High power density and high energy density are required as a power sources for
hybrid electric vehicle and electric vehicle. The advanced energy device chapter
focuses on lithium ion battery and high-energy capacitor. The positive electrode
materials and their synthesis by the solution process including the hydrothermal and
solvothermal methods are discussed. The hybrid capacitors such as metal oxide-
doped graphene and PANI/graphene nanocomposites with their electrochemical
performances are presented.
Fuel cells are devices for direct conversion of the chemical energy of a fuel
into electricity by an inverse reaction of the electrolysis of water. The fuel cell
chapter introduces the present status and future prospect on the basis of the materials
science of fuel cells. Among the several types of fuel cells, the solid oxide fuel cell
(SOFC) is focused because of its higher efficiency. The usefulness of the combined
approach of microanalysis, simulation, and processing route design is presented for
a breakthrough in the SOFC field.
The computer simulation chapter introduces recent rapid advances in computer
technology that have given rise to numerous opportunities in materials science
research. The advantages of simulation can be evaluated based on its ability to
rapidly and accurately predict the properties of novel functional materials in a
cost-effective way because simulations are easy to perform, even for very complex
systems. As for a typical example, this chapter deals with the recent achievements
in the study of hydrogen clathrate hydrates.
Bioplastics using renewable plant resources have distinct advantages as an
alternative to petroleum-based plastics. The bioplastics chapter introduces highly
functional polylactic acid composites as advanced bioplastics that offer high
performance with keeping environmental friendliness. The methods to improve heat
1148 A. Suzuki
resistance, strength, flame retardancy, shape memory, recyclability (thermoplastic-

ity), high thermal diffusivity, and tenacity are presented.
New materials mimicking nature can lead to breakthroughs in the develop-
ment of technologies with low environmental load, little energy, and minimal
waste. Biomimetics research chapter introduces the technological developments
focusing on the superior adhesion/detachment of organisms as a nature technology.
After reviewing the excellent adhesion/detachment qualities of the gecko foot,
spontaneous detachment inspired by the mechanism of abscission in plants is
presented, which could be utilized in recover electronic chips without using energy
for heating or the like.
The resource consumption chapter deals with the analysis and minimization of
resource consumption. Exergy and entropy analysis is introduced as analytical tools
and also briefly explained, with recommendations for further self-study to get more
familiar with the methodologies. An example, copper making from sulfidic ore
concentrates is presented as a case study for the application of entropy analysis,
and the results are compared to results from other analyses. An interpretation of
entropy production in the context of ecological sustainability and finite resources is
also offered.
Much attention has been paid to resource problems of rare earth elements and
other minor metals within recent years. The alternative material chapter deals
with recent technologies in developing alternative materials, which refers to the
materials composed of abundant and ubiquitous elements with which replace
conventional ones containing minor elements. The methods of the development are
focused on utilizing computational materials science, advanced nanotechnology for
the fabrication, and nano-characterization technique. Some actual cases of recent
developments are presented.
Thus, subjects presented are limited to a part of new materials, but they are
typical examples in several interlinked global issues in materials science field. It is
now imperative to develop eco-technologies for repressing resource consumption,
reducing greenhouse gas emissions, and reducing the environmental load at the
global level. Therefore, it is fair to say that advanced new materials can be
potential solutions to accelerate the evolution and impact of new technologies for
achieving sustainable society, economy, and environment. All the outcomes from
environment-conscious new materials will serve as foundations for the materials se-
lection and consumption, eco-products and service systems, and social technologies
in general which could play a significant role in preventing environmental disasters,
related to weather and resource risks.
Cross-References

Renewability of Energy Resources, Energy Vectors, and Energy Technologies for
Mobility
Solar Energy: Harvesting the Sun’s Energy for Sustainable Future
Advanced Energy Devices: Lithium Ion
Battery and High Energy Capacitor 59
M. K. Devaraju, M. Sathish, and I. Honma
Abstract
The development of modern technology toward energy production and storage
is essential to support human life with wide impact on the environment,
human health, and world’s economy. Through the development of the advanced
energy systems, human life can be ensure in a networked society even more
conveniently. In the electric and energy field, secondary batteries will play a
critical factor in reducing the environmental hazard and enable the effective
construction of the green energy society. At present, high power density and high
energy density are required as a power sources for the hybrid electric vehicle
(HEV) and electric vehicle (EV). As we know, Li-ion battery has high energy
density but low power density. The energy density of Li-ion battery decreases
with the increase in rate capability, but electric double-layer capacitor has high
power density but low energy density. So, this chapter focuses on the advanced
energy devices such as lithium-ion battery and high energy capacitors beginning
with brief introduction.
The importance of the solution process mainly including the hydrothermal
and solvothermal method as sustainable chemistry toward the processing of
the positive electrode materials for lithium-ion batteries has been discussed.
The requirement and different techniques of the carbon coating using different
carbon sources to improve the electrochemical property of the positive electrode
materials have been focused. The electrochemical property of the olivine-
structured cathode materials affected by different particles size and morphology
has been addressed. The concept of using graphene-based compounds for
the electric double-layer capacitor applications and electrochemical capacitor
M.K. Devaraju () M. Sathish I. Honma

Institute of Multidisciplinary Research for Advanced Materials, Tohoku University, Aoba-ku,
Sendai, Japan
e-mail: devarajumk@rediffmail.com; marappan.sathish@gmail.com;
i.honma@tagen.tohoku.ac.jp;

DOI 10.1007/978-1-4020-8939-8 105,
1150 M.K. Devaraju et al.
based on pseudocapacitance has been discussed. The hybrid capacitors such

as metal oxide-doped graphene and PANI/graphene nanocomposites with their
electrochemical performances have also been discussed.
1 Introduction
The rapid growth of science and technology during the last several decades in the
world is keep changing the human life by contributing to their needs to enjoy
their living. Recently, the development of the advanced energy devices becomes
critical to global human development including the ecosystems, economic growth,
employment, and prosperity of the present and future generation. In addition, the
slow diminishing of available energy resources is an alarm to change the present
energy system to the sustainable and renewable one for a long-term energy supply
for the mankind. Moreover, realization of the “low carbon society” based on
the advanced technologies for the sustainable development is one of the greatest
challenges at present.
The key technology for this challenge is to develop the next generation of clean
energy storage devices with high power density, high energy density, and high safety
for the hybrid electric vehicles (HEV), plug-in hybrid electric vehicles (PHEV), and
pure electric vehicles (PEV) (Aric-o et al. 2005). The practical realization of these
applications involves the development of the advanced energy functional materials
for the high energy storage and for a long-term performance. Lithium-ion battery
and capacitors are considered as the future advanced energy storage systems for
various next generation electronic and electrical applications.
Lithium-Ion Battery: Lithium-ion (Li-ion) batteries are comprised of cells that
employ lithium intercalation compounds as the positive and negative materials. As
a battery is cycled, lithium ions (LiC ) exchange between the positive and negative
electrodes. They are also referred to as “rockingchair” batteries as the lithium ions
“rock” back and forth between the positive and negative electrodes as the cell is
charged and discharged. The positive electrode material is typically a metal oxide
with a layered structure, such as lithium cobalt oxide (LiCoO2 ), or a material with
a tunneled structure, such as lithium manganese oxide (LiMn2 O4 ), on a current
collector of aluminum foil. The negative electrode material is typically a graphitic
carbon, also a layered material, on a copper current collector. In the charge/discharge
process, lithium ions are inserted or extracted from the interstitial space between
atomic layers within the active materials (Ehrlich 2001).
The mechanism involved in Li-ion battery is shown in Fig. 59.1. Where the
lithium metal was substituted with other insertion compounds, such as graphite
or non-graphitic carbon, LiCoO2 was used as the cathode material. The entire
electrochemical process would involve the reversible transfer of lithium ions
between the two electrodes. During the charge process, lithium ion is de-intercalated
from the cathode layers, then transported and intercalated into the carbonaceous
anode. While the discharge process occurred, the lithium ions are deintercalated
from the carbonaceous anode and intercalated again to empty site between layers of
the cathode materials (Park 2010).
59 Advanced Energy Devices: Lithium Ion Battery and High Energy Capacitor 1151
e− e−
A
− LixC6 Li1−xCO2 +
Li+
e− charge e−
e−
e−
Li+ discharge
e− e−
Fig. 59.1 Schematic representation of Li ion battery showing discharge intercalation mechanism
(Ehrlich 2001)
Among the batteries, especially secondary batteries have been essential part of
the power source for the advanced energy devices. In the future, they will become
a key factor to pursue comfortable human life. The electric power source will
be produced by the environmentally friendly wind generation and solar cell, and
the produced electric power can charge the batteries which are not harmful and
friendly to the environment. In the electric and energy field, secondary batteries
will play a critical factor in reducing the environmental hazard and enable the
effective construction of the green energy society (Park 2010). After three decades
of development in battery technology, the Li-ion battery technology has emerged
as one of the most popular battery technologies (Tarascon and Armand 2001).
They are widely used in various electronic devices because of their good cycle
life, high energy density, and high capacity over any other battery technologies.
The Li-ion battery technology that now dominates much of the portable battery
business has matured enough over the last 5 years to be considered for the short-
term implementation in the hybrid electric vehicles (HEV) and electric vehicles
(EV) applications (Tarascon and Armand 2001).
High Energy Capacitors: The discovery of a so-called condenser, now referred
to as a capacitor that electric charges could be stored on the plate, was made in
the mid-eighteenth century during the period when the phenomena associated with
“static electricity” were being revealed. The embodiment known as a condenser is
attributed to Musschenbroek (Encyclopedia Britannica 1926) in 1746 at Leyden in
the Netherlands, hence the name “Leyden jar.” The electrochemical capacitor was
supposed to boost the hybrid electric vehicle to provide the high or strong power
for acceleration and additionally allow the recovery of braking energy. The electric
double-layer capacitor consisting of a single cell with a high surface area electrode
material is loaded with electrolyte (Kotz and Carlen 2000). The schematic diagram
←
polarizing
collector electrodes collector
+ separator + -
−
+ − electrolyte + -
+ − − + -
+ − − + -
+ − + -
+ +
+ − + -
electric double layer −

+
Fig. 59.2 Schematic representation showing basic structure of electric double layer (Kotz and
Carlen 2000)
of the double-layer electric capacitor is shown in Fig. 59.2. Electric double-layer

capacitors store the electric energy in an electrochemical double layer (Helmholtz
layer) formed at the solid/electrolyte interface. Positive and negative ionic charges
within the electrolyte accumulate at the surface of the solid electrode. The quantity
of ion removed from the electrolyte equals the charge developed on the electrode
surface. Therefore, the maximum energy stored in a capacitor is limited by the
capacitance of the capacitor, C, and the maximum operating voltage, V.
Recently, high-performance electrochemical energy storage systems are being
investigated as they are very important for the electric vehicles and hybrid electric
vehicles (Liu et al. 2010). Great efforts have been made to develop high-power
(10 kW kg1 ) electrochemical capacitors (ECs) due to their faster charge and
discharge processes, in seconds, than those of batteries. In addition, electrochemical
capacitors have a longer cycle life as compared to batteries because no or negligibly
small chemical charge transfer reactions are involved.
When compared with those of other secondary batteries and Li-ion battery, it has
the following advantages: long cycle life, >100,000 cycles; some system up to 106 ;
good power density (under certain conditions, limited by IR or equivalent series
resistance (esr) complexity of equivalent circuit); simple principle and mode of
construction; cheap material (for aqueous embodiment); combines state-of-charge
indication, Q D CV; and can be combined for the rechargeable battery for the hybrid
application (electric vehicles). However, ECs suffer from a lower energy density
than batteries (Liu et al. 2010). The energy density can be improved by adopting
asymmetric (hybrid) systems; at present they have been extensively explored by
combining a battery like Faradic electrode (as energy source) and a capacitive
electrode (as power source) to increase the operation voltage, which leads to a
notable improvement of the energy density of high-power ECs nearly to that of
batteries (Yoshino 2004).
In this chapter, solution-based synthesis and characterization of the olivine-

structured lithium metal phosphates (LiFePO4 , LiMnPO4 , and LiCoPO4 ) nanoma-
terials used as the positive electrode materials will be focused. The sustainable
chemistry process such as supercritical solvothermal method and solution process
that has been used for the materials synthesis is discussed. These methods can
be considered as environmentally friendly, rapid, and easy process for large-
scale synthesis or preparation of the advanced functional materials. High-energy
capacitors such as metal oxide–doped graphene, PANI/graphene nanocomposites,
and electrochemical capacitors based on pseudocapacitance have been discussed
along with their electrochemical property for the advanced energy systems.
2 Positive Electrode Materials for Li-Ion Battery
Among the battery components, the cathode materials are the one which are crucial
in determining the high power, safety, longer life, and cost of the battery that satisfies
the requirements of the larger battery system. These can be applicable to the electric
vehicles, power tools, energy storage equipment, and so on (Padhi et al. 1997).
There are various types of materials being used as the positive electrode materials
for the lithium-ion batteries as shown in Fig. 59.3 (Tarascon and Armand 2001).
The structural, chemical stability, availability of redox couples at a suitable energy,
specific capacity, operating voltage, and safety issues are the primary considerations,
and these properties are different among the positive electrode materials shown
in Fig. 59.3. Lithium-based electrodes have four types of structure which have
lithium insertion voltage of above 3 V. They include layers of lithium metal oxides
such as LiCoO2 , LiNiO2 , LiCoNiO2 , and LiMnNiO2 ; the zigzag layers structure
of LiMnO2 ; the three-dimensional spinel type, LiMn2 O4 and Li1=2 Mn3=2 O4 ; and
the olivine structure of LiMPO4 (M=Fe, Mn, Co, and Ni). Recently, Li2 MSiO4
(M=Fe, Mn, and Co) based cathodes have been investigated, which are envisaged
as the potential cathode candidate for the high-power batteries (Dominko 2010).
This is because of their overwhelming advantages such as high theoretical capacity
(>330 mAh g1 which is possible while extracting more than one LiC ion per
formula unit), high thermal stability through strong Si–O bonding, safety, cost-
effectiveness, eco-friendliness, and ease to synthesize. This chapter discusses the
olivine-structured LiMPO4 cathode materials.
3 LiMPO4 (M=Fe, Mn, Co, and Ni) as Positive Electrodes for

Li-Ion Battery
In 1990s, LiCoO2 was commercialized by Sony. Since then, a series of excellent

candidates has appeared because of high cost and oxidative instability of LiCoO2 for
use as the cathode material. In this regard, the layered rock salt systems, LixNiO2
(0<x<1)-, and the manganese spinel framework systems, Lix Mn2 O4 , are now used
commercially as the 4-V cathode materials because they have met above needs
Li1−xMn2−yMyO4
Positive material:
Positive materials
Li1−xCo1−yMyO2
4
Li1−xNi1−y−zCoyMzO4[M=Mg,AI,...] of Li ion
Polyanionic compound [Li1−xVOPO4,LixFePO4] limited RT cycling

of Li metal
LixMn1−yMyO2 [M=Cr, Co,...]
Potential versus Li/Li+ (v)
3
Vanadium oxides
MnO2 [V2O5, LiV3O8] Li-metal
Li-ion
potential potential
2
Negative material:
3d-Metal oxidea
Negative materials
of Li ion
Composite alloys [Sn(O)-based] ( limited cycling)
[Sn(M)-based]
of Li metal
1
Carbons Nitrides LiMyN2
Graphite
Li metal
0
0 200 400 600 800 1000 3,800 4,000
Capacity (A h kg−1)
Fig. 59.3 Voltage vs. capacity of some cathode materials (Tarascon and Armand 2001)
to some degree. However, they are still problematic due to their compositions.
To overcome these disadvantages and problems, the olivine-structured lithium metal
phosphate cathode materials are considered as the attractive cathode materials
because they are in low cost, abundant in nature, exhibit high theoretical capacity
(170 mAh g1 ) (Padhi et al. 1997), high thermal stability owing to the presence of
a strong P–O covalent bond, and easy to synthesize.
LiMPO4 (M=Fe, Mn, Co, and Ni) belongs to the orthorhombic structure, which
consists of the hexagonal closed packing (HCP) of the oxygen atoms with LiC and
M2C cations located in half of the octahedral sites and P5C cations in one eighth of
the tetrahedral sites (Fig. 59.4). This structure may be described as chains (along the
c direction) of edge sharing MO6 octahedra that are cross-linked by the PO4 groups
forming a three-dimensional network. Tunnels perpendicular to the [010] and [001]
directions contain octahedrally coordinated LiC cations (along the b-axis), which
are mobile in these cavities (Jin and Jiang 2009). Among the phosphates, LiFePO4
is considered most stable, low cost, and high compatibility with the environments.
3.1 Synthesis of LiMPO4 (M=Fe, Mn and, Co) Cathodes by the

Solution Process
Since the demand for the cathode materials for lithium-ion battery is increasing
continuously, various methods have been developed to prepare lithium metal
phosphate nanoparticles, such as the sol–gel method (Choi and Kumta 2007),
Fig. 59.4 The schematic representation of the crystal structure of LiMPO4 (M=Fe, Mn, Co, and
Ni) compounds showing the HCP oxygen array with MO6 and PO4 groups (Jin and Jiang 2009)
coprecipitation (Arnold et al. 2003), mechanochemical activation (Kim et al. 2007),

spray technology (Konarova and Taniguchi 2009), and solid-state reaction (Padhi
et al. 1997). However, all these methods have limitations in practice. Commercial
success of new cathode materials is mainly dependent on the preparation method,
which controls morphology, particle size, and cation order among other critical
experimental parameters. Although traditionally high-temperature methods have
been used, they are both energy intensive and cannot readily produce many
potentially metastable structures that might result in high lithium-ion diffusivity.
However, they do have the advantage of being hydroxyl/water-free. There are
many possible approaches for the synthesis of active materials, but in the end, a
commercially viable approach must be used (Whittingham et al. 2004). Therefore,
simple solution process could be required to overcome practical problems.
Recently, soft chemical approaches such as hydrothermal and solvothermal or
ion exchange offer several advantages and are being used on the tonnage quantities,
as such, the chemical industry considers them viable. Hydrothermal synthesis has
been extensively studied for the synthesis of simple oxides such as those of tungsten,
molybdenum, and vanadium, and today many of the key parameters are understood
(Chirayil et al. 1997). Different kinds of phosphates have also been successfully
prepared by the hydrothermal method (Byrappa et al. 2008). The advantages of
Hydrothermal and solvothermal process
FURNACE/OVEN
Teflon
Precursors Autoclave
liner
Hydrothermal and solvothermal products
Precursors Spheres Plates Cubes Rods
Fig. 59.5 Showing experimental scheme of hydrothermal and solvothermal process for the design
of nanoparticles with various shapes (Author unpublished work)
using the hydrothermal and solvothermal methods are shown in Fig. 59.5, where
morphology, size, and other experimental parameters can be easily controlled.
Moreover, low-temperature solution process is environmentally friendly, low energy
consuming, and easy to perform for the large-scale production.
The concept of the hydrothermal process for the preparation of LiFePO4 was
first realized by Yang et al. in (2001). However, preparation of the nanocrystalline
particles ranging from 500 to 1,500 nm was reported by Tajimi et al. (2004) under
the hydrothermal reaction condition at the reaction temperature of 150–220ıC for
several hours using various amounts of polyethylene glycol (PEG).
Recently, monodispersed particles of LiFePO4 were prepared using a mixture of
isopropanol and aqueous solution by controlling the RH factor (Zhang et al. 2009).
The monodispersed LiFePO4 particles were controlled from 1 to 4 m in length
and 1–2 m in diameter. Small particles of LiFePO4 measuring 400–1 m with
the shape of discrete short rods were obtained at the RH factor of 1 (Fig. 59.6a).
However, several attempts have been made to obtain cathode materials with different
size and morphology. In this regard, the rodlike LiFePO4 particles with 100 nm
of uniform diameter and 5–10 nm of the aspect ratio were synthesized by the
hydrothermal reaction at 220ıC (Huang et al. 2010), and the rodlike morphology
can be seen in Fig. 59.6b.
In order to reduce the reaction time and to obtain homogeneous monodispersed
particles, a few attempts have been made to synthesize the cathode materials at a
shorter reaction period. Hence, a rapid production of the cathode materials by the
Fig. 59.6 LiFePO4 cathode materials with different morphology synthesized by hydrothermal
method (Reproduced with permission from Zhang et al. (2009), Huang et al. (2010) and Xu et al.
(2008))
continuous hydrothermal method has been adopted to synthesize LiFePO4 nanopar-

ticles (Xu et al. 2008) ranging from 20 to 40 nm in diameter as shown in Fig. 59.6c.
This process is promising for the large-scale synthesis of high purity monodispersed
nanocrystalline electrode materials for the application in the Li-ion battery.
Recently, surface modified LiFePO4 /C nanocrystals were synthesized from the
supercritical batch reactors at 400ı C for 30 min using inexpensive environmentally
friendly solvent such as ethanol and water (Rangappa et al. 2009). The as-
synthesized particles exhibited less than 15 nm in diameter. Morphology can also be
easily controlled by this process such as the nanoarchitectured structure of LiFePO4
as shown in Fig. 59.7a (Rangappa et al. 2010), and nanoplate/nanorods of LiMnPO4
(Fig. 59.7b, c) were synthesized in the presence of surfactants such as oleic acid and
oleylamine at 400ı C for 4–10 min (Rangappa et al. 2010a). In addition, LiCoPO4
nanoparticles were also synthesized by this method. The as-synthesized LiCoPO4
particles showed 50–100 nm in diameter (Fig. 59.7d). The experimental results
confirmed that using selective surfactants and solvents, morphology and size of
the cathode materials could be easily modified. Furthermore, the reaction time and
temperature can be shortened in the light of the energy savings.
The microwave-hydrothermal and microwave solvothermal methods have been
used to synthesize the positive electrode materials within a short period of reaction
time as these methods have advantage of changing the reaction kinetics while
irradiating microwave. The platelets like LiMnPO4 nanoparticles (Ji et al. 2011)
were synthesized using the microwave hydrothermal method at 120–180ıC for
a short period of reaction time, and the as-synthesized particles are shown in
Fig. 59.8a. The size of the platelets was controlled to 150 nm thickness and 5 m
basal dimensions. The nanorods of LiFePO4 were prepared by the rapid microwave
solvothermal method (Murugan et al. 2008) at 300ı C for 5 min. The large nanorods
of LiFePO4 with a width of 40 ˙ 6 nm and a length of up to 1 m were successfully
synthesized in presence of tetraethylene glycol (TEG) as shown in Fig. 59.8b.
This result showed the effect of selective solvents on the morphology of the final
products.
Fig. 59.7 (a) Nanoarchitectured of LiFePO4 (b) and (c) nanoplate and nanorods of LiMnPO4
and (d) sphere-like particles of LiCoPO4 synthesized by supercritical method (Reproduced with
permission from Rangappa et al. (2010a) and Rangappa et al. (2010b) and LiCoPO4 from author’s
unpublished work)
Polyol-mediated solvothermal synthesis (Lim 2010) of LiMPO4 (M=Fe and

Mn) particles with dimensions of length and width in the range of 200–350 and
200–400 nm, respectively, are shown in Fig. 59.8c. The use of the polyol solvents
acts not only as a solvent but also as a reducing environmental agent and stabilizer,
thereby limiting particle growth and preventing agglomeration. Thickness of the
plate-like LiFePO4 down to 30 nm, width of 100 nm, and length of 200 nm were
synthesized by the solvothermal method at 180ıC for 18 h (Nan et al. 2011).
Morphology and well-resolved lattice fringes of LiFePO4 can be seen in Fig. 59.8d.
Morphology and size have their own effects on the property of the cathode materials.
Therefore, the solution-based green synthesis methods are much beneficial in
designing the nanocrystalline electrode materials since the nanocrystalline materials
Fig. 59.8 (a) Platelet like of LiMnPO4 nanoparticles synthesized by microwave hydrothermal
method (b) large nanorods of LiFePO4 synthesized by microwave solvothermal method (c)
platelike LiFePO4 synthesized by polyol method (d) thin plate like LiFePO4 synthesized by
solvothermal method (Reproduced with permission from Ji et al. (2011), Murugan et al. (2008),
Lim et al. (2011) and Nan et al. (2011))
possessing different shape are promising to behave much differently than the
bulk materials. Hence, from the nanocrystalline materials, improved and surprising
physicochemical reaction can be expected, which could play a vital role in various
technological and chemical applications.
3.2 Conductive Coating of Cathode Materials
The practical capacity and high rate performance of the olivine-structured lithium
metal phosphates are not impressive due to its low electronic conductivity
(1 109 scm1 at room temperature). To improve the electronic conductivity

of these materials, the following approaches have been considered:
(a) Decreasing the particle size for shortening the ionic and electronic transport
(b) Surface modification by the conductive carbon coating
(c) Doping the supervalent cations to enhance the intrinsic conductivity
(d) Designing different morphology and changing the texture and pore size
However, the expected electronic conductivity cannot be reached simply by
producing the cathode materials with different morphology, size, or doping su-
pervalent cations. Therefore, surface modification of these materials is necessary
by conductive carbon coating because carbon coating offers better electronic
conductivity. The conductive carbon coating can be done either by the in situ or
ex situ coating technique. The in situ coating involves mixing of the carbon source
during the synthesis of the cathode materials at various reaction temperatures. This
method is useful to achieve homogeneous coating around the individual particles.
However, sometimes coating may not be uniform due to inhomogeneous mixing or
improper design of the experimental conditions. The ex situ coating involves mixing
of the carbon source either by the physical mixing or by high-energy ball milling
method.
Recently, various conductive carbon sources were successfully coated on to the
cathode materials, and this chapter discusses several carbon coating techniques.
Sugar was used as the carbon source by Jeon et al. (2007), and the in situ mixing
was carried out during the synthesis of the LiFePO4 particles, and carbon was
successfully mixed with the cathode materials as shown in Fig. 59.9a. Under the
supercritical water conditions, ascorbic acid was used as the carbon source, and the
in situ coating was carried out to synthesize the LiFePO4 /C particles (Rangappa
et al. 2009). Formation of the carbon layer can be seen in Fig. 59.9b for the heat
treated LiFePO4 particles at 500ı C. This result shows that ascorbic acid can act as
the reducing agent to prevent the oxidation of metal ion from divalent to trivalent
and also as effective carbon source for the conductive coating.
Saravanan et al. (2009) have used D-gluconic acid lactone (C6 H10 O6 ) as the
carbon source, and the in situ coating was carried out using the solvothermal
method. Figure 59.9c shows 5-nm carbon layer formation around the particles.
This result shows that at low temperature (250ıC), the carbon coating can be
achieved using the selective carbon sources. The conductive polymer such as
PEDOT was used to coat LiFePO4 by Murugan et al. (2008) via the rapid microwave
solvothermal method. The homogeneous conductive polymer coating can be seen
around the LiFePO4 nanorod as shown in Fig. 59.9d.
Hence, better carbon coating can be made through the solution process as all of
the solution routes start from a precursor in a liquid solution which provides intimate
mixing of the carbon source with the ingredients on the atomic level, leading to
the rapid homogeneous nucleation and uniform particle formation. Moreover, when
compared with the other methods such as the carbonothermal and high-temperature
heating process used for the carbon coating and materials preparation, the solution-
based synthesis methods have advantages on the materials preparation and the
carbon coating at the low temperature with the selection of suitable organic solvents
Fig. 59.9 Carbon-coated LiFePO4 materials using (a) sugar, (b) ascorbic acid, (c) D-gluconic acid
lactone, and (d) PEDOT polymer (Reproduced with permission from Jeon et al. (2007), Rangappa
et al. (2009), Saravanan et al. (2009) and Murugan et al. (2008))
which can contribute as carbon source during the synthesis of the cathode materials.
High-boiling point solvents like glycols can be beneficial as the carbon source and
to achieve better in situ coating at the time of synthesis.
3.3 Charge/Discharge Process of Cathode Materials
Specific capacitance of the potential Lithium-ion battery cathode material is usu-

ally determined by the electrochemical galvanostatic charge/discharge technique.
Specific amount of the cathode materials was mixed with the carbon additives
3.5
Voltage versus Li/Li+ (V)

Discharge
Voltage gap resulting from hysteresis
3.0
2.5
Charge
2.0
1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 2.0
x in LixFeSiO4
Fig. 59.10 Typical galvanostatic charge–discharge curve of LiFeSiO4 at a C/20 rate (Reproduced
with permission from Dreyer et al. (2010))
and then with the binder to make electrode paste. The electrode paste will be
pressed on Ni mesh and then cell assembled in the argon glove box. For the
charge/discharge measurement, the current rates of the cathode materials will be
calculated based on its theoretically calculated specific capacity in various time
spans and considering the amount of the cathode material present in the electrode
paste. The cut-off voltages used for the measurements are adapted according to the
type of the measured cathode material. It is important to note that materials that can
be cycled at high C-rates and operating in the voltage window of commercially used
electrolytes are desirable. During the galvanostatic cycling, structural change occurs
inside the electrode material as a result of the LiC insertion/extraction (lithium metal
is used as a counter electrode – anode). The results from the measurements can be
plotted in the galvanostatic charge/discharge curves (voltage vs. capacity, voltage
vs. composition as shown in Fig. 59.10 (Dreyer et al. 2010), and capacity vs. cycle
number). Important parameters that can be determined from these curves are specific
capacity, voltage, and reversibility (e.g., polarization, voltage gap between charge
and discharge).
The LiMPO4 (M=Fe and Mn) cathode materials with similar crystal structure
synthesized by various solution routes show different electrochemical property.
The discharge capacity is not only dependent on the structure of the cathode
materials, but other facts also influence the electrochemical property of the cathode
materials, for example, crystal size, morphology, and method of carbon coating. For
example, the charge/discharge profile of the LiFePO4 nanorods shown in Fig. 59.10a
shows the discharge capacity of 140 mAhg1 (Fig. 59.11a) for the first cycle and
decreases to 130 mAhg1 after 20 cycles (Huang et al. 2010). The potential voltage
gap between the charge and discharge profile is wide. This might be due to low
conductivity, and it can be overcome by proper conductive carbon coating to
a 5.0 b 4.5
4.5
0.5C 4.0
4.0
3.5
3.5
Voltage (V)
Voltage (V)
First cycle
3.0 3.0
2.5
2.5
2.0
2.0
1.5
1.0 1.5
−20 0 20 40 60 80 100 120 140 160 180 0 20 40 60 80 100 120 140 160
Capacity (mAh/g)
4.5
c d
4.5
1
50
Cell Voltage (V vs. Li/Li+)
4.0 25
Voltage (V vs. Li/Li+)
4.0
3.5 3.5
3.0
3.0 1
25
50
2.5 Charge-discharge at 0.1C
2.5
0 60 120 180 0 10 20 30 40 50 60 70
Capacity (mAhg−1) Capacity (mAh/g)
Fig. 59.11 Charge–discharge curves of (a) LiFePO4 nanorods, (b) sphere-like LiFePO4 /C,
(c) thin plate like LiFePO4 /C, and (d) colloidal nanocrystal of LiMnPO4 (Reproduced with
permission from Huang et al. (2012), Rangappa et al. (2009), Saravanan et al. (2009) and Rangappa
et al. (2010a))
improve the electrochemical property. Discharge capacity of about 165 mAhg1

(Fig. 59.11b) for a sphere-like LiFePO4 /C particle is synthesized by supercritical
water in the presence of ascorbic acid as the carbon source and reducing agent
(Rangappa et al. 2009). The discharge capacity of these materials is close to the
theoretical capacity of LiFePO4 (170 mAhg1 ). The cyclic performance of these
material was quiet satisfactory. However, further study is necessary to reduce the
wide potential observed in the charge–discharge profile and to increase the high rate
performance.
The thin platelike LiFePO4 /C (Saravanan et al. 2009) showed the discharge
capacity of around 150–160 mAhg1 up to 50th cycle as shown in Fig. 59.11c. The
charge–discharge profile of this material shows relatively low potential gap between
the charge and discharge profile. This is due to the platelike morphology, which
can provide short distance for the Li-ion insertion and exertion and also due to the
homogeneous coating of carbon around the platelike LiFePO4 /C particles. The col-
loidal nanocrystal of LiMnPO4 with rodlike morphology (Rangappa et al. (2010a))
shows the discharge capacity of around 70 mAhg1 (Fig. 59.11d). The development
of new strategy of conductive carbon coating can enhance the discharge capacity
of LiMnPO4 materials. The intrinsic electronic conductivity of LiMnPO4 is very
low due to the Jahn–Teller distortion, and it is not possible to achieve full
theoretical capacity of LiMnPO4 . However, further study is necessary to improve
the electrochemical property of the LiMnPO4 cathode materials.
4 Electrochemical Capacitors
Electrochemical capacitors, also called supercapacitors, store energy using either

ion adsorption (electrochemical double-layer capacitors) or fast surface redox
reactions (pseudocapacitance). It is well known that the electrochemical double-
layer capacitors (EDLC) store the opposite charge electrostatically using reversible
adsorption of ions of the electrolyte on active materials surface that is elec-
trochemically stable and has high accessible surface area (Conway 1999). As
there is no chemical reaction involved in the storage mechanism, the process is
highly reversible for millions of cycles and results long life for the capacitors.
And the specific capacitance depends on the available active specific surface
area of the active materials. Whereas, in the pseudocapacitance, surface or near
surface redox reactions occur during the charge storage mechanism, resulting high
specific capacitance with relatively short cycle life compared to EDLCs. Thus, the
development of high capacitive energy storage systems with optimum cycle life, low
cost, and environmentally friendly materials is essential to meet the energy demands
of modern society and emerging environmental concerns.
4.1 Graphene-Based Electrochemical Double-Layer Capacitors
Carbons and carbon-based composites materials are the most widely used owing
to their high surface area, moderate cost, and ecofriendly nature. A variety of
carbon morphologies with different surface area and chemical nature such as carbon
nanotubes, carbon nanofibers, carbon fibres, onions, and nanohorns have been
investigated (Simon and Gogotsi 2008; Zhang et al. 2009). Similarly, activated
carbons, mesoporous carbon, template carbon, and chemically derived carbon have
been examined. The carbons used in EDLC are generally pretreated to remove
moisture, and most of the surface functional groups are present on the carbon surface
to improve stability during cycling.
The presence of functional groups will result in increased serious resistance and
capacitance fading during aging. The double-layer capacitance of activated carbon
reaches 100–120 F/g in organic electrolytes; this value can exceed 150–300 F/g in
aqueous electrolytes, but at a lower cell voltage because the electrolyte voltage
window is limited by the water decomposition. The research on carbon materials
was directed toward increasing the pore volume by developing high surface area
carbon and refining the activation process. However, the capacitance increase was
limited even for the most porous samples (Simon and Gogotsi 2008). From a series
of activated carbons with different pore sizes in various electrolytes, it was shown
that there was no linear relationship between the surface area and the capacitance
owing to the inability of electrolyte access to the entire surface through smaller
pores. Also, the poor conductivity of the porous carbon materials limits the high
capacitance. Thus, high surface area carbon material with optimum pore size and
conductivity is essential to realize the high capacitance.
The key to reaching high capacitance by charging the double layer is using high
surface area carbon materials with electronically conducting electrodes. Graphitic
carbon satisfies all the requirements for this application, including high conductivity,
electrochemical stability, and open porosity that offer huge surface area (Simon
and Gogotsi 2008). Thus, graphene-based supercapacitors are under intensive
investigation as potential alternative to the activated carbon that is used in the
current supercapacitor electrodes. The effective surface area of graphene materials
should depend highly on the number of layers, that is, single- or few-layered
graphene sheets with less agglomeration might be expected to exhibit higher
effective surface area. The recent research reports on clean graphene materials
with specific capacitance ranging from 120 to 250 F/g. The chemical nature of the
graphene nanosheets and its purity greatly depend on the method of preparation and
subsequent processing of the resulting graphene sheets.
As mentioned earlier, the presence of functional groups on the graphene surface
greatly influences on its capacitance. In general, the presence of oxygen containing
functional groups result diminishes the capacitance and cycle life (Pandolfo and
Hollenkamp 2006). Wang et al. (2009) reported a maximum specific capacitance
of 205 F/g with an excellent long cycle life along with 90% specific capacitance
retained after 1,200 cycle tests. Also, it is confirmed that the interfacial capacitance
of the multilayer graphene sheets is found to depend on the number of layers. In
addition to the graphene quality, the fabrication of electrodes and its structure also
influences the performance of the resulting supercapacitors. Recently, P.M. Ajyan
group reported an “in-plane” fabrication approach for ultrathin supercapacitors
based on electrodes comprised of pristine graphene and multilayer reduced graphene
oxide (Yoo et al. 2011). And this approach allows for the formation of an efficient
electrical double layer by utilization of the maximum electrochemical surface area
and results a maximum specificapacitance of 247 F/g. The research on supercapac-
itors using graphene nanosheets is under tremendous progress. Combining high-
quality graphene sheets with suitable electrode fabrication technique will lead to the
commercial production of EDLC capacitors with high capacitance in the near future.
In the row of various chemical modification processes, doping of hetero-atoms,
such as nitrogen, sulfur, and boron, into the graphene backbone is another possible
route. Also, the heteroatom doping in the carbon materials (CNTs, graphene)
and metal oxides has always created excitement in the material chemistry as the
materials property can be tuned significantly. Recently, studies have focused on
direction, and several possible routes have been identified for the effective N- or
B-doping in the graphene sheets (Hulicova et al. 2006; Kwon et al. 2009).
Significant enhancement in capacitance has been reported for the heteroatom-

doped graphene sheets, and the following possible mechanisms have been proposed
for the enhancement: (1) the improvement of the electrode wet-ability, due to the
increase in the number of hydrophilic polar sites; (2) the decrease of equivalent
series resistance (ESR) of a capacitor cell by the increase of the carbon electric
conductivity; (3) the occurrence of space-charge-layer capacitance in carbon by the
increase of its electron density; and (4) the occurrence of that pseudocapacitance
through the Faradic charge transfer, because the nature of carbon becomes electron
donor. Though, it is difficult to point out one particular effect for the capacitance
enhancement, it is believed that the pseudocapacitance through Faradic charge
transfer is the most important factor in enhancing the capacitance of the N- or
B-doped graphene sheets. Since the research on this direction is still in infancy stage,
additional experiments and theoretical understating are necessary. Understanding of
the mechanism and further development in the preparation method is expected to
play an important role in the improvement of the supercapacitor performance in the
coming years.
4.2 Electrochemical Capacitors Based on Pseudocapacitance
The large specific pseudocapacitance of Faradaic electrodes (typically 300–1,000

F/g) exceeds that of the carbon-based materials using double-layer charge storage,
resulting in great interest in these systems. Specific capacitance of more than 600 F/g
has been reported for the RuO2 -based system owing to its good conductivity,
fast and reversible electron transfer together with the electroadsorption of protons
on the surface. However, the Ru-based aqueous electrochemical capacitors are
expensive, and the 1-V voltage window limits their applications to small electronic
devices (Simon and Gogotsi 2008). Thus, pseudocapacitive transition-metal oxides
such as MnO2 , NiO, and redox polymers such as polyanilines, polypyrroles, and
polythiophenes could be used to make electrodes, because they are predicted to
have a high capacitance for storing electrical charge, inexpensive, and not harmful
to the environment. Poor conductivity and lack of stability during cycling are
major drawbacks associated with these materials for their usage in supercapacitors.
Thus, numerous efforts have been made to use these metal oxides successfully
in supercapacitors by making composite with conductive support such as carbon
and gold.
Recently, Lang et al. (2011) developed a nanoporous gold/MnO2 electrode by
combining chemical de-lloying Ag65 Au35 (at %) with the electroless plating of
MnO2 (Fig. 59.12), in which nanoporous gold acts as a double-layer capacitor and
also provides good electronic/ionic conductivity to enhance the pseudocapacitive
behavior of the nanocrystalline MnO2 . And the MnO2 loading can be controlled by
adjusting the platting time. The gold/MnO2 hybrid material has very high specific
capacitance of 1,145 F/g at a scan rate of 50 mV/s. The obtained high specific
capacitance at a scan rate of 50 mV/s is higher (one order of magnitude) than
the reported MnO2 film electrodes at 5 mV/s (Toupin et al. 2004). This could be
MnO2
nanocrystals
Growth
N2H4
NPG
Mn7+ N2H4
Fig. 59.12 Schematic showing the fabrication process for nanoporous gold/MnO2 hybrid mate-
rials by directly growing MnO2 onto nanoporous gold (Reproduced with permission from Lang
(2011))
attributed to the porous metal/oxide structure, in which the nanocrystalline MnO2

grows epitaxially into the internal surface of the highly conductive nanoporous gold,
allowing easy and efficient access of both electrons and ions so as to afford a fast
redox reaction at high scan rates as well as good cyclic stability. The power and
energy densities of the hybrid structure increase with the loading rate of MnO2 and
reach maximum of 57 Wh/kg and 16 kW/kg, respectively, with the MnO2 plating
time of 20 min. The high specific capacitances, charge/discharge rates, and good
cyclic stability offered by this hybrid structure make them promising electrodes
materials in supercapacitors.
4.2.1 Graphene–Metal Oxide Nanocomposites

As the graphene nanosheets have vast surface area with excellent conductivity, it
will be an appropriate candidate to accommodate a large amount of metal oxides.
In addition, the EDLC behavior of the graphene nanosheets can also be enhanced,
which contributes to the total capacitance of the resulting composite. Recently,
graphene–metal oxide nanocomposite systems have been developed by various re-
searchers, and high specific capacitances with good cycling performance have been
reported (Zhang et al. 2009, 2010; Huang et al. 2012; Simon and Gogotsi 2008).
Also, layered double hydroxides (LDH) materials containing transition metals have
been reported to be promising electrode materials for supercapacitors because of
their relatively low cost, high redox activity, and environmentally friendly nature.
Gao et al. reported the preparation of graphene – Ni/Al layered double hydroxide
(LDH) nanocomposite and a maximum specific capacitance of 781.5 F/g with an
excellent cycle life (Gao et al. 2011). The observed capacitance is almost 1.5 times
higher than that of the pure LDH electrodes. The larger capacitance for GNS/LDH
may be caused by the combination of electric double-layer capacitance and Faradic
pseudocapacitance. At the same time, the open structure system of GNS/LDH
improves the contact between the electrode materials and the electrolyte and thus
makes full use of the electrochemical active material contribution to the overall
capacitance. Development of suitable GNS–metal oxide or LDH nanocomposites

with appropriate ratio will lead to high capacitance owing to the combination of
EDLC and pseudocapacitance from GNS and metal oxide or LDH, respectively.
4.2.2 Graphene–Polymer Nanocomposites

To exploit the potential of the graphene-based materials for the supercapacitor
applications, graphene-conducting polymer nanocomposite was prepared by several
preparation route, and electrochemical capacitance was reported in the range of
233 500 F/g (Zhang et al. 2009). However, the capacitance was mainly dominated
by the pseudocapacitance from the polymer films coated on the graphene paper
surface, and the EDLC from the graphene sheet was less utilized due to the agglom-
erated layer-like structure in the graphene paper. Among the conductive polymers,
carbon (or) graphene–PANI composites have been extensively studied and well
documented in the literature for supercapacitor applications (Zhang et al. 2010;
Huang et al. 2012). And flexible nanoelectrodes also have been developed using
carbon nanotube/PANI or graphene/PANI nanocomposites for the supercapacitors
applications (Meng et al. 2010).
Typically, in all these studies, the aniline polymerization on the graphene surface
was carried out using oxidants such as ammonium persulfate ((NH4 /2 S2 O8 ) or
ferric chloride (FeCl3 ), and the experimental strategy plays a vital role on the
morphology of the graphene/PANI composite and their electrochemical response.
Recently, preparation of graphene–polyaniline nanocomposite electrodes via oxida-
tive polymerization of aniline by MnO2 was shown. And a superior supercapacitive
performance (641 F/g, 15–40 % enhancement than the reported capacitance for
graphene–polyaniline) has been observed (Sathish et al. 2011). As mentioned
earlier, the method of polymerization plays a vital role on the materials property.
GO/MnO2 composite was prepared (Sathish et al.) by mixing appropriate amount
of MnO2 nanosheets and GO nanosheets. Then, appropriate amount of aniline
was added to the above composite, and the chemical oxidation polymerization of
aniline was initiated by the reduction of Mn4C ion, and the resulting Mn2C ions
will go to the solution. This process enables the formation of slow and uniform
polyaniline nanofibers on the graphene surface with significant porosity, which
enables the impulsive peculation of electrolyte to access large surface area (author’s
unpublished work). Thus, the graphene surface also has been used for EDLC
in addition to the pseudocapacitance from polyaniline. Figure 59.13 shows the
schematic representation of the polyaniline formation on the graphene sheets.
Similarly, Xu et al. (2010) introduced a facile method to construct the hierarchical
nanocomposites by combining the one-dimensional (1D) conducting polyaniline
(PANI) nanowires with the 2D graphene oxide (GO) nanosheets. It is shown
that the aniline concentration plays a key role on the PANI morphology, at
lower concentration (0.05 M); vertically aligned PANI nanowire arrays on GO
surface are observed owing to the heterogeneous nucleation on the GO nanosheets
(Fig. 59.14a). When aniline concentration was increased to 0.06M, homoge-
neous nucleation will take place after the initial nucleation on the solid surface.
MnO2 nanosheets
Mn4+
GO-MnO2
Graphene oxide
Mn2+
(i) Aniline
GO-PANI
Fig. 59.13 Schematic representation of polyaniline formation on graphene surface via oxidative
polymerization of aniline by MnO2 (Reproduced with permission from (From author’s work))
Consequently, random connected PANI nanowires were produced (Fig. 59.14b).

The hierarchical nanocomposite structures of PANI/GO were further proved by the
UV-vis, FTIR, and XRD measurements. The hierarchical nanocomposite possessed
higher electrochemical capacitance of 555 F/g at a discharge current density of
0.2 A/g and better stability than each individual component as the supercapacitor
electrode materials, showing a synergistic effect of PANI and GO. Also, the
observed specific capacitance of the nanocomposite is much higher than that of the
random connected PANI nanowires (298 F/g) obtained under the same condition.
This study will further guide the preparation of functional nanocomposites by
combining different dimensional nanomaterials.
4.3 Asymmetric (or) Hybrid Capacitors
Asymmetric or hybrid systems offer an attractive alternative to the

conventional pseudocapacitance or EDLCs by combining a battery-like electrode
(energy source) with a capacitor-like electrode (power source) in the same cell
(Simon and Gogotsi 2008). The high specific capacitances, cell voltage, and
charge/discharge rates offered by such hybrid structures make them promising
candidates as the electrodes in supercapacitors. MnO2 –graphene composite elec-
trodes have been developed for the high-voltage hybrid electrochemical capacitor
based on graphene as the negative electrode and MnO2 –graphene composite
as the positive electrode in the neutral aqueous Na2 SO4 solution as electrolyte
Aniline
Aniline anion
GO sheet
a b
Nucleation
Growth
Growth further
Fig. 59.14 Schematic illustration of nucleation and growth mechanism of PANI nanowires:
(a) heterogeneous nucleation on GO nanosheets; (b) homogeneous nucleation in bulk solution
(Reproduced with permission from Xu (2010))
0.5 3
0.4 a b c
0.3 2
Current Density (A g−1)
Current Density (A g−1)
0.2
1
0.1
0.0 0
−0.1
−0.2 −1
−0.3
−2
−0.4
−0.5 −3
0.0 0.5 1.0 1.5 2.0 −1.0 −0.8 −0.6 −0.4 −0.2 0.0 0.2 0.4 0.6 0.8 1.0
Voltage (V) Potential (V vs. SCE)
Fig. 59.15 Schematic representation of polyaniline formation on graphene surface via oxidative
polymerization of aniline by MnO2 (Reproduced with permission from Wu et al. (2010))
Fig. 59.16 Schematic illustration of two key steps for preparing hybrid graphene/MnO2 -
nanostructured textiles as high-performance EC electrodes. (i) Conformal coating of solution-
exfoliated graphene nanosheets (gray color) onto textile fibers. (ii) Controlled electrodeposition
of MnO2 nanoparticles (yellow dots) on graphene-wrapped textile fibers (Reproduced with
permission from Yu et al. 2011)
(Wu et al. 2010). These ECs can be cycled reversibly in the high voltage region of
0–2.0 V (Fig. 59.15a). The resulting energy density of 30.4 Wh/kg is much higher
than those of the symmetric ECs based on graphene//graphene (2.8 Wh/kg)
(Fig. 59.15b) and MnO2 –graphene//MnO2–graphene (5.2 Wh/kg) (Fig. 59.15c) and
higher than those of other MnO2 -based asymmetric ECs. These findings open
up the possibility of the graphene-based composites for applications in safe
aqueous electrolyte-based high-voltage hybrids systems with high energy and power
densities.
Yu et al. (2011) demonstrated the solution-processed graphene/MnO2 nanos-
tructured textiles for the high-performance electrochemical capacitors applications.
In their study, solution-exfoliated graphene nanosheets (5 nm thickness) were
conformably coated on the three-dimensional, porous textiles support structures,
and pseudocapacitive MnO2 nanomaterials was deposited by the controlled elec-
trodeposition (Fig. 59.16). This technique offers high loading of active electrode
materials and facilitates the easy access of electrolytes to those materials. The hybrid
graphene/MnO2-based textile yields high-capacitance performance with specific
capacitance up to 315 F/g. Also, they have fabricated asymmetric electrochemical
capacitors with the graphene/MnO2-textile as the positive electrode and single-
walled carbon nanotubes (SWNTs)-textile as the negative electrode in an aqueous
Na2 SO4 electrolyte solution. These devices exhibit promising characteristics with
a maximum power density of 110 kW/kg, an energy density of 12.5 Wh/kg, and
excellent cycling performance of 95 % capacitance retention over 5,000 cycles.
These kinds of low-cost, high-performance energy textiles-based nanostructures
offer great promise to realize the future large-scale energy storage devices.
5 Conclusions
In conclusion, this chapter began with the brief introduction of the advanced energy
devices such as lithium-ion batteries and high energy capacitors. The importance of
the positive electrode materials and their synthesis by the solution process including
the hydrothermal and solvothermal method were discussed. These methods are
popularly used for the preparation of various inorganic materials owing to their
advantages such as size-controlled synthesis, morphology-controlled synthesis,
safety, easy synthesis, environmentally benign, and cost-effectiveness.
Among the lithium-ion batteries, cathodes are essential parts of the batteries.
The olivine-structured lithium metal phosphates are very much attractive due to
their cheap, environmentally friendly, and high theoretical capacity. The carbon
coating of lithium metal phosphates using different carbon sources via in situ or
ex-situ coating techniques has been discussed. The electrochemical property de-
pended on the morphology of LiFePO4 and LiMnPO4 cathodes has been discussed.
Most of the LiFePO4 nanomaterials less than 100–250 nm in diameter exhibited
the discharge capacity close to the theoretical capacity (170 mAhg1 ). Thin plate
and rod morphology provides short diffusion length for the LiC -ion insertion and
exertion process. The discharge capacity of LiMnPO4 is not very impressive due
to its low intrinsic conductivity. New strategy development could improve the
electrochemical property of LiMnPO4 for commercial purpose.
In the electrochemical capacitors, graphene-based compounds such as metal
oxide-doped graphene and PANI/graphene showed excellent capacitance when
compared to the other capacitors. In addition, asymmetric hybrid capacitors are
promising with higher capacitance for various powder density electric and electronic
devices. Further, continuous study of graphene could enable to understand its
physicochemical property for the electrochemical applications. New breakthrough
in these fields can change the performance of the energy devices and thus can make
human life more comfortable.
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Advanced Materials for Fuel Cells
60
Toshiyuki Mori and John Drennan
Abstract
Present status and future prospect in the fuel cell field were introduced in this
chapter. To explain the important future prospect in the materials science of fuel
cells, the authors focused on the materials science in the solid oxide fuel cell
field after briefly summarizing present status of research and development in
the fuel cell field. Also the authors reintroduced the research results to highlight
the important role of the ultimate analysis of microstructure, simulation for a
reasonable conclusion of microanalysis, and the processing route design based
on microanalysis. The usefulness of the combined approach of microanalysis,
simulation, and the processing route design is presented.
1 Introduction
Fuel cells, as devices for direct conversion of the chemical energy of a fuel into
electricity by the inverse reaction of the electrolysis of water, are one of the
key enabling technologies for the transition to a sustainable society. This fuel
cell device consists of electrolyte and electrodes (i.e., anode and cathode). The
oxidation reaction of fuel takes place at the anode and creates the ion and electron.
T. Mori ()
Fuel cell materials group, Battery materials unit, National institute for materials science (NIMS),
Tsukuba, Ibaraki, Japan
Hetro-interface design group, batteries and fuel cells field, global research centre for environment
and energy based on nano-materials science, National institute for materials science (NIMS),
Tsukuba, Ibaraki, Japan
e-mail: MORI.Toshiyuki@nims.go.jp
J. Drennan
Centre for Microscopy and Microanalysis, The University of Queensland, St. Lucia, QLD,
Australia
e-mail: j.drennan@uq.edu.au

DOI 10.1007/978-1-4020-8939-8 100,
1176 T. Mori and J. Drennan
The electron moves around the external circuit and reaches the cathode to participate
in the reduction reaction of oxygen or air. This electron in the external circuit can be
used for generating electricity using the fuel cell devices. In this process, the mobile
ion such as proton (HC ), hydroxyl ion (OH ), carbonate ion (CO2 3 ), or oxide ion
(O2 ) moves through the liquid or solid electrolytes to make water molecules at the
anode side or cathode side.
The major types of fuel cells being developed are the proton exchange membrane
fuel cells (PEMFCs), direct alcohol fuel cells (DAFCs), alkaline fuel cells (AFCs),
phosphoric acid fuel cells (PAFCs), molten carbonate fuel cells (MCFCs), and solid
oxide fuel cells (SOFCs).
PEMFCs are actively developed in the industry because of its low operating
temperature (<100ıC), fast start-up/shutdown, and low local emissions. Automobile
companies have tried to use this device as hybrid-type engines in their big vehicles
such as shuttle bus and trailer. However, the development of PEMFCs slowed down
due to unsatisfied durability, poor reliability, and its low power density (Miller and
Bazylak 2011). It is still in the stage of demonstration applications. Alternatively,
practical use for the residential-scale generator application of PEMFCs has already
started in Japan. Gas Company started business for the development of the home
energy management system in the family houses in Japan. It is one of the successful
examples of practical use of PEMFCs. To make the best use of PEMFCs, the
advanced PEMFCs for intermediate temperature operation (i.e., 100–200ıC) have
actively developed in the research field (Dupuis 2011).
For the development of the portable power generators, DAFCs (Yu et al. 2010)
which are operated around 60ı C have been developed by the household electrical
appliance manufacturers. In this case, fuel is alcohol (methanol (Scott et al. 1997)
and ethanol (Neburchilov et al. 2007)) or ethylene glycol (Serov and Kwak 2010).
Since DMFCs can use liquid fuels which are easy to store and transport for its
operation, it is useful as a long-life battery in the portable electric devices. However,
DMFCs have big problems such as the alcohol crossover from the anode side to
the cathode side and its low power density as compared with PEMFCs. Also, the
production cost of DMFCs is much higher than that of the conventional batteries in
the portable electric devices. As a consequence, it appears to be hard to use DMFCs
instead of the conventional batteries.
The AFCs (using aqueous KOH as electrolyte) were developed for the NASA
Apollo space program. The AFCs systems were used for the shuttle missions in
the space program. The main advantage of the AFCs is the high reaction kinetics
at the electrodes in the alkaline condition. The non-precious metal electrodes such
as Ni can be used for this device instead of Pt. Also, the operation temperature of
the AFCs is relatively low (i.e., 23–70ıC) compared with that of the PEMFCs and
DMFCs. However, the mobility of OH will be drastically decreased by the reaction
between electrolyte of the AFC and carbon dioxide (CO2 ) in the air. To overcome
this problem for the industrial applications such as the vehicle engine application,
recent research has focused on the development of an AFC based on the anion-
conducting polymer electrolytes to replace the KOH solution. Considerable efforts
in this field improved the conductivity using hydroxyl ion in electrolyte and the
60 Advanced Materials for Fuel Cells 1177
resistance against CO2 of the system (Merle et al. 2011). However, conspicuous
degradation of the performance of AFC has been observed due to the low chemical
stability of the anion-conducting polymer electrolytes under the high pH condition.
PAFCs and MCFCs have a long development history for its practical use.
However, it is hard to improve the efficiency of the generation of PEMFC (operation
temperature: below 200ı C) and poor durability of MCFCs (operation temperature:
650ıC).
In the basic research field, micro-fuel cells using polymer electrolytes
(Grinbergz and Skundin 2010) have attracted attention for the development of a
new miniaturized power source which can withstand the development competition
with the other batteries such as lithium-ion and lithium-polymer batteries. Also,
other unique fuel cells named enzymatic fuel cells (or biofuel cells) which employ
enzymes as catalysts have been examined for an implantable power source in the
medical device application (Ivanov et al. 2010). Both fuel cells are only for the
research purpose and are unlikely to use in the industry yet.
The efficiency of power generation of SOFCs is the highest of all the afore-
mentioned fuel cell devices (Steele and Heinzel 2000). Also this device can create
electricity using a variety of fuels. As a consequence of this, it is believed that
SOFC is a promising fuel cell device for the development of sustainable society.
However, this fuel cell has some technical problems such as unsatisfactory durability
and reliability. To get the significant share of the electricity market, high durability
(up to 100,000 h at the operation temperature) is required. To meet this challenge,
the fuel cell material design is a key issue. Many fuel cell materials (i.e., solid
electrolytes, cathodes, and anodes) have been developed in this field (Jacobson
2010; Sun et al. 2010). However, the old style SOFC material development did
not create decisive solution for this challenge, so far. It is because the trial and
errors for the development of SOFC materials lacks of the careful analysis of
microstructure in the produced materials. For the development of the advanced
SOFC materials, careful microanalysis and processing route design must be com-
bined. Here, the authors reintroduce the previously reported results for the design of
advanced SOFC materials based on micro-analysis (Mori et al. 2003, 2005, 2006,
2008; 2010; Ou et al. 2006, 2007; Ye et al. 2008, 2010; Wang et al. 2006;
Li et al. 2010, 2011a, b, c, d, e, f).
2 Microanalysis of Bulk Structure in the Doped Ceria Solid

Electrolytes and the Interface Structure Between Doped
Ceria and Electrodes
Gd-doped ceria and Y-doped ceria electrolytes are representative electrolytes for the
development of an intermediate temperature (300–500ıC) operation of solid oxide
fuel cell devices. In general, oxide ionic conductivity is described by
¢i D .¢ 0 i =T/ exp.EA =kT/ (60.1)

where T is absolute temperature, EA is activation energy of oxide ion diffusion, k is

Boltzmann constant, and ¢ 0 i is intrinsic oxide ion conductivity.
Also EA can be described by
EA D Hm C Ha (60.2)
where Hm is migration enthalpy and Ha is association enthalpy.

Hm and Ha correspond to the diffusion rate and stability of the oxygen
vacancy clusters, respectively. It means that activation energy observed for Gd-
doped ceria or Y-doped ceria using the Arrhenius plots has to be fixed value
in each chemical composition. Alternatively, the observed EA values have many
variations in the previously reported papers. This clearly indicates that the detailed
microstructural features of the prepared solid electrolytes should be taken into
account for the design of the high-quality fuel cell materials.
To prepare the homogeneous and dense solid electrolytes, the soft chemical
approaches such as coprecipitation method and sol-gel method have been used in
many works. The well-dispersed and fine doped ceria solid solution powders have
been prepared using the soft chemical approach. However, the dense doped ceria
sintered bodies which were fabricated using the fine doped ceria powders included
a heterogeneous microstructural feature. Figure 60.1a presents the scanning electron
microscopy images observed for the fine Y-doped ceria powders and Y-doped ceria
sintered bodies. Well-dispersed and fine Y-doped ceria powders which consist of
the round shaped particles were synthesized using the ammonium carbonate hot
coprecipitation method. Also the dense sintered bodies were fabricated by using
those fine doped ceria powders. X-ray diffraction (XRD) profiles which were
observed for the dense doped ceria sintered bodies consist of the simple fluorite-
type phase. No other phases were observed in the XRD profiles (Fig. 60.1a).
Alternatively, the extra reflection and diffuse scattering were observed in the
background of the selected area electron diffraction patterns recorded from the
same sintered bodies (Fig. 60.1b). This indicates that small amount of different
composition or different structure coexists in the fluorite phase of doped ceria.
Since those heterogeneous structures are in the atomic scale, it would be hard
to detect those nano-heterogeneous regions using the XRD analysis as shown in
Fig. 60.1a (Mori et al. 2003; Ou et al. 2006, 2007). In the fuel cell research field,
aforementioned nano-heterogeneous region is called as “micro-domain” or “nano-
domain.” The average micro-domain size ranged from 5 to 10 nm. The heavy doped
ceria system (i.e., more than 20% Y) includes a relatively large size micro-domain
as compared with the light doped ceria system (i.e., less than 10% Y). The size and
volume of the micro-domains in the samples strongly depend on the composition of
the Y-doped ceria system, as shown in Fig. 60.2.
The heterogeneous microstructure in 25% Y-doped ceria sintered body was
characterized by using the analytical TEM as shown in Fig. 60.3. The segregation of
the Y dopants was observed in the nanoscale area. The micro-domain area observed
in Fig. 60.2 corresponded to the small heterogeneous area in Fig. 60.3.
X=0.25 X=0.2
YxCe1−xO2−x/2
(111)
(220) (311) x=0.25
(200) (420)
(222) (400) (331)
Intensity (a.u.)
x=0.20
x=0.15
X=0.1 X=0.15
x=0.1
20 30 40 50 60 70 80
2θ (Cu Kα, degree)
b X=0.1 X=0.15 X=0.2 X=0.25
Fig. 60.1 (a) X-ray diffraction patterns and SEM images observed for Y-doped ceria. (b) Selected
area electron diffraction patterns recorded from Yx Ce1x O2x=2 sintered bodies <112 >F zone
Since doped ceria has cubic symmetry, the shape of primary particles must be
cubic. Also the secondary particles consist of a group of cubic-shaped primary
particles. In the SEM images of Fig. 60.1, however, the surface of round-shaped
particles of doped ceria was quite smooth. This suggests that the amorphous thin
film covered the surface of secondary particles and nanoscale heterogeneity remains
in the Y-doped ceria particles which were prepared by the coprecipitation method.
During the sintering process of those easily sinterable powders, the nanoscale
heterogeneity was developed and would make microdomain or nano-domain area
in the sintered bodies. It was concluded that the micro-domain formation process
strongly depends on the processing route, and the reliability of solid electrolytes
Fig. 60.2 High-resolution TEM images of Yx Ce1x O2x=2 sintered bodies. White dashed line
areas indicate micro-domains
Fig. 60.3 EELS-TEM images observed for 25% Y-doped ceria sintered body which was sintered
at 1,400ı C. Black arrows indicate the agglomeration area of dopant at nanoscale
is affected by the volume fraction of micro-domain in the samples. Also similar

microdomain structure can be observed in the Gd-doped ceria solid electrolyte series
which are representative electrolyte material in SOFC (Mori et al. 2006, 2008, 2010;
Ye et al. 2008). As a consequence of this, careful microanalysis and the processing
route design have to be combined for the development of high-quality solid

electrolytes for the fuel cell application.
To design the oxide ion diffusion phenomenon in solid electrolyte, detailed
defect structure analysis in the whole sintered body is required. The authors already
characterized the microstructural features in detail using the EXAFS analysis
technique (Wang et al. 2006) and the high power laser atom probe analysis technique
(Li et al. 2010). Since both the EXAFS and laser atom probe analysis results agreed
quite well with the TEM analysis results, the authors believe that electrolytes in
the fuel cell devices must be designed using the combined approach of careful
microanalysis and the processing route design.
Based on all microanalysis data, the authors tried to maximize the conducting
property of the doped ceria solid electrolyte using the pulse electric current sintering
(PECS) method (Mori et al. 2005). In the conventional sintering specimens, the big
micro-domains with ordered structure of oxygen vacancies which sizes are more
than 10 nm were dispersed into the whole specimen. Alternatively, micro-domain
sizes became small into the PECS specimen. Also, electrolytic properties (i.e., con-
ductivity and activation energy) were influenced by the change in microstructure, as
−2.0
log σ / S cm−1 at 500°C
−2.5
−3.0
−3.5
−4.0
−4.5
−5.0
0 0.2 0.4 0.6 0.8 1.0 1.2
Average grain size / μm
80
Activation Energy /KJ mol−1
70
60
50
40
0 0.2 0.4 0.6 0.8 1.0 1.2
Average grain size / μm
Fig. 60.4 Relationship between microstructure and electrolytic properties observed for PECS
specimens and conventional sintering specimens, PECS specimen (4, N) and conventional
sintering specimen (); bold white arrows and dashed white arrows indicate the reflection from
the fluorite structure and reflections from nano-domains into the fluorite phase, respectively
Fig. 60.5 Grain boundary analysis of Gd-doped ceria sintered body using high-resolution TEM
shown in Fig.60.4. This clearly indicates that the combined method of microanalysis
and the processing route design provide researchers and developers a big chance to
see the breakthrough in the fuel cell field.
In the SOFC devices, the microstructure design in the grain boundary region and
at the interface between electrolyte and electrodes (i.e., anode and cathode) is also
quite important. The formation of nano-sized domains which sizes are less than
approximately 2 nm in the grain boundary was observed using the high-resolution
analytical TEM as shown in Fig. 60.5 (Li et al. 2011a). The continuous bright
contrast of which width is within 2 nm was observed in the grain boundary. This
bright continuous line means that the nano-sized domains with ordered structure
of oxygen vacancies exist at the grain boundary. So far, this nano-heterogeneity
was not always discussed well. As a consequence, reliability of solid electrolytes
cannot be controlled well. To improve reliability of the fuel cell materials, this
nanoscale heterogeneity should be recognized and fabricated with the high-quality
solid electrolytes in the SOFC devices based on carefully microanalyzed data.
In addition, the interface design between solid electrolytes and electrodes (i.e.,
anode and cathode) is a key for the development of the SOFC devices.
Figure 60.6 presents the microanalysis results of the interface between Gd-doped
ceria (GDC) solid electrolyte and Ni-GDC anode particles using STEM-EELS (Li
et al. 2011b, d). The equal length diffusion between electrolytes and electrodes was
observed. In general, interdiffusion into the hetero-interface can be observed. In the
case of interdiffusion at the interface between electrolyte and electrode, Ni element
which is the main component of the anode diffused into the electrolyte side through
the grain boundary. The authors thought that the diffusion of the components of
the electrolyte into the electrodes would be quite small. It can be a negligible level.
However, almost same length diffusion from both sides were observed, even though
atomic weight of each element (i.e., Ni:58.7, Gd:157.3, Ce:140.1) is quite different,
and the diffusion constants of the Ni cation in the anode side and the Gd and Ce
cations in the electrolyte side are different as well.
To conclude why the equal length diffusion which is named as “mutual diffusion”
was observed at the interface, the detailed defect structure of the interface was
characterized by using the high-resolution TEM. The TEM analysis suggests
a reduced
b reduced
Ni Diffusion Zone GDC Ni Diffusion Zone GDC
X-ray Intensity (a. u.)

Ni Ka
Ce La
Gd La
−200 −100 0 100 200 −200 −100 0 100 200

Distance from Interface (nm) Distance from Interface (nm)
c d
Ni GDC Ni GDC

−200 −100 0 100 200 −200 −100 0 100 200
Distance from Interface (nm) Distance from Interface (nm)
unreduced unreduced
Fig. 60.6 Interface characterization of Gd-doped ceria using STEM-EELS analysis technique
that superstructure was formed in the interface area (Li et al. 2011b, c). Since
superstructure consists of aggregation of the ordered oxygen vacancy clusters,
the formation of the ordered oxygen vacancy clusters must be formed during
the diffusion of components at the interface. In the case of the standard inter-
diffusion, there is no need to consider the superstructure formation. In the case of the
diffusion phenomena at the interface of the fuel cell materials, the aforementioned
equal length diffusion (i.e., “mutual diffusion”) proceeded with the superstructure
formation. The rate-determining step would be the formation of superstructure
at the interface. That is why the equal length diffusion was observed at the
interface of electrolyte and anode in the SOFC device. Similar diffusion phenomena
were observed around the interface between electrolyte and La0:6 Sr0:4 Co0:8 Fe0:2 O3
cathode (Li et al. 2011a, b). Based on all the microanalysis results, the authors
believe that microstructural features at the atomic scale for the design of high-quality
SOFC devices should be taken into account.
3 Simulation of the Microanalysis Results
To develop a model for the design of high-quality fuel cell materials, computer
simulation technique has to be applied for detail conclusion about the short-range
ordering structure which is observed by TEM. Two representative examples of the
simulation works from the author’s research team are reintroduced here (Ye et al.
2010; Li et al. 2011f). One is the simulation for the superstructure formation at
the interface of electrolyte and anode (Ye et al. 2010). In general, the interaction
of anion and cation in the ionic materials can be discussed using the Bucking-
ham potential. The short-range ordering parameters of Ce4C –O2 , Ni2C –O2 ,
Gd3C –O2 , and O2 –O2 were calculated using the Buckingham potential. Also
the polarization parameters, space group, atomic coordinates, and lattice constants
a b
Ce4+
3rd
Ni2+ ΔE = 3.18 eV ΔE = 4.15 eV
st O2− c d
1
2nd
Vo” Ce4+
Ni2+
O2−
ΔE = 3.68 eV ΔE = 3.46 eV Vo”
Fig. 60.7 Defect cluster energy calculation for a conclusion of super-structure formation in the
interface
were used for the simulation. To discuss the stability of the ordered oxygen vacancy
clusters, binding energy of clusters (E) were estimated using
E D ˙Eisolated Ecluster (60.3)
where ˙Eisolated is the formation energy of the isolated oxygen vacancy clusters and
Ecluster is the formation energy of the ordered oxygen vacancy cluster. This equation
indicates that stable cluster has high binding energy.
Various arrangements of the ordered oxygen vacancy clusters were examined (Ye
et al. 2010). The clusters with the highest binding energy are shown in Fig. 60.7.
It can be seen that the cluster shown in Fig. 60.7b is the most favorable one of
all the clusters, indicating that adjacent oxygen vacancies in (2NiCe 00 2VO ¨) are
energetically favorable to be separated by <110>/2 (i.e., one-half of the distance
between atoms in <110> direction into the unit cell).
This simulation result clearly indicates that the superstructure formation is the
key step to conclude the mutual diffusion phenomenon for the interface design in
the SOFC devices.
The second example is the simulation of the phase transformation from the
conductive phase to the isolated phase in the solid electrolyte. In the case of Y2 O3
stabilized ZrO2 , Sc2 O3 stabilized ZrO2 , and Gd-doped ceria solid electrolytes, the
isolated phase (i.e., tetragonal phase, monoclinic phase, or C-type rare earth phase)
appeared in the conductive phase (i.e., the fluorite phase) of the aforementioned
solid electrolytes which consist of the fluorite related structure during long-time
operation at elevated temperature. For a long time, it was hard to understand
why the phase transformation from the conductive phase to the isolated phase
was observed in the electrolyte after long time operation test at the operation
temperature. The author’s research team tried to conclude this challenging subject
using this simulation technique (Li et al. 2011f). The authors compared the biding
Chain model
Zr4+ or Ce4+
Dopant cation
O2−
Vo”
Dumbbell model
Fig. 60.8 Comparison of traditional cluster model (i.e., chain model) and dumbbell model
energies of the two cluster models (i.e., chain model and dumbbell model) in the
fluorite structure as demonstrated in Fig. 60.8. In Gd-doped ceria, the dumbbell
model which was proposed by the authors has the largest binding energy in the
ceria matrix. Also, this simulation result indicates that low conductive phase can
be observed when the dumbbell-type clusters are connected with each other and
become a long stable chain in the material. This clearly indicates that combination
of microanalysis, simulation, and the processing route design is the key approach to
see a big breakthrough in the fuel cell materials science.
4 Summary
In this chapter, present status of the development of the fuel cell materials was
explained at first. Then, the authors focused on solid oxide fuel cell materials
because of its higher efficiency of the SOFC devices as compared with the other
types of fuel cells. The authors reintroduced the previously reported results to
introduce the advanced approach for the design of the breakthrough fuel cell
materials in the SOFC field. In the research and development field of the SOFC
technology, fuel cell materials were designed based on the ideal crystal structure
model. However, heterogeneity at the atomic scale was observed in the bulk, grain
boundaries, and interfaces in the SOFC devices. As briefly mentioned in this chapter,
the authors believe that the combined approach of careful microanalysis, simulation,
and the processing route design will provide researchers and developers a big chance
to see a breakthrough in the SOFC field.
Acknowledgments
The authors are grateful to Professor Alastair N. Cormack (Alfred University,

USA) for his kind advice in our simulation work. Also we appreciate the fruitful
collaborative works to Professor Fei Ye (Dalian University of Technology, China),
Professor Ding Rong Ou (Chinese Academy of Sciences, China), Professor Jin Zou
(The Queensland University, Australia), Dr. Graeme Auchterlonie (The Queensland
University, Australia), and Dr. Zhipeng Li (National Institute for Ma terials Science,
Japan).
5 Cross-References
Advanced Energy Devices-Lithium Ion Battery and High Energy Capacitor

Advanced Japanese Service Design: From Elements to Relations
Alternative Materials Development Utilizing Advanced Nanotechnology
Computational Materials Science and Computer Aided Materials Design and
Processing
tion
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Alternative Materials Development
Utilizing Advanced Nanotechnology 61
Shunichi Arisawa
Abstract
In this chapter, recent technologies in developing alternative materials utilizing
nanotechnology are described. Here, an “alternative material” refers to the
materials composed of abundant and ubiquitous elements with which replace
conventional ones containing minor elements. The methods of the development
of the alternative materials are focused on utilizing computational materials
science, advanced nanotechnology for the fabrication, and nano-characterization
technique. Further, some actual cases of recent developments will be discussed.
Developments of such materials are not a dream now. In this chapter, what the
alternative materials are and how humankind can develop them will be described.
1 Introduction
Recently, much attention has been paid to resource problems of rare earth elements
and other minor metals. During the last decade, problems of oligopolistic and
eccentrically located natural resources, especially rare earth elements, moved further
and the prices of them increased rapidly. As a result of the oligopoly, minor metals
are now sometimes regarded as a diplomatic card. If a material containing such
minor elements can be substituted by an other one composed of only abundant
elements, which are so-called ubiquitous elements, the minor metals are not so
eagerly sought for. Thus, replacement of advanced functional materials, usually
containing minor metals, with materials made of abundant elements is quite impor-
tant for industries and national strategy. From long time ago, problems concerning
natural resources such as iron ore, coal, oil, and natural gas have been major issues
S. Arisawa
Electronics Group, Superconducting Properties Unit, Environment and Energy Materials
Division, National Institute for Materials Science, Tsukuba-shi, Ibaraki, Japan
e-mail: arisawa.shunichi@nims.go.jp

DOI 10.1007/978-1-4020-8939-8 109,
1190 S. Arisawa
and sometimes lead to a war. It is very important for countries to hold interests for
such resources. Nowadays, minor metals are indispensable for the advanced high-
tech products, and supply disruption of minor metals directly brings on a supply
chain collapse. Prices and supplied amounts of minor metals tend to be decided by
a small number of countries just like the situation of oil. For example, dysprosium
is usually added to magnets used in hybrid cars to keep the performance even at
high temperature. Industries do need stable supply of materials. Elements cannot
be produced except by nuclear reaction, which is far from practical in reality. It is
thus important to develop alternative materials which do not contain such elements.
But what is called “alternative materials” is not a kind of imitation. It is a kind
of development of material exhibiting new functions. Bone china was invented in
eighteenth century to save kaolin by adding animal bone ash to the raw material.
The bone china was found to exhibit excellent characteristics for tableware. It was
at first carried out in order to save the raw material. This substitution of material,
however, resulted in a creation of new products made of a new material with
increased marketability. Materials without minor metals have additional advantage
when the used end products are recycled. In general, small amount of minor metals
are added to the base material. It requires much energy to extract dilute elements
from the recycled matter. From this point of view, recyclability is also a definite
advantage of developing alternative materials. The fields of industries range widely
from transparent conductors to motors for hybrid cars. The optimal approaching
methods depend on case by case (Halada and Kasai 2010; NIMS 2007; Kim et al.
2007; Mihara et al. 2011).
2 What Are “Alternative Materials?”
2.1 What Does the term “Alternative Materials” Mean?
In this chapter, “alternative materials” means materials which exclude or use smaller
amount of minor metals and/or noble metals to replace conventional materials.
Rare earth elements are especially important among minor metals. The alternative
materials are expected to be composed of abundant and ubiquitous elements.
So-called nanotechnology is used for designing, fabricating, and characterizing the
alternative materials in a proactive manner. In addition to the performance as a
material for a specific purpose, the alternative materials should be cost-effective,
harmless, highly productive, and recyclable compared to the original material.
2.2 Why Should “Alternative” Materials Be Developed?
There are three reasons why the alternative materials should be developed. They are
demand-side, supply-side, and recycle-side reasons.
Firstly, the demand-side reason is very critical these days. Modern sophisticated
products such as digital gadgets and hybrid cars require in many cases minor metals.
61 Alternative Materials Development Utilizing Advanced Nanotechnology 1191
Thus, the demands for minor metals, especially rare earth elements, are increasing.
Since the economy grows rapidly in the emerging countries, demands for the
industrial products are also growing amazingly. Most of the emerging countries hold
a large population, and the growth speed is quite rapid and the demand for minor
metals are also growing, while the supply of them is limited. To meet the large
amount of the growing market, the amount of the products should be increased,
but in some cases, increase of the products is limited by material containing minor
metals.
Secondly, the supply-side issue is sometimes rather political. As pointed out in
the introduction, resource problem becomes major issues in the globalized world
of supply chains of industrial products. As for rare earth elements, most of them
are now produced in China. Since the production costs in China are low, a lot of
mining companies in the developed countries stopped producing rare earth metals
in recent years. As a result, oligopoly proceeded. The price and the supplied amount
are affected by delicate situations. It is sometimes said that rare earth elements
are eccentrically located. But in a sense, this is not true. It is basically a matter
of playability and competitiveness of mining. As for the demands in the emerging
countries, low-cost supply is very important. Alternative materials are sometimes
more expensive compared to conventional ones. If prices of minor metals increased,
competitiveness of alternative materials will also be increased.
The last reason is the matter of recyclability. If a large amount of consumer
products including dilute rare earth elements are trashed and recycled, it takes
much energy and cost to extract such diluted elements from, for example, used
cell phones. In this case post consumer energy can be saved. If they are made from
abundant materials, extraction can be omitted and great advantage economically and
environmentally seen from a life cycle of the materials. One of the most successful
results was reported by Hosono et al. (Matsuishi et al. 2003).
3 How Can Alternative Materials Be Realized?
3.1 Principle of Developing Alternative Materials
This chapter is entitled as “Alternative Materials Development Utilizing Advanced

Nanotechnology.” There are a lot of approaches to develop alternative materials.
In this chapter, it is focused on the development of alternative materials based
on nanotechnology. Halada et al. classified the strategy of developing alterna-
tive materials into s-electron, d -electron, and f -electron type depending on the
outermost electrons. They named each strategy as operation s, operation d , and
operation f (Halada and Kasai 2010). As for materials which make use of intrinsic
characteristics of elements, it is difficult to displace it to other elements. One of
the examples of this kind is optical materials utilizing electron jump between the
ground state and higher levels. These kinds of application, utilize instrinsic energy
difference between excited states and ground state, but even in these kinds of cases,
1192 S. Arisawa
such energy is slightly varied depending on the matrix materials. By making use of
this effect, displacement can be made since some rare earth elements are really rare,
while others are not.
3.2 From Empirical to Theoretical Approach
Since the Bronze Age, development of materials had long been based on the
empirical methods, and even nowadays the empirical method remains the major
way. Methods such as composition change, working, heat treatment, mixture,
composite, atmosphere, surface processing, and so forth have been used widely
around the world. In the Japanese metallurgy societies, a phrase of “Copper-Iron
Principle” is widely known. This means that research is made by substituting one
element for another one. Although the empirical way will have remained a main
method for the development of materials in the future as well, contribution of the
computational materials science will be increased drastically.
3.3 Computational Materials Science
Recent advances in the computational materials science (see Chap. 63) are amaz-
ing. In former days, it was sometimes said that the computational materials science
was not applicable for materials design, but only for explanation of the experimental
results. However, it is not true these days. There are three major points of the reason
why the computational materials science reached the stage of practical applications.
The first point is the evolution in the supercomputer performance. Super parallel
computers make it possible to treat increased number of atoms. The maximal speed
of the fastest computers is getting close to 10 petaflops in 2012. The second one
is the progress of modern algorithms of calculation. It is closely related to the
advances of the speed of supercomputers. The number of atoms in a model can be
increased for this reason. First principle calculation without empirical parameters
can be carried out. The last point is the advances of nanotechnology, especially
fabrication technique.
In spite of the developments in the calculation speed and algorithms, the number
of the atoms is limited. But fortunately, recent advances in nanotechnology make it
possible to treat nanostructured region of materials. The world of the computational
materials science is now large enough to be realized by nanotechnology, and
the world of nanotechnology is small enough to be treated by the computational
materials science. Many structures are proposed by many theorists, but very few of
them have been realized. Experimentalists are generally unwilling to try to fabricate
what theorists proposed. Why so? It is generally thought that the computationally
proposed structures are not necessarily easy to synthesize, stable, equilibrium or
qasi-equilibrium. Sometimes, scale of the proposed structure is not the same as the
experimental scale.
A variety of properties are calculated these days such as electronic band

structure, lattice parameters, magnetism (Sluiter et al. 2005), elastic modulus,
specific heat, conductivity, optical parameters, and defects phase diagram. Advances
in the computational materials science are not limited to the atom level approach.
Characteristics of large grain boundaries are also studied. Recent development in the
phase field method (PFM) has made it possible to calculate natures in the traditional
metallurgy field such as solidification, crystal growth, and phase transformation.
Very successful case can be found in the spin tunnel magnetoresistance junction
device of the Fe/MgO/Fe structure. Peter Grünberg and Albert Fert found giant
magnetoresistance in the Fe/Cr multilayered thin films (Baibich et al. 1988; Binasch
et al. 1989). Butler et al. theoretically predicted that layered structure of Fe/MgO/Fe
would exhibit very large tunneling magnetoresistance (Butler et al. 2001; Mathon
and Umerski 2001). In 2004, Yuasa et al. succeeded in fabricating the structure
without defect and proved the prediction by Butler (Yuasa et al. 2004). This device
is now widely used for the high-density hard disk drives.
3.4 Syntheses
If the computational materials science can predict new alternative materials, fabri-
cation of real material is of course necessary for the practical applications. In the
field of the materials science, numerous methods have been tried and carried since
the historical ages. As for the fabrication technique using so-called nanotechnology,
there are two approaches. They are called as the bottom-up nanotechnology and top-
down nanotechnology. The former is based on self-assembly. The latter is usually
nano-sized fabrication utilizing, for instance, semiconductor technology. Generally
speaking, materials for the consumer products should be produced in mass. Thus,
methods for the mass production are required. Yields are limited, for example, by
picking up and placing atoms one by one using STM.
3.4.1 Thin-Film Technology

Thin-film technologies have progressed dramatically for the last several decades.
Precisely controlled deposition of thin films is a powerful tool for the surface and
interface engineering. By using the thin-film fabrication technology, layer-by-layer
deposition in the direction normal to the surface can be achieved. Another advantage
of the thin-film technology is that nonequilibrium phases and metallographic
structures can be fabricated because the crystallization of atoms is a kind of
quenching by some methods of film fabrication. The quenching effect is remarkable
by sputtering. A lot of methods are known for fabricating thin films. They are
physical and chemical vapor deposition, electroplating, physical and chemical
adsorption, Langmuir-Blodgett technique, self assembly at the interfaces, rolling,
and so forth. Among these methods, molecular beam epitaxy (MBE), pulsed laser
deposition (PLD), sputtering, and chemical vapor deposition (CVD) are widely used
for depositing metal and inorganic films. Superlattices can be fabricated by the
sequential deposition by monitoring the surface by RHEED and/or molecular flux
1194 S. Arisawa
from the source of the material. Interface engineering has been progressing rapidly
in the layered oxide materials. The characteristics of the film strongly depend on the
state of the top-layer termination and interface in the multilayered thin films. As for
the oxide materials, proper selection and proper treatment of substrate is extremely
important for the crystal growth of the film.
3.4.2 Nanoparticles
Development of nanoparticle materials is also very important for developing alter-
native materials. Since the number of atoms in a particle is limited, nanoparticles
are suitable for designing by the computational materials science. Since the surface-
to-volume ratio of nanoparticles is very large, catalytic applications are promising.
3.4.3 Self-assembly
So-called self-assembly is promising and useful compared to the top-down
nanotechnology in some fields. As for the organic and biomimetic materials, self-
assembly utilizes the polarity or electric charge of organic molecules. The concept of
self-assembly ranged rather widely. For metal and ceramic materials, self-assembly
is generally realized by the preferred orientation, surface tension, etc. These days,
self assembly is also realized by the thin-film growth technique such as the pulsed
laser deposition. Nanostructured crystals are fabricated based on the crystal growth
mode such as Volmer-Weber growth, and vapor-liquid-solid growth. This is also
a promising method for fabricating self-assembled nanostructures to realize novel
materials with unique properties. Langmuir-Blodgett technique is a very classical
method but rather important as well in the era of molecular designing to handle
monolayer level molecules.
3.4.4 Element Substitution

This is a very traditional method to develop new materials in the field of metal-
lurgy. Especially in the oxide nanostructured electronic materials, displacement of
elements is a routine task when a new superconductor was found. Displacement
with an element of the same period varies valence and results in a different carrier
concentration. On the other hand, displacement with an element of the same family
tends to have the same crystallographic structure.
3.4.5 Thermodynamic Approaches

This is also a traditional way especially in the field of metallurgy. Depending on the
equilibrium phase diagrams, combination of cooling and aging will produce various
kinds of texture of metals. Spinodal decomposition and texture fabricated based on
peritectic system are promising systems in terms of this approach.
3.4.6 Mechanical Treatments

Mechanical treatments such as forging, hot and cold rolling, dislocations, wiredraw-
ing, mechanical alloying, and swaging are very traditional way of creating metal
materials. Coupled with thermodynamic approaches and nano-characterization,
however, these techniques are now entering into a new stage.
3.4.7 Combinatorial Chemistry

Combinatorial chemistry was originally developed for the development of medicine
but applied to the materials science (Koinuma and Takeuchi 2004). The idea is base
on the film technique to realize the inhomogeneous and compositionally gradient
films to screen efficiently the optimal compositions by combining the combinatorial
fabrication and the combinatorial characterization. In the field of materials science,
this technique is used to find optimal composition of film-based materials. But this
technique can also be applied to compositionally gradient materials.
3.4.8 Other Methods

Many methods for fabricating nano-materials other than those described above are
proposed, and some of them are applicable to produce novel materials, for example,
shocked compaction, rapid solidification, and aerosol technique.
3.5 Characterization
Characterization of the fabricated materials is also important. The following

are typical methods for characterization of materials fabricated on the basis of
nanotechnology:
3.5.1 Transmission Electron Microscopy

Performance of transmission electron microscopes is improved greatly these days.
Especially, atomic-level structural and compositional information can be obtained
by the scanning transmission electron microscope (STEM) technique. As for the
sample preparation, pinpoint observation can be made by cutting out small samples
using the focused ion beam (FIB) technique.
3.5.2 Scanning Probe Microscopy (SPM)

SPMs, represented by STM and AFM, are powerful tools to characterize surfaces of
thin films. As for the catalyst and surface-engineered materials, characterization by
SPMs is indispensable. Characteristics of films sometimes are very sensitive to the
surface structure and termination of the topmost surface. Graphene is composed of
only carbon, which is one of the most abandunt elements. STM is one of the most
powerful tools for characterization of graphene.
Scanning SQUID microscopy and scanning Hall probe microscopy are also
useful for characterization of materials used for the superconducting electronic
device materials. Quantized magnetic flux and Josephson junctions are visualized
by this technique (Arisawa et al. 2010).
3.5.3 Surface Spectroscopy and Diffraction

Characterization of surface and interface is essentially important since the properties
of materials based on nanotechnology are strongly dependent on such charac-
teristics. Crystallographic structure, composition valence, roughness electronic
structure, etc. can be characterized. The characterization techniques are as follows:
1196 S. Arisawa
Structural information: RHEED (reflection high-energy electron diffraction),

LEED (low-energy electron diffraction), FIM (field ion microscopy), and AP-FIM
(atom probe FIM) can also analyze chemical compositions.
Compositional information: AES (Auger electron spectroscopy), CICISS (Coax-
ial impact-collision ion-scattering spectroscopy), and SIMS (Secondary ion mass
spectroscopy).
Many other techniques are known to characterize materials.
3.5.4 Characterization of Performance for the Applied Field of

Functional Materials
It goes without saying that performance of the alternative materials should be
comparable to the original ones. They are, for example, characteristics of the applied
field of transparency and conductivity, catalytic performance, and fluorescence,
magnetic performance.
4 Promising Applications
4.1 Magnetic Materials
Magnetic materials are one of the most significant and promising areas for
developing alternative materials. Nd-Fe-B is the strongest and widely used magnet
material. For magnet used in the hybrid car motors, dysprosium is added to this
system. Dysprosium is added to the magnet for the hybrid car motors, which are
used at higher temperatures. Neodymium belongs to the lanthanide series but not so
severely thought to be running short. But the supply of dysprosium is quite limited,
and price is getting even higher these days. Alternative materials to reduce the use
of dysprosium are eagerly studied for this reason, and some successful results are
known.
4.2 Catalysts
Platinum catalyst is widely used for internal-combustion engine cars to detoxify

the exhaust gas. Although platinum is not a minor metal, the substitution is also
required. These days, platinum catalyst is also needed for fuel cells. Mechanism of
the function of platinum catalyst is not fully understood. But much effort has been
paid to develop alternative materials to reduce the use of platinum. Although the
origin of the catalyzing effect has not yet clarified, some candidate of alternative
materials are proposed theoretically.
4.3 Fluorescent Materials
Fluorescent lights are widely used. Recently market for the LED light bulbs is
rapidly growing. In fluorescent light tubes, fluorescent powders are used to convert
ultraviolet to visible light. White LEDs require materials to convert blue light to
yellow one. Of course, other conversion paths also exist depending on the product.
Basically fluorescent characteristics are defined by the element since the energy
difference between excited state and ground state is fixed depending on the kind
of element, and usually rare earth elements are used for this purpose. Thus, it is
difficult to be substituted by other elements. However, even such characteristics can
be tuned by the neighboring atoms especially at very low concentration. Alternative
materials using this effect are sought.
5 Example Cases
5.1 Superconductors
5.1.1 Materials
Superconductivity was discovered in 1911 by Kamerlingh Onnes (1911). Supercon-
ductors are known to exhibit zero resistance, but this is only one aspect of its unique
characteristics. They are, for example, Josephson effect, and quantized magnetic
flux. SQUID (superconducting quantum interference device) can be fabricated by
making use of the Josephson junction. SQUID is a highly sensitive magnetic sensor.
As for the conventional low superconducting transition temperature (Tc) metallic
superconductors, Nb, NbN, Nb-Ti alloy, and Nb3 Sn intermetallic compound are
widely used for practical applications. Since the discovery of high-temperature
oxide superconductors (HTS) in 1986, much effort has been made to develop
new materials. Exploration of family oxide superconducting materials is usu-
ally substitution of elements. For example, as for yttrium-based superconductors
(YBa2 Cu3 O7 : Y-123), yttrium can be substituted by any other lanthanides to
form the phase (RE-123). The substituted phases exhibit superconductivity except
for praseodymium. Characteristics are varied but they exhibit superconductiv-
ity transition temperature around 90 K. As mentioned above, displacement of
elements is a fundamental way of oxide superconductor chemistry. The super-
conducting properties of oxide superconductors strongly depend on the hole
concentration. Hole concentration can be changed by the substitution by dif-
ferent element in the same period as well as change in oxygen content. An-
other family of HTS is bismuth-based oxides. Three types of bismuth-based
superconductors are known. They are Bi2 Sr2 CuO6 (Bi-2201), Bi2 Sr2 CaCu2 O8
(Bi-2212), and Bi2 Sr2 Ca2 Cu3 O10 (Bi-2223).
5.1.2 Power Applications

For generating very high constant magnetic field, superconducting magnets are
generally used. Nb-Ti and Nb3 Sn multifilamentary wires are widely used. High-
temperature superconductors are now coming to practical application in the form
of wires, tapes, and current leads. Helium-free refrigerator-cooled superconducting
electromagnets equipped with HTS wires are commercially available.
1198 S. Arisawa
5.1.3 Bulk Applications

Another method to generate magnetic field by using superconductor is bulk
superconductor magnet. Magnetic fluxons are pinned in bulk superconductors, and
the fluxons are kept perpetually. For this purpose, Re-123 superconductors are used.
In order to keep the fluxons from moving by flux creep, pinning centers are dispersed
in the bulk material by utilizing nanotechnology.
Both superconducting electromagnets operated by the persistent current and bulk
magnets do not consume electricity during the magnetic field generation.
5.1.4 Josephson Junctions

Josephson junctions (Josephson 1962) are fundamental element of the supercon-
ductor electronic device. Basic structure is an insulator layer sandwiched by two
superconductors. Josephson junctions are expected to be applied to logic devices,
single electron transistors, quantum computers, etc. Josephson junctions are used
for the voltage standard because Josephson frequency and voltage exhibit linear
relationship, and the factor is determined by very fundamental physical constants
as 2e/h = 0.483598 (GHz/V). SQUID is also composed of 1 or 2 Josephson
junction(s) in a loop.
Intrinsic Josephson junctions (IJJ) are Josephson junctions built in a unit cell of
the crystal of oxide superconductors (Kleiner et al. 1992). Oxide superconductors
have a perovskite-type structure. Superconducting layers and insulating layers
are alternated periodically. IJJ utilizes this natural structure to form Josephson
junctions. The coherence length and periodicity coincide in the oxide supercon-
ductors. This is a naturally fabricated Josephson junction just like the self-assembly
technique. It is theoretically predicted that power consumption will be reduced to
102 –103 compared to the Si-based modern semiconductor logic devices if large-
scale integrated devices using IJJ are realized. This is a very promising candidate for
the next-generation logic device for sustainability. Further, IIJ is a candidate for the
terahertz wave emission/detection devices (Ozyuzer et al. 2007). Typical material
used for IJJ is Bi-2212, but under specific conditions, RE-123 family also exhibits
IJJ effect (Yun et al. 2008).
Intrinsic Josephson junctions are mainly made of bulk single crystals. This is
because extremely high-quality single crystal is required for utilizing the atomic
level periodicity built in a unit cell. It is very difficult to observe IJJ effect in thin
films of Bi-based superconductors since the quality of the general thin films is not
good enough. However, IJJ effect was observed in high-quality single-crystalline
thin films fabricated by Endo et al. (2007). As far as the author knows, this is the
only case of the observation of IJJ effect in thin films of Bi-based superconductors.
5.1.5 Device Applications

Apart from such power application, electronic device application is also very
attractive. Nanotechnology-based oxide superconductor electronics, such as RSFQ
(rapid single flux quantum) devices and Josephson devices, are intensively studied.
RE-123 films are used for the saw filter for the cell phone base stations.
5.1.6 Film Fabrication

High-quality thin films are indispensable for the application to the electronic
devices. As mentioned above, Endo et al. succeeded in synthesizing high-quality
Bi-based superconducting thin films by the CVD technique (Endo et al. 1992). The
films have excellent quality good enough to be used for the IJJ device. Such high-
quality films are also fabricated by different approach in the RE-123 system. The
triphase epitaxy method is an excellent technique by which high-quality single-
crystalline films can be fabricated. Fabrication of single-crystalline NdBa2 Cu3 O7
thin films was successfully realized by this method (Yun et al. 2002).
5.1.7 Prospects
Up to now, Nb-based low-Tc superconductors are widely used in research in the
Josephson junction devices. One of the biggest reasons why high-temperature oxide
superconductors are hardly used in practical field is the materials problem. It is
difficult to fabricate materials’ in large scale and highly reproducible manner. The
advantage of using high-temperature superconductor is that the devices can be used
without liquid helium. Since helium is one of the precious elements and the price of
it is increasing constantly, helium-free operation is quite advantageous in terms of
the helium resource problem. In the field of the Josephson junction device, it will
take a little more time to replace low-temperature superconductors with HTS.
5.2 Permanent Magnets
Neodymium-iron-boron magnets used in motors for the hybrid vehicles contain

dysprosium or terbium to improve heat resistance. Availability of dysprosium
is however critical these days. For this reason, reducing the amount of Dy/Tb
is an urgent problem. Recently, Shin-Etsu Chemical developed grain boundary
diffusion process to reduce dysprosium in Nd-Fe-B magnet (Nakamura et al. 2005).
Hono et al. succeeded in fabricating high-coercivity dysprosium-free Nd-Fe-B-
based magnet material (Sepehri-Amina et al. 2010). On the other hand, theoretical
prediction of oxide magnet without magnetic element is proposed (Sluiter et al.
2005).
6 Blind Spots of Displacement of Elements by Using

Alternative Materials
If one wishes to develop an alternative material, one should devise the material
from the comprehensive viewpoints. Short sighted strategy for the development
of alternative material makes no sense. When peasants directly appealed to Marie
Antoinette that they had no bread, it was told that she had who responded: “Let
them eat brioche.” These days, this story is regarded as a hoax or an urban legend
but widely disseminated. Replacing bread with brioche is obviously meaningless
when they were starving, but under a complicated situation just like a real-world
1200 S. Arisawa
supply chain, the story is not as simple as Marie Antoinette’s case and sometimes
leading to an unpractical conclusion.
For example, zinc-coated steel is used for cars. But zinc is running short,
and manufacturers are trying to reduce the use of zinc by developing alternative
material. On the other hand, zinc oxide is studied for electronic materials such
as semiconductors and transparent electrodes as alternative materials of composite
semiconductors and indium tin oxide. Some insist that it makes no sense to develop
alternative material by using zinc since the use of zinc itself should be reduced. But it
is not true. Effectiveness and industrial necessity for the development of alternative
materials strongly depend on the relative mass, market size, price, and so forth.
When alternative materials are studied, this fact should always be kept in mind.
7 Summary
As the economy and industry grow rapidly especially in the emerging countries,
resource problems are becoming severer and severer these days. The key to the
future alternative materials is based on the fusion of the computational materials
science, nano-syntheses technology, and nano-characterization. Development of
such materials can be achieved by fully utilizing nanotechnology. For this purpose,
assortment of the computational materials science, nano-level synthesis technique,
and nano-characterization techniques is indispensable. Development of alternative
material is extremely important for the sustainable engineering in the twenty-first
century.
8 Cross-References

Sustainable Products and Sustainable Production: Introduction
Acknowledgments
The author would like to thank Dr. K. Halada (National Institute for Materials
Science), Prof. Y. Kawazoe (Tohoku Univ.), Prof. A. Suzuki (Yokohama National
Univ.), Dr. S. Hara (National Institute of Advanced Industrial Science and Tech-
nology), Profs. K. Yamaguchi and A. Yamaguchi (Iwate Univ.), Prof. M. Kamiko
(Univ. of Tokyo), Dr. H. Yoshida (Japan Science and Technology Agency), and
Ecomaterials Forum.
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G. Binasch, P. Grünberg et al., Phys. Rev. B 39, 4828–4830 (1989)
W.H. Butler, X.-G. Zhang et al., Phys. Rev. B 63, 054416 (2001)
K. Endo, H. Yamasaki et al., Nature 355, 327 (1992)
K. Endo, P. Badica et al., Trans. Mater. Res. Soc. Jpn., 35, 993 (2008)
K. Halada, J. Kasai, Rare Metals: Strategy for Alternative Materials (The Nikkan Kogyo Shimbun,
Tokyo, 2010) (Written in Japanese)
B.D. Josephson, Phys. Lett. 1, 251 (1962)
S.W. Kim, S. Matsuishi et al., Nanoletters 7, 1138 (2007)
R. Kleiner, F. Steinmeyer et al., Phys. Rev. Lett. 68, 2394–2397 (1992)
H. Koinuma, I. Takeuchi, Nat. Mater. 3, 429 (2004)
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Y. Mihara et al., Special issue on minor metals. J. Jpn. Soc. Tribol. 56, 459–488 (2011)
H. Nakamura, K. Hirota et al., IEEE Trans. Magn. 41, 3844–3846 (2005)
H.K. Onnes, Commun. Phys. Lab. Univ. Leiden 12, 120 (1911)
L. Ozyuzer, A.E. Koshelev et al., Science 318, 1291 (2007)
Report on elemental strategy by National Institute for Materials Science (2007), http://www.nims.
go.jp/publicity/publication/outlook elemental-strategy.html (In Japanese)
H. Sepehri-Amina, T. Ohkuboa et al., Scr. Mater. 63, 1124 (2010)
M.H.F. Sluiter, Y. Kawazoe et al., Phys. Rev. Lett. 94, 187204 (2005)
S. Yuasa, T. Nagahama et al., Nat. Mater. 4, 868 (2004)
K.S. Yun, B.D. Choi et al., Appl. Phys. Lett. 80, 61 (2002)
K.S. Yun, T. Hatano et al., Supercond. Sci. Tech. 21, 075006-1-4 (2008)
Biopolymers for Environmental
Applications: Highly Functional 62
Polylactic Acid Composites Used
for Durable Products
Masatoshi Iji
Abstract
Highly functional biomass-based plastics (bioplastics) based on renewable plant
resources, advanced polylactic acid (PLA) composites, have been developed for
use in durable products such as electronic instruments. The PLA composites
exhibit high practicability including good heat resistance, strength, and flame
retardancy while fully preserving high biomass-based component ratio and
chemical safety. They also possess desirable new properties such as good shape
memory and thermal diffusivity for use in upcoming instruments. Moreover,
a self-assembling siloxane nano-sized particle (nanoparticle) was developed
to increase the tenacity of the PLA composites. Adding natural kenaf fiber
increased heat resistance and elastic modulus of PLA, and using a PLA-polyester
copolymer improved the impact strength of the PLA composite. High flame
retardancy and other important characteristics including strength and moldability
were successfully achieved by adding heat-absorbing aluminum hydroxide and a
phenol novolac-type charring agent in PLA. Combinations of the shape memory
and recyclability (thermoplasticity) were performed by cross-linking PLA using
a thermoreversible bond for the use in wearable devices, which are deformable
and recyclable. Also, a high thermal diffusivity comparable to that of stainless
steel was achieved by including carbon fibers cross-linked by natural amide
compound as a binding agent in PLA to improve heat release issues caused
by small and thin electronic devices. Furthermore, self-assembling siloxane
nanoparticles with three phases (high-density siloxane phase, elastomeric sili-
cone phase, and caprolactone oligomer phase) increase the tenacity of PLA to
advance the application of the PLA composites for thin-sized equipments.
M. Iji
Smart Energy Research Laboratories NEC Corporation, Tsukuba, Ibaraki, Japan
e-mail: m-iji@bk.jp.nec.com

DOI 10.1007/978-1-4020-8939-8 106,
1204 M. Iji
1 Introduction
As an alternative to petroleum-based plastics, bioplastics using renewable plant

resources such as starch and natural plant oil have distinct advantages, such as
the ability to fix CO2 gas that causes global warming and prevent depleting
petroleum resources. Therefore, bioplastics are currently envisaged as a highly
promising environment friendly material. Bioplastics can be classified into three
basic types, according to how they are made: by chemical synthesis (polylactic
acid, biomass-based polyamide and polyolefin, etc.), by microbial production
(polyhydroxyalkanoate, etc.), and by natural processes (chemically modified starch
and cellulose derivatives).
Polylactic acid (PLA) (Scheme 62.1) is a main bioplastic being massproduced by
chemical synthesis using starch as raw material (Li et al. 2010). Due to the fact that
it has a relatively high heat resistance, it is already being used for durable products
such as electronic equipments and automobiles in addition to conventional products
such as table ware, sealing, and fiber. However, before PLA can be used more
widely in the durable products, material performance of PLA needs to be enhanced
further. Thus, while fully preserving its environment friendly properties (high
biomass-based component ratio and chemical safety), PLA’s practicability has been
improved, and also its values have been augmented by endowing it with desirable
new properties. A highly heat-resistant PLA composite including natural kenaf fiber
was developed. Flame retardancy of the composite was successfully achieved by
using safe metal hydroxide to expand the use. New functional PLA composites
were developed, offering new performance attributes including combination of
shape memory and recyclability by thermoreversibly cross-linking PLA and high
thermal diffusivity by containing cross-linked carbon fibers in PLA. Furthermore,
high tenacity of PLA was achieved by using newly self-assembled siloxiane nano-
sized particle with three functional layers as an advanced nanofiller.
The PLA composites consisting of PLA and these additives showing high
functions are introduced as follows (Fig. 62.1).
2 Heat-Resistant PLA/Kenaf Composite
To enable PLA to be used for the housings of durable products including elec-
tronic equipments, it is necessary to significantly improve its heat resistance and
strength characteristics. New PLA composite material, kenaf fiber-reinforced PLA
HO H
O
n
Scheme 62.1 Structure of
polylactic acid (PLA) O
62 Biopolymers for Environmental Applications 1205
High practical characteristics and high biomass ratio
Heat Flame
Plant resource resistance Adding aluminum retardancy
hydroxide
Starch, etc
Adding kenaf fiber
Fermentation
Polymerization
Poly lactic
Cellular phone
acid Lighting PC
New functions
Shape Thermal
memory diffusivity
Including cross-linked
carbon fiber
Device Heat Housing
Thermo-reversibly
cross-linking of
Wearable products PLA Small and thin type products
Fig. 62.1 Highly functionalized polylactic acid composites
Kenaf
Fiber
Kenaf plantation PLA/Kenaf composite
Fig. 62.2 Kenaf, kenaf fiber, and molded PLA/kenaf composite
(PLA/kenaf composite), was developed to improve these characteristics (Fig. 62.2)

(Serizawa et al. 2006). This material boasts extremely high biomass-based content
(90% of resin content, excluding inorganic components) compared with current
bioplastics for electronic equipments.
Kenaf is a plant originally grown in Africa, with one of the highest rates of
CO2 absorption of any plants (Lam et al. 2003). Its photosynthesis rate is three to
nine times higher than ordinary plants, and it is capable of absorbing approximately
1.4 tons of CO2 per ton of kenaf. It is thus a very effective plant in terms of global
warming prevention. Kenaf is now being cultivated in Southeast Asia and many
1206 M. Iji
Table 62.1 Characteristics of PLA/kenaf fiber composites

PLA+ PLA+ cut
crushed cut PLA+ kenaf + ABS
PLA kenaf kenaf flexibilizer flexibilizer resin
Fiber (wt%) 0 10 15 20 20 0 20 0
Fexibilizer 0 0 0 0 0 20 20 0
(wt%)
HDTa (ı C) 66 72 107 120 109 66 104 86
Flexural 4:5 5:4 6:3 7:6 7:1 4:0 6:8 2:1
modulus
(GPa)
Flexural 132 111 110 93 115 106 72 70
strength
(MPa)
Izod impact 4:4 3:8 3:2 3:1 5:5 9:1 7:8 19
strength
.kJ=m2 /
a
Heat distortion temperature (load: 1.8 MPa)
other countries around the world, mainly as a substitute for the existing materials
for uses such as paper fiber and livestock feed.
The results of the tests conducted by kneading kenaf fiber (crushed kenaf, under
5 mm long) with PLA to enhance stiffness show that addition of 15% or more of
the fiber results in better heat resistance (deformation temperature under load) and
elastic modulus than that of the petroleum-based ABS resin (Table 62.1). This was
not only from the fact that kenaf fiber inhibits the deformation of PLA but also
by its ability to promote crystallization of PLA. Also, removal of kenaf particles
(use of cut kenaf: 5 mm long) and addition of a biomass-based flexible agent (a
PLA/polyester copolymer) to promote ductility resulted in the improved impact
strength (see Table 62.1). The kenaf-PLA composite has been used in the housings
of some electronic equipments such as cell phone and lighting devices.
3 Flame-Retardant PLA Composite
Plastics used for the housings of medium-sized and larger electronic equipments
such as personal computers require a high degree of flame retardancy to prevent
fire. Since PLA is quite easily flammable, its flame retardancy needs to be improved
before it can be used for such applications. Conventional flame retardants such as
halogen compounds are environmentally unsafe, and then, a flame-retardant PLA
composite without using these substances was developed (Yanagisawa et al. 2009).
After investigating a variety of safe materials to enhance the flame-retarding
ability of PLA, a formula that displays a high degree of flame retardancy (UL
standard: 94 V-0/1.0 mmt) as well as other important and useful properties was
successfully developed by the combination of specific metal hydroxide: aluminum
Total framing time after ignition (second)

Burned
200
150
Adding V-1
100 PN resin or
V-2
50
5wt%
10wt% V-0
0
0 40 50 60 70
ATH Concentration in PLA (wt%)
Fig. 62.3 Flame retardancy of PLA composites with aluminum trihydrate (ATH) and phenol
novolac resin (PN) as charring agent
hydroxide, which is a soil component that acts as a heat-absorbing agent, and

safe additives including a charring agent. A high level of flame-retarding ability
was achieved by optimizing the composition of the formula by eliminating any
substances that promote decomposition of PLA from the metal hydroxide and then
combining a charring agent: phenol novolac resin (PN) that promotes carbonization
of PLA (Fig. 62.3). Furthermore, combining other additives such as the above-
mentioned flexible agent (PLA/polyester copolymer) greatly improved a variety
of other important properties such as impacting strength and moldability (resin’s
fluidity in molding). Currently, the PLA composite has been used in the electronic
equipments such as personal computers and projectors.
4 Recyclable Shape Memory PLA Composite
Shape memory plastics are plastics with the following ability. If they are deformed
using heat and external force, then cooled and hardened, when they are heated
again, they return to their original shape. Generally, this characteristic is seen in
plastics having a cross-linked structure (mesh structure). Unfortunately though, due
to their cross-linked structure, such plastics do not melt, even at high temperatures,
so recycling them (remolding them in differently shaped metal molds) is difficult.
Needing to solve this problem, a technology to achieve thermoreversible cross-
linking based on the Diels-Alder reaction (Engle and Wagner 1993; Chujyo et al.
1990) in the structure of PLA was developed, resulting in materials displaying a
combination of shape memory and recyclability (Fig.62.4) (Inoue et al. 2008, 2009).
Thanks to this cross-linked structure, the material can be deformed and restored to
its original shape by heating at a temperature of a hair dryer (approximately 60 ı C),
1208 M. Iji
Molecules of PLA
Thermo-reversible bond
(Diels-Alder reaction) Heating at
high temp.
O O
O
O + N
N
Cooling
O O
Low ~⬉100°C High temp.(⭌160°C) Melted PLA

Cross-linked PLA
Shape memory Recycling
Fig. 62.4 Thermoreversibly cross-linked PLA composite
Thermo-reversibly Heat (60 centigrade)

cross-linked PLA + Force
Heat (60 centigrade)
Melting and Recycling

re-molding Heat (60 centigrade)
(160 centigrade) + Force
Heat (60 centigrade)
Fig. 62.5 Shape memory and recycling performed with thermoreversible cross-linked PLA
composite
but if heated to a typical molding temperature (160 ı C), the cross-linked structure
dissociates, causing the material to melt, thereby enabling easy recyclability
(Fig. 62.5).
This recyclable shape memory PLA composite allows users to freely deform
the material into any shape they like, making possible all kinds of new prod-
ucts and applications, like futuristic wearable electronic equipments for example
Fig. 62.6.
Fig. 62.6 Wearable mobile equipments in future using shape memory PLA composite
5 Highly Thermal Diffusion PLA Composite
The rapid reduction of the size of electronic products is increasing the difficulty
of dissipating the heat they produce. Because small and slim products such as
the latest mobile phones and personal computers cannot easily be equipped with
conventional cooling devices like fans and coolers, many of the plastic parts used
in these products need to be able to conduct heat away from the electric parts.
While adding conductive fillers such as metals oxides and carbon fibers to plastics
increases their thermal diffusivity and thermal conductivity (Bigg 1995; Hill and
Supancic 2002; Goyanes et al. 2001; Kumlutaş et al. 2003; Ishida and Rimdusit
1998), adding sufficiently large amounts of these fillers also increases the density of
the plastics and reduces their mechanical strength and moldability.
A PLA composite which realizes thermal diffusivity higher than that of stainless
steel was developed by including cross-linked carbon fibers in PLA (Nakamura
and Iji 2009; Iji et al. 2011a, b). The material is expected to make electronic
equipments more environmentally sound while improving conventional heat release
issues. Creation of a cross-linked structure of carbon fibers (several millimeters
long) through the use of a unique biomass-based binder, a natural amide compound
(N,N’–ethylene bis-stearamide), in PLA achieves high heat diffusion (with carbon
fiber of 10% and 30%, the heat diffusion ability of the PLA composite is comparable
to and double that of stainless steel respectively) (Figs. 62.7 and 62.8). The
gravities of the composites with carbon fibers are between 1.3 and 1.5, which
are less than half the values comparing with the previous heat-conductive plastic
composites containing high contents of heat-conductive fillers to perform the same
heat diffusions.
1210 M. Iji
a b
50 µm 50 µm
c d
50 µm 100 µm
Fig. 62.7 Micrographs of PLA composites: (a) PLA, (b) PLA with 5 wt% of amide binder, (c,d)
PLA with 10 wt% of carbon fiber (6 mm long) and 5 wt% of amide binder
Specimen(2mmt)
a b c d
Heat Flow
Observation
Maximum temp.
PLA CF/PLA CF/amide/PLA SUS304 Heater (70

centigrade)
Fig. 62.8 Infrared thermography of PLA composite plates and stainless plate (2:07:00:2 cm):
(a) PLA, (b) PLA with 10 wt% of carbon fiber (CF:6 mm long), (c) PLA with 10 wt% of CF and
5 wt% of amide binder, and (d) stainless steel
6 Self-assembling Nanoparticle Filler with Three Layers to

Improve Tenasity of PLA
Inorganic nanometer-sized particles (nanoparticles) are attracting attention as

reinforcing fillers for use in polymer-nanoparticle composites (procompromises)
because they improve key characteristics of these composites at a relatively low
content (Hussain et al. 2006; Jordan et al. 2005; Usuki et al. 2005; Rosso
et al. 2006). However, currently available nanoparticles insufficiently improve the
tenacity (elongation at breaking point while keeping maximum strength) of PLA,
which is important if PLA is used in durable products. This is mainly because these
nanoparticles lack rubberize elasticity and affinity for PLA matrix (Fig. 62.10: an
example of silica nanoparticle).
A self-assembling siloxane nanoparticle (about 10 nm size) with three phases
that improve the tenacity of PLA was developed. The particles consist of a high-
density siloxane phase (plural cores), an elastomeric silicone phase (middle phase),
and a caprolactone oligomer phase (outside phase) (Iji et al. 2011a). Self-assembly
by aggregation and condensation of an organosiloxane with three units forms each
phase in a solvent. The PLA nanocomposite with the particle was formed by
mixing the particle and PLA in the solvent and removing the solvent (Fig. 62.9).
Testing showed that the use of these nanoparticles greatly increases PLA’s tenacity
(Fig. 62.10). The mechanism of the improved tenacity due to the use of the three-
phased nanoparticles is as follows. The nanoparticles maximize the strength because
of their core rigidity and create the high breaking strain due to the rubberlike
elasticity of the middle elastomeric phase and the plasticity of the outside phase
with a high affinity with PLA.
The use of the nanoparticle will expand the use of PLA in durable product appli-
cations, especially thin-sized equipments and other new applications by increasing
the toughness.
7 Summary
As detailed above, highly functional PLA composites have been developed as

advanced bioplastics that offer high performance while keeping environmental
friendliness for use in durable products including electronic equipments. PLA’s
practical properties including heat resistance and strength were improved by using
biomass-based additives such as natural kenaf fiber, and its flame retardancy was
increased by using a safe soil component: aluminum hydroxide. Furthermore, PLA’s
new functions, recyclable shape memory producing wearable electronic equipments
and high thermal diffusivity, which solve the heat-release issues caused by the latest
mobile electronic equipments, were achieved. Also, a self-assembling siloxane
nanoparticle with three phases was developed, which increases the tenacity of PLA
to advance the application in the thin-sized equipments. These technologies will
contribute to expand the use of PLA to durable products.
1212 M. Iji
a PMPS Me
PrO Si O Pr
8
OPr
OMe 2) 1)
O
MeO Si NCO HO Bu
O 4
OMe
IPTS CLO
b IPTS CLO c
PMPS
Fig. 62.9 Preparation of organosiloxane with three units (a) and self-assembly of three-
phased nanoparticles through aggregation (b) and condensation (c) of organosiloxane. (IPTS:
isocyanatepropyltrimethoxysilane, PMPS: polymethylpropyloxysiloxane, CLO: caprolactone
oligomer)
The next subject of bioplastics is changing the resource from edible plant ingredi-
ents to inedible ones. PLA and current other major bioplastics use starch as the main
resource, and starch is produced from plants that are generally edible. However,
fears for future food shortages are driving an effort to use plant resources that are
not edible. As inedible plant resources with stable supply, cellulose is the most likely
candidate because it is the main component of most plants and the largest amount
of nonfood plant resources produced in the ground. Cellulose is a polysaccharide
like starch, but because of hydrogen bonding within and between its molecules,
it forms a rigid crystalline structure, which is not suited to consumption as food
and thus can be used as biomass resources. Therefore, research and development
to convert cellulose to current bioplastics including PLA and new bioplastics are
a b
120
i ii
100
Stress / MPa
80
60
40
20
iii
0
0 1 2 3 4 5 6 7 8 9
Elongation / %
Fig. 62.10 (a) Flexural test of PLA nanocomposites containing nanoparticles (5 wt%): (i) PLA,
(ii) PLA nanocomposite containing three-phased nanoparticle, (iii) PLA nanocomposite containing
silica nanoparticle. (b) Test piece of PLA nanocomposite with three-phased nanoparticle after
flexural test
required. For example, a new advanced cellulose-based resin has been studied,
which is produced by bonding cellulose and a nonfood plant oil: cardanol derived
from cashew nuts shell, an agricultural by-product (Iji et al. 2011b).
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M. Iji, S. Moon, S. Tanaka, Polym. J. 43, 738 (2011b)
K. Inoue, M. Yamashiro, M. Iji, Polym. J. 40, 657 (2008)
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A. Nakamura, M. Iji, J. Mater. Sci. 46, 747 (2011a)
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P. Rosso, L. Ye, K. Friedrich et al., J. Appl. Polym. Sci. 100, 1849 (2006)
S. Serizawa, K. Inoue, M. Iji, Appl. Polym. Sci. 100(1), 618 (2006)
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Computational Materials Science and
Computer-aided Materials Design and 63
Processing
Rodion V. Belosludov, Hiroshi Mizuseki, Ryoji Sahara,

Yoshiyuki Kawazoe, Oleg S. Subbotin, Ravil K. Zhdanov, and
Vladimir R. Belosludov
Abstract
With tremendous progress in computer technologies and applications during the
last decade, atomistic-level simulation is rapidly becoming an essential tool in
materials science for the study of the physical and chemical properties of various
materials. Moreover, in parallel with the experimental efforts, computer-aided
materials design is also an important factor in the fabrication of novel materials,
to be applied in driving engineering innovations and urgent technological needs
for achieving a sustainable society. Here, an original approach has been demon-
strated that allows us to construct a p T phase diagrams of various hydrates
with complex gas compositions. In order to evaluate the parameters of weak
interactions, a time-dependent density-functional formalism and local density
(TDLDA) technique entirely in real space have been implemented for the cal-
culations of frequency-dependent polarizabilities and van der Waals dispersion
coefficients for atoms within the all-electron mixed-basis approach (TOMBO
code) developed at the Institute for Materials Research, Tohoku University.
The combination of both methods enables one to calculate thermodynamic
properties of clathrate hydrates without resorting to any empirical parameter
fittings. Using the proposed method, it is possible to not only confirm the existing
experimental data but also predict the unknown region of thermodynamic
stability of clathrate hydrates, and also propose the gas storage ability as well
R.V. Belosludov () H. Mizuseki R. Sahara

Institute for Materials Research, Tohoku University, Sendai, Japan
e-mail: rodion@imr.edu; mizuseki@imr.edu; sahara@imr.edu
Y. Kawazoe
New Industry Hatchery Center, Tohoku University, Sendai, Japan
e-mail: kawazoe@imr.edu
O.S. Subbotin R.K. Zhdanov V.R. Belosludov
Nikolaev Institute of Inorganic Chemistry, SB RAS, Novosibirsk, Russia
e-mail: subbot@niic.nsc.ru; rav@niic.nsc.ru; bel@niic.nsc.ru

DOI 10.1007/978-1-4020-8939-8 108,
1216 R.V. Belosludov et al.
as the gas composition for which high-stability region of clathrate hydrates

can be achieved. The proposed method is quite general and can be applied
to the various nonstoichiometric inclusion compounds with weak guest-host
interactions. From this point of view, the present methodology can support
experimental explorations of the novel storage materials.
1 Introduction
Rapidly developing modern society poses problems to the scientific and engineering
organizations in that many of the currently used technologies and perspective
engineering innovations need to be directed in a more sustainable way. Time
required for solving these tasks must be drastically reduced in connection with the
aggravation of the ecological problems which are caused by the rapidly increasing
population and intense economic growth. Without solution, it will not be possible to
prevent the negative effects of such development. Therefore, sustainable engineering
and materials science will continue to play an important role in five key thematic
areas such as energy, transportation, housing, materials resources, and health.
Global demand for energy is growing even faster than the population and an
increasing number of observations have given us general understanding of the
dramatic and catastrophic consequences that may occur if society continues to focus
on consumption of energy mostly produced from fossil fuel reserves. The reduction
of the use of fossil fuels and the replacement of that with the alternative and
sustainable energy sources is one of the present grand energy challenges. Hydrogen
is an ideal candidate for this substitution, and, therefore, the technology of using
hydrogen as an environmentally clean and efficient fuel is an active research area
worldwide. However, it is important to overcome many scientific and technological
hurdles that exist between the present state of hydrogen production, utilization, and
storage capabilities and those required for a competitive and sustainable hydrogen
economy (Ockwig and Nenoff 2007).
In order to realize efficient energy technologies, experimentalists should make
much effort to bring new ideas and development of new materials with desired
properties. Theorists can aid in this search by narrowing the field through accurate
prediction of the chemical and physical properties of materials with different
composition. Recent rapid advances in computer technology have given rise to
numerous opportunities in the materials science research. This involves going
from the analytical description of a model system to the representation of the
realistic molecular structures and associated physical and chemical properties by
the computational modeling. The value of simulation can be evaluated based on
its ability to rapidly and accurately predict the properties of the novel functional
materials in a more cost-effective way than is experimentally possible.
Computational materials science combines all numerical methods based on
quantum mechanics (QM), molecular dynamics (MD), Monte Carlo (MC), lattice
dynamics (LD), and molecular mechanics (MM) simulations for the prediction of
the structure, electronic, and thermodynamic properties of materials. Basic principle
of these simulations is an estimation of the total energy of an investigated system.
63 Computational Materials Science 1217
There is a cost scale to the computational materials science because so many physi-
cal properties are related to the total energies. While just one piece of the theoretical
tool is necessary to calculate all the physical properties that are related to the total
energies, completely different pieces of the experimental tools are required to mea-
sure each class of the physical properties of a material. This represents an enormous
advantage of the computational materials science over the experimental measure-
ments (Payne et al. 1992). Simulations are easy to perform, even for very complex
systems; often, their complexity is no worse than that of the physical description.
As the capabilities of computers expand, simulations of many-body systems will be
able to treat more complex physical systems at higher levels of accuracy.
Materials scientists today employ essentially the entire periodic table in creating
modern technology. Thus, instead of synthesizing and testing a large number of
potential candidates, it is possible to use various computational approaches to screen
a large number of candidates including very expensive elements. Experiments only
need to be performed on a small number of the most promising candidates. Using
powerful computers and highly accurate methods, scientists can accelerate the
realization of novel materials and propose these materials for different applications.
Application of these materials for generation, storage, and supply of energy is one
of the great opportunities for researchers, both theorists and experimentalists.
One of the major challenges in establishing a hydrogen-based economy is the
effective storage and delivery of hydrogen. There are several candidate groups
for the hydrogen storage materials, each with the positive and negative attributes.
Traditional hydrides have excellent H-volume storage capacity, good and tunable
kinetics and reversibility, but poor H-storage by weight. Highly porous carbon
and hybrid materials have the capability of high mass storage capacity, but since
adsorption is of molecular hydrogen, they can only work under the cryogenic
conditions. Light metal alloys have the required mass density but poor kinetics and
high absorption temperatures/pressures. Finally, complex hydrides undergo chem-
ical reactions while desorbing/adsorbing, thus restricting kinetics and reversibility
(Eberle et al. 2009).
Clathrate hydrate is another type of material which has the potential for the
hydrogen storage. This is a guest-host or inclusion compound in which water
molecules form a three-dimensional host structure where the molecules (guests)
can be encaged in the empty voids (Sloan and Koh 2008). Recently, it has been
reported that the clathrate hydrate of structure II (CS-II) can store around 4.96 wt%
of hydrogen at 220 MPa and 234 K. Following these works, many experimental and
theoretical studies of hydrogen hydrates (see Fig. 63.1) using different methods
have been conducted (Struzhkin et al. 2007). Much of the work concentrated on
accurate estimation of the hydrogen capacity of the CS-II clathrate hydrate and
under what conditions the maximum capacity can be achieved. Other work focused
on the formation of hydrogen hydrates at lower pressures since the high-pressure
conditions for pure hydrogen hydrate formation place a limiting constraint on its
practical application. A nearly two orders of magnitude reduction in the hydrate for-
mation pressure was found in the tetrahydrofuran (THF) – hydrogen – water system.
Thus, the possible formation of hydrogen hydrate with different structures by adding
various guest molecules suggests the practical feasibility of the binary hydrate as a
Fig. 63.1 Crystal structure of hydrogen hydrate with cubic structure II
hydrogen storage candidate. Based on the above statements, it is important to study

the phase diagram of multicomponent clathrate hydrates in detail which is still a
challenging task due to their complexity (Struzhkin et al. 2007). From this point
of view, theoretical approaches can be useful for understanding the physical and
chemical properties of the binary hydrate, and they can support the experimental
exploration of the novel hydrogen storage materials based on clathrate hydrates.
In the present chapter, recent achievements in the study of hydrogen clathrate
hydrates have been described. The formalism for the evaluation of the parameters
of the van der Waals interactions based on an all-electron mixed basis approach
will be presented in the next section. An original approach accounting for the
multiple cage occupancy, host lattice relaxation, and the description of the quantum
nature of the guest behavior will be also explained for the estimation of the
thermodynamic properties of various hydrogen hydrates with the possibility of
multiple filling of cavities by guest molecules. The combination of both methods
enables one to calculate the hydrate phase coexistence lines without resorting to
any empirical parameter fittings. Understanding the guest-host interactions and the
role of additional guests on the stability of clathrate hydrates containing hydrogen
provide the molecular-level keys to unraveling the complex relationship between the
structure, thermodynamics, and hydrogen storage capacity of these materials.
2 Study of the van der Waals Interactions Within the

Density-Functional Theory and All-Electron Mixed-Basis
Approach
Recently, fundamental role of the van der Waals (vdW) interactions at separations
beyond an interatomic bond length has been recognized in materials science
(French et al. 2010). These interactions are important in the synthesis and the
stability of the inclusion compounds with weak guest-host interactions, and their
manipulation is essential for the design of useful hydrogen storage materials. The
van der Waals interactions act between neutral atoms. At short distance, where
overlap of the electronic clouds is non-negligible, atoms repel and at distance
where overlap is negligible, atoms are attracted by mutual polarization of their
electronic clouds. There is a fundamental difference between these repulsive and
attractive interactions. The description of the repulsive interactions is performed
within the framework of quantum chemistry, while the attractive or van der Waals
interactions are described with the rules of the quantum electrodynamics. There
are numerous possible approaches for the calculations of short-range repulsive
interactions (Dobson et al. 2001). Long-range attractive van der Waals interactions
can be evaluated through the quantum fluctuations of the electrodynamic field
(Parsegian 2006).
In the framework of the general theory of van der Waals forces (Dzyaloshinskii
et al. 1961), neutral atoms in vacuum with the electromagnetic field fluctuations
absorb and emit photons. By absorption of photons, atoms are transferred into
excited states. This can lead to the appearance of virtual multipole moments whose
interactions determine the attractive van der Waals interactions. Therefore, long-
range interactions appear due to interactions between electrons of the atoms in the
excited states, while short-range interactions are due to the repulsion interaction
between electrons of the atoms in their ground states.
In the approximate accounting for interactions of the induced dipoles, the
interaction energy between two atoms can be represented in the form of C6 /R6 ,
where C6 is the van der Waals coefficient and R is the distance between atoms.
Different approaches have been employed for the calculation of the van der Waals
dispersion coefficients C6 within time-dependent density functional theory. The
knowledge of the static and dynamic dipole-dipole polarizability at imaginary
frequencies suffices to compute the van der Waals interaction. For the purpose of
calculating C6 coefficients, matrix formulation of the linear response theory has
been employed (Casida 1995), yielding oscillator strengths and excitation energies,
sufficient ingredients for the computation of the dynamic polarizability. Linear-
response theory within the time-dependent density functional formalism and the
local density approximation (TDLDA) has been implemented to compute transition
energies and optical absorption spectra for many different systems within the higher-
order finite-difference pseudopotential method (Vasiliev et al. 2002). The TDLDA
technique has been implemented entirely in real space for calculations of the
frequency-dependent polarizabilities and van der Waals dispersion coefficients for
atoms within the all-electron mixed-basis approach. In this method, the one-electron
wave functions are expressed in terms of both localized nucleus-centered functions
and plane waves (Bahramy et al. 2006).
2.1 Casida Approach
In the Casida approach, TDLDA excitation energies I and oscillator strengths

fI can be derived from single-electron Kohn–Sham eigenvalues "k and eigenwave
functions k .Er 0 /. The true excitation energies I , which correspond to the poles of
the dynamic polarizability, may be obtained from the solution of the Casida equation
(Casida 1995) as shown in (63.1),
QFI D 2I FI ; (63.1)
where the matrices Q are given by (63.2),

q p
2
Qij;kl D ıi;k ıj;l !kl C 2 ij !ij Kij;kl kl !kl ; (63.2)
lk D n nk is the difference between the occupation numbers, and ! lk D "k "l
is the difference between the eigenvalues of the l-th and k-th single-particle states;
Kij;kl is the adiabatic coupling matrix (Hartree atomic units are used throughout the
section, unless otherwise stated).
The analytic expression for the adiabatic coupling matrix in (63.3),
ZZ !
1 ı 2 Exc Œ 0 0
Kij;kl D i .E
r / j .Er / ˇ ˇC k .E
r / r /d rEd rE0
l .E
ˇrE rE0 ˇ ı.Er /ı.Er 0 /
(63.3)
can be split into two parts in (63.4),
.1/ .2/
Kij;kl D Kij;kl C Kij;kl : (63.4)
1
The first term represents a six-dimensional integral of is shown in (63.5) as
jrEEr 0 j
ZZ !
.1/ 1 0 0
Kij;kl D i .E
r / j .Er / ˇ ˇ k .E
r / r /d rEd rE0 :
l .E (63.5)
ˇrE rE0 ˇ
The second term in (63.3) represents a six-dimensional integral of the second

functional derivative of the exchange-correlation energy as shown in (63.6). In the
local density approximation (LDA), it can be reduced to the three-dimensional
integral:
1=3 Z
.2/ 2 2=3
Kij;kl D i .E
r / j .Er /Œ.r/ r / l .Er /d rE:
k .E (63.6)
9
The oscillator strengths fI which are given by (63.7),
2 X ˇˇ T 1=2 ˇˇ2
3
fI D ˇBˇ R FI ˇ ; (63.7)
3
ˇD1
where, FI are the eigenvectors of the Casida equation (63.1) as shown in (63.8),
Z
.Bˇ /ij D ‰i .Er /rˇ ‰j .Er /d rE; (63.8)
and fr1 ; r2 ; r3 g = fx; y; zg.
2.2 Coupling Matrix
To find the elements of coupling matrix, the single-electron Kohn–Sham eigenvalues

"k and eigenwave functions k .Er 0 / obtained within the all-electron mixed-basis
approach (Louie et al. 1979; Bahramy et al. 2006) will be used. The characteristic
feature of the all-electron mixed-basis approach is that the Kohn-Sham wave
functions are expanded in a mixed basis consisting of the plane waves (PW) and
well-localized functions centered at the atomic nuclei positions RE D 0, the so-called
atomic orbitals (AO). For atom, the Kohn-Sham wave functions are expressed as in
(63.9),
" #
1 X e Er
i GE X
i .E
r/ D p cGi p C i
cnlm ˆnlm .Er / ; (63.9)
N G
0 nlm
where i is the index of a Kohn-Sham eigenstate, rE is a vector in direct space, and

GE D l1 bE1 C l2 bE2 C l3 bE3 (li integers and bN1 D 1 .1; 0; 0/; bN 2 D 1 .0; 1; 0/; bN3 D
L0 L0
1
L0
.0; 0; 1/ basis vectors of the reciprocal space for crystal with a cubic symmetry)
is a vector in the reciprocal space (0 D L30 is the volume of the unit cell, N –
number of the unit cells, cGi , cnlmi
are the expansion coefficients, and ˆ denotes AO
(see (63.10) and (63.11)):
ˇ ˇ
ˆnlm .Er / D Rnl .ˇrEˇ/Ylm .; '/; (63.10)
s
mCjmj 2l C 1 .l C jmj/Š 1 d ljmj
Ylm .Or / D .1/ 2 i l
.1/jmj l sinjmj ./
4 .l jmj/Š 2 lŠ .d cos /ljmj
.cos2 1/l e i m' D ‚lm ./e i m' ; (63.11)
where, Y refers to spherical harmonic; n; l; m are the principal, the angular-

momentum, ˇ ˇ and magnetic quantum numbers, respectively. The radial part of the
AO, Rnl .ˇrEˇ/ is stored numerically on a logarithmic radial mesh r from the vicinity
of the nucleus of the atom to the cutoff radius, rc (Louie et al. 1979).
For the calculation of the first term of coupling matrix (63.5), one needs to
calculate six-dimensional integrals of products of density matrix elements ij .Er /
1
and lk .Er 0 / at the points of rE and rE0 and rEE . Density matrix within the all-electron
j r0j
mixed-basis approach can be represented as shown in (63.12)–(63.15),
PW;PW PW;AO AO;AO

lk .Er / D l .E
r / k .Er / D lk .Er / C lk .Er / C lk .Er / (63.12)
1 X k X l i.G E G
E 0 /E
r
lk
PW;PW
.Er / D cG cG 0 e ; (63.13)
G 0 G
where, D N 0 is crystal volume,
1 X X E0
PW;AO
lk .Er / D p cGl00 e i G rEcnk0 l 0 m0 ˆn0 l 0 m0 .Er /
N 0 n0 l 0 m0 G 00
1 X X E0
C p c k 00 e i G rE cnl0 l 0 m0 ˆn0 l 0 m0 .Er / (63.14)
N 0 n0 l 0 m0 G 00 G
1 X l X
lk
AO;AO
.Er / D cn0 l 0 m0 ˆn0 l 0 m0 .Er / k
cnlm ˆnlm .Er /: (63.15)
N 00 0
nl m nlm
As the radial part of the AO is nonzero only inside the sphere of radius r0 , G E rE
2.l1 C l2 C l2 / Lr00 and in case Lr00 < 1, choosing definite number of the reciprocal
lattice vectors so that GE rE < 1, one can approximate exponentials in (63.14) by units,
then (63.16) results
1 X X
lk
PW;AO
.Er / p cGl00 cnk0 l 0 m0 ˆn0 l 0 m0 .Er / C cGk 00 cnl0 l 0 m0 ˆn0 l 0 m0 .Er / :
N 0 n0 l 0 m0 G 00
(63.16)
In this approximation, the plane-wave part of the wave function is considered
approximately as a constant inside the sphere. Using the identity as shown in
(63.17): Z
1 1 d qE i qE.Er Er 0 /
ˇ ˇD e ; (63.17)
ˇrE rE0 ˇ 2 2 q2
and substituting (63.12) into (63.15) one gets the following expression for the
coupling matrix K in the all-electron mixed-basis approach as shown in (63.18)–
(63.24):
.1/ .1/ .1/ .1/ .1/ .1/ .1/

Kij;kl D K 0 ij;kl C K 00 ij;kl C K 000 ij;kl C KQ 0 ij;kl C KQ 00 ij;kl C KQ000 ij;kl ; (63.18)
where Z
0 .1/ 1 d qE PW;PW PW;PW
Kij;kl D .E
q /lk .E
q /; (63.19)
2 2 q 2 ij
Z
00 .1/ 1 d qE h PW;PW i
Kij;kl D .E
q / PW;AO
.E
q / C AO;PW
.E
q / PW;PW
.E
q / ; (63.20)
2 2 q 2 ij lk ij lk
Z
000 .1/ 1 d qE h PW;PW i
Kij;kl D .E
q / AO;AO
.E
q / C AO;AO
.E
q / PW;PW
.E
q / ; (63.21)
2 2 q 2 ij lk ij lk
Z
Q
0 .1/ 1 d qE PW;AO PW;AO
Kij;kl D .E
q /lk .E
q /; (63.22)
2 2 q 2 ij
Z
00 .1/ 1 d qE h PW;AO i
KQ ij;kl D 2 2
ij .E AO;AO
q /lk q / C ijAO;AO .E
.E PW;AO
q /lk .E
q/ ; (63.23)
2 q
Z
000 .1/ 1 d qE AO;AO
KQ ij;kl D .E
q /lkAO;AO
.E
q /; (63.24)
2 2 q 2 ij
R
where .E q / D d rE exp.i qErE/.Er / is Fourier transform of .Er /. The first three terms,
0 .1/ 00 .1/ 000 .1/
Kij;kl C Kij;kl C Kij;kl in (63.18) corresponds to the interaction of the plane waves
between themselves and the interaction of the plane waves with the atomic orbitals.
For these terms integration can be reduced from six to three dimensions. For the
first term, integration over rE reduces to the integral for delta-function. Then, the
expression for the delta-function takes the following form (63.25):
.2/3 X k X l E
PW;PW
lk .E
q/ D c c 0 ı.G GE 0 C qE/: (63.25)
G G 0 G
G
Substituting (63.25) into (63.19)–(63.21) and performing three-dimensional integra-

tion over rE, one can get (63.26)–(63.28):
0 .1/ 2.2/4 X i X j 1 X
E ¤G
E0
Kij;kl D cG 0 cG ˇ ˇ2 cGl00 cG
k
E G E 00
E 0 CG
at G
ˇ E E 0 ˇ
G 0 G ˇG G ˇ G 00
and
D0 at E DG
G E0 (63.26)
2
Z X X
00 .1/ 4 6 j 1 E GE 0 /E
Kij;kl D 4 d rE cGi0 cG ˇ ˇ2 e
i.G r PW;AO
lk .Er /
ˇE Eˇ
0 ˇ
G0 G ˇG G
3
Z X X 1 E 000 G
E 00 /E 7
C ijPW;AO .Er / cGl00 cGk 000 ˇ ˇ e
.i G r
d rE5
ˇ E 000 E 00 ˇ2
G 000 G 000 ˇG G ˇ
2
Z X X j
4 6 1
4 d rE cGi0 cG ˇ ˇ2 lk
PW;AO
.Er /
ˇ E E 0 ˇ
G 0 G ˇG G ˇ
3
Z X X 1 7 E ¤G
E0
C ijPW;AO .Er / cGl00 cGk 000 ˇ ˇ d rE5 at G
ˇ E 000 E 00 ˇ2
G 00 G ˇG G ˇ
and
D0 at E DG
G E0 (63.27)
2
Z X X
000 .1/ 4 6 j 1
Kij;kl 4 d rE cGi0
cG ˇ AO;AO
ˇ2 lk .Er /
ˇ E G Eˇ 0 ˇ
G0 G ˇG
3
Z X X 1 7 E ¤G
E0
C ijAO;AO .Er / cGl0 cGk ˇ ˇ2 d rE5 at G
ˇ ˇ
G0 G ˇGE 000 GE 00 ˇ
and
D0 at E D GE 0
G (63.28)
Substitution of (63.15) and (63.16) into (63.27) and (63.28) and integration over rE
gives the following expression for the first three terms of (63.18) yielding (63.29)
and (63.30):
8
ˆ
0 .1/ 00 .1/ 000 .1/ 4 <X i X j 1 X
Kij;kl C Kij;kl C Kij;kl D cG 0 cG ˇ ˇ2 cGl00 cG
k
E G E 00
E 0 CG
:̂ 0 ˇ E E 0 ˇ
G G ˇG G ˇ G 00
X 1 Xh j l j
i
C ˇ ˇ2 cGi0 cG cnlm k
cnlm i
C cnlm cnlm cGl0 cGk
ˇE E 0 ˇˇ nlm
GIG 0 ˇG G
X X 1 n l k
i j k l
C An 0 0 ˇ ˇ2 cG 0 cG cG 00 cn0 00 C cG 00 cn0 00
ˇE E 0 ˇˇ
n0 GIG 0 IG 00 ˇG G
9
h i o>=
j j E ¤G E0
C cGi00 cn0 00 C cG 00 cni0 00 cGl0 cGk at G
>
;
and
D0 at GE D G
E 0; (63.29)
where
p Zr0
2
Anl D p r 2 drRnl .r/: (63.30)
0
0
.1/ .1/ 0 .1/ 00 000

To find the 4-, 5-, and 6-th terms, KQ ij;kl C KQ ij;kl C KQ ij;kl , of the coupling matrix K
from ( 63.18) integration over qE ( 63.22)–( 63.24) can be replaced by summation
over the reciprocal-lattice vectors G E D l1 bE1 C l2 bE2 C l3 bE3 and, substituting
1
d qE D .L0 /3 , one can obtain (63.31)–(63.33),
0 .1/ 1 1 X 1 h PW;AO E PW;AO * i

KQ ij;kl D .G/lk .G/ ; (63.31)
2 2 .L0 /3 G 2 ij
E
G
00 .1/ 1 1 X 1 h PW;AO E AO;AO E i

KQ ij;kl D ij . G/lk . G/ C AO;AO E PW;AO E
ij . G/lk . G/ ;
2 2 .L0 /3 G2
E
G
(63.32)
000 .1/ 1 1 X 1 AO;AO E AO;AO E
KQ ij;kl D .G/lk .G/: (63.33)
2 2 .L0 /3 G 2 ij
E
G
PW;AO AO;AO
Expressions for the Fourier transform of lk .Er / and lk .Er / reduce from
integrals over the whole direct space to integrals over the volume 0 of the unit
cell as shown in (63.34) and (63.35):
Z "
PW;AO E 1 Er
X X
i GE
Qlk .G/ D p d rEe cGl00 cnk0 l 0 m0 ˆn0 l 0 m0 .Er /
0 0 n0 l 0 m0 G 00
#
X X
C cGk 00 cnl0 l 0 m0 ˆn0 l 0 m0 .Er / (63.34)
n0 l 0 m0 G 00
Z X X
AO;AO E E
lk .G/ D d rEe i GEr l
cnlm ˆnlm .Er / cnk0 l 0 m0 ˆn0 l 0 m0 .Er /: (63.35)
0 nlm n0 l 0 m0
Substituting the known expression for exponential in (63.36),
1 M
X X DL
Er
i GE O LM .Or /
e D 4 i L jL .Gr/YLM .G/Y (63.36)
LD0 M DL
into ( 63.34) and ( 63.35) and integrating over the angular variables, one can get
(63.37)–(63.40):
PW;AO E
X Xh i
lk .G/ D .i /l Bnl .G/ c lE0 cnlm
k O C c k cnlm
.1/l Ylm .G/ l
Y l
m O
. G/ ;
G E0 G
nlm GE0
(63.37)
1
X X X
AO;AO E mm0 n0 l 0
O BQ nl .G; L/ LIlmIl 0 m0 ;
lk .G/ D 4 iL l
cnlm cnk0 l 0 m0 YL .G/
LD0 nlm n0 l 0 m0
(63.38)
where
Z
4 ˇ ˇ
Bnl .G/ D p r 2 drRnl .ˇrEˇ/jl .Gr/;
0 0
Z
ˇ ˇ ˇ ˇ
BQ nnll .G; L/ D r 2 drRnl .ˇrEˇ/Rn0 l 0 .ˇrEˇ/jL .Gr/;
0 0
(63.39)
0
Z=2
L;lm;l 0 m0 D sin d‚LImm0 ./‚l 0 m0 ./‚lm ./: (63.40)
=2
Three-dimensional integration over rE in ( 63.34) and ( 63.35) reduces to one-

directional integration for Bnl .G/ and BQ nnll .G; L/ terms presented in (63.39) and
0 0
onefold simple integration over to find coefficients LIl 0 m0 ;lm . After substitution
of (63.37) and (63.38) into (63.31)–(63.33), the 4-, 5- and 6-th terms of the coupling
matrix K from (63.18) take the form
0 .1/ 1 1 X 1 X l Xh j
KQ ij;kl D .i / Bnl .G/ O
c iE0 cnlm .1/l Ylm .G/
2 2 .L0 /3 G2 G
E
G nlm GE0
i X Xh
j
i O l0 0
O 0
Cc E0 cnlm Ylm .G/ .i / Bn0 l 0 .G/ cGl0 00 cnk0 l 0 m0 .1/l Ylm0 .G/
G
n0 l 0 m0 G 0 00
0
i
CcGkN 0 cnl0 l 0 m0 Ylm
0
O ;
.G/ (63.41)
1
(
00 .1/ 2 1 X LX 1 X 00 m0
KQ ij;kl D i .i /l cnl00 l 00 m00 cnk0 l 0 m0 YLm O
.G/
.L0 /3 LD0 G2
E GE0
G; nlmI n0 l 0 m0 I
n00 l 00 m00
0 0
h
j O
BQ nn00ll 00 .G; L/ LIl 00 m00 Il 0 m0 Bnl .G/ c iE0 cnlm .1/l Ylm .G/
G
i 0
j i
C c E0 cnlm O C cnlm
Ylm .G/ i j O BQ nnl0 l 0 .G; L/ LIlmIl 0 m0 .i /l 00
cn0 l 0 m0 YLmm .G/
G
)
h i
l k l 00 m00 O k l m00 O
Bn00 l 00 .G/ c 0 00 c 00 00 00 .1/ Y 00 .G/ C c N 0 c 00 00 00 Y 00 .G/
G n l m l G n l m (63.42)
l
1
000.1/ 8 X 1 X L L0
KQ ij;kl D i i
.L0 /3 G2 0
E
G L;L D0
X j 0 00 m000
i
cnlm O m
cn0 l 0 m0 cnl00 l 00 m00 cnk00 l 00 m00 YLmm .G/Y O
.G/
L0
nlmIn0 l 0 m0
n00 l 00 m00 In000 l 000 m000
0 0 000 000
BQ nnll .G; L/BQ nn00 ll00 .G; L0 / LIlmIl 0 m0 L0 Il 00 m00 Il 000 m000 : (63.43)
In ( 63.41)–( 63.43) sums over the GE - vectors can replace by integrals over qE
3 E
(d qE D .L0 / , G D qE ) and, after integration over the angular variables and
,
one gets (63.44)–(63.50):
0 .1/ 1 X X n0 l X h j
KQ ij;kl D Knl .1/m cGi cnlm cGl0 cnk0 lm
2 2 0 0 nlm n G;G
i
j
i j j
C cG cnlm cGl cnk0 lm C cGi cnlm cGk cnl0 lm C .1/m cG cnlm
i
cGk 0 cnl0 lm (63.44)
00 X X h
.1/ i j
KQ ij;kl D Nnl
00 00 0
n l ;n l 0 .l 00
/ 00 0 0
l k
l Il m Ilm cG cn00 l 00 mm0 cnlm cn0 l 0 m0
nlmIn0 l 0 m0 In00 l 00 G
0 j j
C .1/m m cG cnlm
i l k i l k
0 m cnlm cn0 l 0 m0 C cnlm cn0 l 0 m0 cG cn00 l 00 m0 m
0
i
j
C .1/m m cnlm
i
cn0 l 0 m0 cGk cnl00 l 00 m0 m (63.45)
1
X X
000 .1/ j 00 00 000 l 000
KQ ij;kl D 8 i
cnlm cn0 l 0 m0 cnl00 l 00 m00 cnk00 l 000 mm0 Cm00 …nnl;nl 0 l;n0
LD0 nlmIn0 l 0 m0
n00 l 00 m00 In000 l 000
.L/ LIlmIl 0 m0 LIl 00 m00 Il 000 mm0 Cm00 I ; (63.46)
where
Zr0 Zr0
n0 l .4/2 2
Knl D r dr Rnl .r/ r 02 dr 0 Rn0 l .r 0 /Jl l .r; r 0 /; (63.47)
0
0 0
Z
8 ˇ ˇ
Nnl
00 00
n l ;n l0 0 .l 00
/ D p r 2 drRn00 l 00 .ˇrEˇ/
0 0
Z
ˇ ˇ ˇ ˇ
r 02 dr 0 Rnl .ˇrE0 ˇ/Rn0 l 0 .ˇrE0 ˇ/Jl 0 l 00 .r; r 0 /; (63.48)
0
Zr0j Zr0j
00 00 000 000
…nnl;nl 0 l;n0 l .L/ D r 2 drr 02 dr 0 Rj 0 nl .r/Rj 0 n0 l 0 .r/
0 0
Rj 00 n00 l 00 .r 0 /Rj 00 n000 l 000 .r 0 /JLL .r; r 0 /; (63.49)

Z1
0
Jl l .r; r / D dqjl .qr/jl .qr 0 /; (63.50)
0
l
d sin.x/
jl .x/ D .1/l x l : (63.51)
xdx x
To perform integration over r and r 0 in (63.47)–(63.49), one needs initially to per-
form integration over q in order to find Jl l 0 .r; r 0 / and over in (63.50) and (63.40)
to find LIlm;l 0 m0 . For the choice of s; p; d atomic orbitals (l; l 0 ; l 00 ; l 000 D 0; 1; 2)
as the basis functions for the construction of the Kohn-Sham wave functions,
summation over L in ( 63.46) is restricted to five terms L D 1, 2, 3, 4 because
the Gaunt coefficients Cl 0 m0 ;Lm0 m;lm D 2 LIlm;l 0 m0 are nonzero only under the
following conditions the (63.52):
l0 C L l 0 l0 L C l 0 l 0 C L C l 0: (63.52)
That implies that for the fixed values of l 0 ; l the maximal value of L is equal to
L D l C l 0 . The maximum of these values is reached at l 0 D 2; l D 2 and is
equal to Lmax D 4. For l; l 0 ; D 0, 1, 2 and L D 0, 1, 2, 3, 4, the expressions for
Jl l 0 .r; r 0 / integrated over q in (63.50) and expressions for LIlm;l 0 m0 integrated over
in (63.40) are obtained analytically.
2.3 Oscillator Strengths
In order to find the oscillator strengths fI using (63.7), one needs to calculate the
eigenvectors FI of the Casida equation ( 63.1) and the tensor of dipole moment
.Bˇ /ij . Substituting ( 63.9) into ( 63.8), after some transformations one gets the
following expression (63.53):
2
Z X E G/E
E r X Er
1 j e i.G i j e i GE
.Bˇ /ij D rˇ d rE 4 cGi cG C cnlm cG ˆnlm .Er / p
N 0 0
GIG 0 GInlm
3
X j e Er
i GE X 7
i j
C cGi cnlm ˆnlm .Er / p C cnlm cn0 l 0 m0 ˆnlm .Er /ˆn0 l 0 m0 .Er /5 :
GInlm
0 nlmI
n0 l 0 m0
(63.53)
As the radial part of the AO is nonzero only inside sphere of radius r0 , in the
used approximation Lr00 < 1, it is possible to replace exponentials in ( 63.53) by
units and perform integration over rE. For the choice of s; p; d atomic orbitals
(l D 0, 1, 2) as the basis functions for the construction of the Kohn-Sham wave

functions one can get (63.54)–(63.61):
i
.2/3 i X @cGE j
.Bˇ /ij c C .rˇ00 /ij C .rˇ000 /ij ; (63.54)
@Gˇ G
E
G
r
00 2 X Q h i j j
.x /ij D i Rn1 ‰ .0/cn11 ‰ i .0/cn11 cn11
i
‰ j .0/
3 n
i
i
Ccn11 ‰ j .0/ ; (63.55)
r
00 2 X Q h i j j
i
.y /ij D Rn1 ‰ .0/cn11 C ‰ i .0/cn11 C cn11 i
‰ j .0/ C cn11
i
‰ j .0/ ;
3 n
r (63.56)
X h i
j
.z00 /ij D i RQ n1 ‰ i .0/cn10 cn10
i
‰ j .0/ ; (63.57)
3 n
XX 1 h j j j
.x 000 /ij D i p cni 0 11 cn00 Dn0 1n0 C cni 0 11 cn00 Dn0 1;n0 C cni 0 00 cn11 Dn0 0;n1
n n0
6
i 7 p5 h
i j j j
cn0 00 cn11 Dn0 0;n1 C cni 0 22 cn11 Dn0 2;n1 C cni 0 11 cn22 Dn0 1;n2
4 8
i 1 h i j
j j
C cni 0 22 cn22 Dn0 2;n2 cni 0 2 cn22 Dn0 1;n2 C p cn0 20 cn11 Dn0 2;n1
2 30
io
j j j
cni 0 11 cn20 Dn0 1;n2 cni 0 20 cn11 Dn0 2;n1 C cni 0 11 cn20 Dn0 1;n2 , (63.58)
XX 1 h j j j
000
.y /ij D i p cni 0 11 cn00 Dn0 1n0 C cni 0 11 cn00 Dn0 1;n0 C cni 0 00 cn11 Dn0 0;n1
n n0
6
i 7 p5 h
i j j j
C cn0 00 cn11 Dn0 0;n1 C cni 0 22 cn11 Dn0 2;n1 C cni 0 11 cn22 Dn0 1;n2
4 8
i 1 h i j
j j
C cni 0 22 cn22 Dn0 2;n2 C cni 0 2 cn22 Dn0 1;n2 C p cn0 20 cn11 Dn0 2;n1
2 30
io
j j j
C cni 0 11 cn20 Dn0 1;n2 C cni 0 20 cn11 Dn0 2;n1 C cni 0 11 cn20 Dn0 1;n2 ;
(63.59)
1 X X n i j j
.z000 /ij i p cn0 10 cn00 Dn0 l1;nl0 C cni 0 00 cn10 Dn0 0;n1
2 3 n n0
1 h j
p j
C p cni 0 20 cn10 Dn0 2;n1 C 3cni 0 10 cn20 Dn0 1;n2
5
p io
j j
C cni 0 21 cn11 Dn0 2;n1 3cni 0 11 cn21 Dn0 1;n2 ; (63.60)
where
Z
1 X i
‰ i .0/ D p cG ; RQ nl D r 3 drRnl .r/;
0 G
Z
Dn0 l 0 ;nl D r 3 drRn0 l 0 .r/Rnl .r/: (63.61)
2.4 Dispersion Coefficients
The exact expression (Casimir-Polder integral) for the leading isotropic C6 (A, B)
term describing the vdW interaction between two atoms or molecules A and B
(Casimir and Polder 1948) is expressed as in (63.62):
Z 1
3
C6 .A; B/ D ˛A .i !/˛B .i !/d!; (63.62)
0
where ˛A=B .i !/ are the frequency-dependent polarizabilities of A and B evaluated

at imaginary frequencies. The average dynamic polarizability of atoms or molecule
is expressed as in (63.63):
X
˛.!/ h ˛.!/i D t r.˛ˇ .!//=3 D fI =.2I ! 2 /: (63.63)
I
where I is the true excitation energy and fI is the oscillator strength determined
from the Casida equations (63.1) and (63.7). Substituting (63.63) into (63.62) and
performing integration over !, the coefficient C6 .A; B/ can be obtained in the form
of (63.64):
Z 1
3X X d!
C6 .A; B/ D fIa fIB 2 2 /.2 C ! 2 /
I I 0 . IA C ! IB
A B
3X X 1
D fIa fIB : (63.64)
2 I I
IA IB .IA C IB /
A B
As it can be seen, the main contribution to sums over IA and IB give excitations
with low energies I and large oscillator strengths fI .
2.5 Results
The method described above was applied for determining the dispersion coefficients
C6 for oxygen and hydrogen atoms. First, the Kohn-Sham energy levels were
obtained using the TOMBO program, and the values of the first ten levels for both
oxygen and hydrogen atoms were presented in Table 63.1. It shows that the TOMBO
program accurately estimates the occupied energy levels and underestimates the
unoccupied ones that is a well-known shortcoming of the density-functional theory.
The obtained energy levels and the Kohn-Sham wave functions were used to
construct the coupling matrix within the Casida approximation. The part of the
coupling matrix corresponding to the transition between the atomic energy levels
was calculated by providing the real space integration over the radial part of the
wave function. For this purpose, the analytically received Gaunt coefficients were
used. After obtaining elements of the coupling matrix, calculation of the excitation
energies was performed and the excitation energies with nonzero oscillator strengths
for the hydrogen and oxygen atoms in comparison with the experimental data
(Moore 1993) are summarized in Table 63.2. Oscillator strengths obtained by
using real space representation of the TOMBO wave functions ‰i .Er / were also
presented in Table 63.2. It can be seen that the difference between the calculated
and experimental data are small and insignificantly increases for higher levels.
Using the obtained oscillator strengths and excitation energies, calculation of
the C6 dispersion coefficients were performed using (63.64). The coefficients, C6 ,
for hydrogen atoms, H–H, hydrogen H2 –H2 , oxygen O2 –O2 , and water H2 O–
H2 O molecules dimmers are listed in Table 63.3. The presented C6 dispersion
coefficients are in the Rydberg atomic units (au). For hydrogen molecules, three
types of the molecule orientations were considered: collinear, complanar-cross, and
perpendicular. (jj, j n, j —). For all three cases, the C6 coefficients were considered
Table 63.1 The Kohn- No of level Energy (eV) (oxygen) Energy (eV) (hydrogen)
Sham energy levels
1 581.39309 13.32031
2 24.30421 7.99471
3 24.30391 7.93797
4 24.30242 7.93318
5 20.04238 5.11129
6 14.27128 5.08495
7 3.90444 5.07699
8 3.5812 2.99982
9 2.73858 2.99568
10 1.3097 2.95741
Table 63.2 The excitation energies and related oscillator strengths for hydrogen and oxygen
atoms (Experimental data was taken from Moore (1993))
Excitation energy Oscillator Excitation energy Oscillator
(cm1 ) strength, f (cm1 ) strength, f
Experiment Calculated Calculated Experiment Calculated Calculated
Hydrogen atom Oxygen atom
82,259 83,242 0.4626 76,795 78,946 0.1355
97,492 96,307 0.4626 86,625 83,621 0.1329
102,824 109,541 0.4626 88,631 87,385 0.1396
105,292 109,725 0.1088 95,476 94,998 0.1317
109,678 109,893 0.1088 96,225 96,301 0.0024
– – 97,420 102,754 0.0029
– – 97,488 106,071 0.0029
Table 63.3 Dispersion coefficient C6 (A-B). The SPCE, TIP4P, ST2 and BNP are semi-empirical
potentials commonly used for describing water-water interaction
C6 (H–H) (au) C6 (H2 –H2 ) (au) C6 (O2 –O2 ) (au) C6 (H2 O–H2 O) (au)
14.6 (Present work) 29.25 (Present work) 94.7 (Present work) 83.25 (Present work)
12.0 (Andersson 29.0 (Andersson 71.6 (Platteeuw and 89.8 (SPCE)
et al. 1996) et al. 1996) van der Waals 1958)
13.0 (Bishop and 34.3 (Murata et al. 97.48 (Hohm 1994) 88.5 (TIP4P)
Pipin 1993) 2002)
23.0 (Hohm 1994) 80.5 (Bussery and 38.96 (ST2)
Wormer 1993)
22.28 (BNS)
at near equilibrium in the gas hydrates position 3 Å. The C6 coefficient was
evaluated as the average value and was found to be 30.33 au.
For a distance when the molecules orientation can be neglected the C6 coefficient
found to be C6 D 29:25 au. This value is in good comparison with the previous
calculation data obtained within the framework of long-range density-functional
theory (Andersson et al. 1996). For oxygen molecules the C6 interaction coefficient
was found to be 94.7 au at long distance. This value overestimates the semi-
empirical C6 parameter of Lennard–Jones potential (71.6 au) usually used for
the O2 –O2 interaction (Platteeuw and van der Waals 1958). The value obtained
within the present approach was also higher than that the value received using the
Hartree-Fock molecular orbital calculations (Bussery and Wormer 1993) (80.5 au)
but close to the value obtained using the quantum mechanical simulation (Hohm
1994) (97.48 au). Also were directly calculated the C6 coefficients for O–O and
H–O dimers that were found to be equal 47.3 and 30.4 au respectively. Based
on the calculated O–H and H–H dispersion coefficients, the H2 O–H2 O dispersion
coefficient of the van der Waals interaction at the large distances can be found
using the standard summation rule. The C6 dispersion coefficient for water dimer in
comparison with different atom-atomic interaction potentials were also summarized
in Table 63.3. The results are in good agreement with the dispersion coefficient of
the van der Waals interaction within the SPCE and TIP4P potentials that verified
the validity of the proposed formalism for realization of the Casida approach within
TOMBO program.
In conclusion, the Casimir-Polder integral has been employed to obtain the van
der Waals dispersion coefficients of atoms C6 . The TDLDA technique (Casida
formalism) has implemented entirely in real space within the all-electron mixed-
basis approach. This scheme can be used to improve the description of the oscillator
strengths and true excited states. The true excitation energies of many-electron sys-
tems are computed from the conventional, time-independent Kohn-Sham transition
energies and wave functions. Electronic wave functions are expressed directly in
real space on a regular, cubic grid. The Casida formalism is easier to implement
on parallel computer platforms and, compared to other theoretical methods for
the excited states, the TDLDA technique requires considerably less computational
effort and can be applied for accurate calculation of the oscillator strengths and true
excited states.
3 Phase Diagrams of Mixed Clathrate Hydrates for the

Hydrogen Storage Applications
The clathrate hydrates of natural gases are receiving special attention aiming at
solving environmental and energy resource-related problems. For example, natural
gas hydrates (GHs) are a potential source of energy based on the experts estimates
where the reserves of GHs in the interior of the Earth and on the floor of the
World Ocean contain the equivalent of 2 1016 m3 . This indicates one of the
largest sources of “clean” hydrocarbons on Earth. The stability of gas hydrate is
sensitive to the thermodynamic conditions as well as guest compositions and even
small changes in temperature or pressure may cause them to decompose. Many
gases, such as hydrogen, formed hydrate at high pressure and low temperature,
and as noted above a high-pressure experimental study of the phase diagram of
the multicomponent clathrate hydrates in detail is still a challenging task due to
their complexity (Struzhkin et al. 2007). Thus, it is clearly important to study
theoretically the P T phase diagram of clathrate hydrates.
Currently, theoretical models used for the description of the phase diagrams of
gas hydrates are based on the statistical model of the ideal solid clathrate solutions of
the van der Waals – Platteeuw (vdWP) (Van der Waals and Platteeuw 1959). In this
approach, agreement with the experimental data for concrete systems is achieved
using the phenomenological parameters specified for each system. This theory
and all of its subsequent derivatives embody four main assumptions: (a) the cages
contain at most one guest, (b) the guest molecules do not interact with each other,
(c) the host lattice is unaffected by the nature as well as by the number of encaged
guest molecules, and (d) classical statistics is valid. To date it has been shown
by many researches that the first three assumptions are violated for gas hydrates,
especially in the cases of multiple cage occupancy by guest molecules. Several
studies were performed to generalize the original vdWP in order to overcome these
limitations. Thus, the influence of the guest molecules on the host lattice in the
description of the thermodynamics properties of gas hydrates was taken into account
(Zele et al. 1999). Later, this approach was extended to several multicomponent gas
hydrates (Lee et al. 2006).
Recently, the phase behavior of various binary hydrates was reproduced using
the thermodynamic model based on the nonideal hydrate solid solution model
for the multiphase equilibrium (Strobel et al. 2009). In that work, instead of
the variation of parameters used in different models, a single set of consistent
parameters within the framework of a single model was proposed. The extension
of the vdWP statistical thermodynamical model without specific phenomenological
parameters was formulated (Tanaka and Kiyohara 1993a, b). Within the harmonic
approximation, the vibrations of the guest molecules in cavities and the effect of
the guest-host interactions on changes in the host framework vibrations were taken
into account. However, calculation of Langmuir constants is relatively easy only
in the case of single occupancy. Further extension to multiple guest occupancy of
a single cavity makes the integration difficult to perform. Another approach that
allows the accurate estimation of the thermodynamic properties of clathrate hydrates
with multiple filling within the cages has been proposed recently (Belosludov et al.
2007). This method is also based on the vdWP theory with some modifications that
account for the multiple cage occupancy, host lattice relaxation, and the description
of the quantum nature of guest behavior in the cavities. The validity of the proposed
approach was confirmed for methane and xenon hydrates with single occupancy
(Belosludov et al. 2007), for argon and krypton with both single and double
occupancy (Subbotin et al. 2009). The obtained results were in agreement with the
known experimental data.
3.1 Thermodynamics Model of Clathrate Structures with

Complex Guest Composition Within the Lattice Dynamics
Method
In this model only one of the assumptions of the vdWP theory is used that the
contribution of guest molecules to the free energy is independent of the mode of
occupation of the cavities at a designated number of guest molecules (Van der Waals
and Platteeuw 1959). This assumption allows one to separate the entropy part of the
free energy (63.65):
m
" n X
k
! n X
k
!
X X X
1 k
F D F1 V; T; y11 ; : : : ; ynm C kT Nt 1 ylti ln 1 ylti
t D1 lD1 i D1 lD1 i D1
n X
k
#
X ylti
C ylti ln ; (63.65)
iŠ
lD1 i D1
where F1 is the part of the free energy of clathrate hydrate for the cases where
several types of cavities and guest molecules exist, and a cavity can hold more
than one guest molecule. The second termıis the entropic part of the free energy
arising from the guest subsystem. ylti D Nlti Nt is the degree of filling of the t-type
cavities by the i cluster of the l-type guest molecules; Nt is the number of the t-type
cavities; and Nlti is the number of the l-type guest molecules which are located in the
1 k
t-type cavities (Belosludov et al. 2007). The free energy F1 .V; T; y11 ; : : : ; ynm / of
the crystal can be calculated within the framework of the lattice dynamics approach
in the quasiharmonic approximation (Leifried and Ludwig 1961; Belosludov et al.
1994) as shown in (63.66),
1 k

F1 V; T; y11 ; : : : ; ynm D U C Fvib (63.66)
where U is the potential energy, Fvib is the vibrational contribution (63.67):
1X X
Fvib D „!j .E
q / C kB T ln 1 exp.„!j .E
q /kB T/ (63.67)
2
j qE j qE
where !j .Eq / is the j -th frequency of crystal vibration and qE is the wave vector.
In the quasiharmonic approximation, the free energy of crystal has the same
form as in the harmonic approximation, but the structural parameters at fixed
volume depend on the temperature. Equation of state can be found by numerical
differentiation of free energy (63.68):
1 k
!
@F V; T; y11 ; : : : ; ynm
P.V; T/ D : (63.68)
@V
0
The subscript “0” implies constancy of all thermodynamic parameters except those
relative to which differentiation is performed. After obtaining the free energy values
one can calculate ilt – the chemical potentials of the i -cluster of the l-type guest
molecules which are located on the t-type cavities (63.69) and (63.70),
1 k
!
@F V .P/; T; y11 ; : : : ; ynm
ilt 1
P; T; y11 k
; : : : ; ynm D
@Nlti
0
ylti
D Q ilt C kT ln ; (63.69)
P
n;k
0
i Š.1 yli0 t /
l0i 0
1 k
!
@F1 V .P/; T; y11 ; : : : ; ynm
Q ilt D : (63.70)
@Nlti
0
Knowing the Helmholtz free energy F and equation of the state of the system,
1 k
the relation between Gibbs free energy ˆ P; T; y11 ; : : : ; ynm and the chemical
potentials of the host and guest molecules is expressed by (63.71):
m
X n X
X k
1 k

ˆ P; T; y11 ; : : : ; ynm D NQ Q C Nt ylti ilt
t D1 lD1 i 1
1 k

DF V .P/; T; y11 ; : : : ; ynm C PV .P/ : (63.71)
Substituting (63.65) for free energy into (63.71), allows one to obtain the chemical
potential of the host molecules Q (63.72) and (63.73):
m
" n X
k
!#
X X
1 k
Q P; T; y11 ; : : : ; ynm D Q Q C kT t ln 1 ylti ; (63.72)
t D1 lD1 i D1
m n X k
PV .P/ 1 1 k
X X
Q Q C F1 V .P/; T; y11 ; : : : ; ynm t ylti Q ilt ; (63.73)
NQ NQ t D1 i 1 lD1
ı
t D Nt NQ is the ratio between number of cavities of type t, Nt and number of
water molecules in the original hydrate, NQ .
Based on this formalism, the different phase equilibria of hydrates can be
obtained. The curve P(T) of monovariant equilibrium can be found from the equality
of the chemical potentials. In the case of gas hydrates, it can be written as (63.74)
and (63.75),

ilt P; T; y11
1 k gas
; : : : ; ynm D il .P; T/ Ult ; (63.74)
1 k

Q P; T; y11 ; : : : ; ynm D ice
Q .P; T/; (63.75)
gas
where l is the chemical potential of guest molecules in the gas phase, and
ice
Q .P; T/ is the chemical potentials of water molecules in ice. For the case of
multiple filling of cages, it is important to account for the interaction between guest
molecules into the cavity. As first approximation, the chemical potential of a cluster
is equal to ilt Š ilt Ult (Ult is the interaction of guest molecules inside cluster in
cavities). The guest gas phase has been considered as a nonideal gas for calculation
of the chemical potential (Prigogine and Defay 1954) (63.76):
" 3=2 # 2
gas P 2„2 2kT X
l .P; T/ D kT ln xl C Blk xk (63.76)
kT ml kT V
kD1
where xl – concentration of the l-type guest in the gas phase, and Blk are the second
virtual coefficients (63.77),
Fig. 63.2 The H2 –H2 interaction potential with the short-range repulsion taken from (Murata et al.
2002) (solid line) and estimated within TOMBO method (dashed line)
Z 0
Wlk .r/
Blk D 2 1 exp r 2 dr; (63.77)
1 kT
and Wlk (r) is the guest-guest interaction in the gas phase.

The H2 O–H2 O interaction was described by the modified simple point charge
extended (SPCE) potential with parameters presented in recent study (Subbotin et al.
2009). The interaction between H2 molecules was constructed from a combination
of the long-range dispersion taken from Murata et al. (2002) and the short-range
repulsion estimated using the TOMBO method. As shown in Fig. 63.2, this potential
better describes the interaction between hydrogen molecules in water cavities,
because the experimentally determined distance between the D2 molecules in the
large cage of the CS-II clathrate hydrate is found to be 2.93 Å (Lokshin et al. 2004).
The calculated curve of the phase transformation between hexagonal ice and
hydrogen hydrate is displayed in Fig. 63.3 and agrees well with the available
experiments (Lokshin and Zhao 2006; Barkalov et al. 2005). Reasonable corre-
lation has been achieved with the results obtained from the D2 –D2 O system by
the high-pressure neutron diffraction (Lokshin and Zhao 2006). Moreover, in the
pressure region between 60 and 110 MPa, the calculated results lie between the
points of decomposition (white circles) and formation (filled circles) for hydrogen
hydrates obtained recently from the H2 –H2 O system by another experimental group
(Barkalov et al. 2005). The diversity of the experimental and calculated results
can be connected to the low concentration of hydrogen (1.2 wt%) in the CS-II
phase achieved by Barkalov et al. which is more than three times lower than those
estimated in the present study as well as that proposed by Lokshin and Zhao.
The experimentally observed pressure hysteresis in the ice – hydrate transformation
Fig. 63.3 The p T phase diagram of H2 O–H2 system related to Ih –CS-II transition.
Experimental data was taken from Lokshin and Zhao (2006) (crosses) and Barkalov et al. (2005)
(open and filled circles). The dotted line presents ice Ih – liquid water equilibrium phase transition
(Reprinted with permission from J. Chem. Phys. 132, 244510 (2009). Copyright 2009 American
Institute of Physics)
may be related to the kinetic difference between the formation and decomposition
of hydrate (Belosludov et al. 2009).
3.2 Mixed Propane–Hydrogen Clathrate Hydrate with Multiple

Degree of Occupation
As mentioned before, a low-pressure formation of hydrogen hydrate can be achieved

in binary hydrates by stabilizing the large cages of the water host framework
with a second guest component, such as tetrahydrofuran (THF). Binary hydrogen
hydrates are formed for a mixture of guests with water (ice Ih ) at definite conditions,
and the increasing the hydrogen content may become possible by means of the
component ratio variation in the gas phase. Therefore, it is important to determine
the optimal balance between storage capacity and formation conditions for the
practical feasibility of the binary hydrate as a hydrogen storage candidate. The
THF is already classified as an “irritant” compound with low toxicity category
and thus can be used only in modest amounts. Propane can be selected as a
second guest component because of the binary CS-II propane + hydrogen hydrate
has already been synthesized (Park and Lee 2007; Skiba et al. 2009) propane as
THF occupies only the large cavities of the CS-II hydrate, and the formation of
this hydrate is very similar to the situation observed in the THF–hydrogen–water
system. Moreover, along with hydrogen, propane can be considered as an additional
energy resource.
The gas hydrate with cubic structure II (CS-II) have two types of cavities,
the pentagonal dodecahedron (512 ) and hexakaidecahedron (512 64 ), commonly
classified as small and large cages, respectively. Calculations of the thermodynamic
properties of the CS-II propane + hydrogen hydrates with a single propane and dif-
ferent hydrogen occupations have been performed after full structure optimization
of both the host framework and the positions of the guest molecules inside the
cavities (Belosludov et al. 2007). Only a very small concentration of propane in
the gas phase and the high-temperature region have been considered, which seems
to be most attractive from the viewpoint of hydrogen storage. At a low propane
concentration in the gas phase, it has been found that in the low-pressure region,
the large cavities are mainly filled by propane molecules and hydrogen occupies
only the small ones. The filling of the large cages by hydrogen molecules increases
consecutively from one to four hydrogen molecules with increasing pressure. In
contrast to hydrogen, the propane filling decreases with increasing pressure, and in
the high-pressure region, the propane molecules are gradually expelled by hydrogen
molecules. The tuning of large cage occupancy can be attributed to the “composition
tuning mechanism” (Lee et al. 2005). Figure 63.4 shows that the pressure value, at
which the tuning can be observed, depends on the propane concentration in the gas
phase. Decreasing propane concentration from 2% allows one to reduce the com-
position tuning pressure. Based on these results, it can be proposed that the tuning
pressure will rapidly increase with the increase of propane concentration, and hence
the tuning effect will occur at higher pressure. Since the thermodynamic behavior
of the propane-hydrogen-water system is similar to that of the THF-hydrogen-water
system, the present results can explain discrepancy in the experimental data related
to the hydrogen composition in binary THF + hydrogen hydrate.
The chemical potential curves of the water molecules in ice Ih and in the mixed
propane + hydrogen CS-II hydrate as a function of pressure at T = 260 K are shown
in Fig. 63.5. The occupation of large cavities by propane drastically affects the
stabilization of the hydrate structure, resulting in a substantially decreased formation
pressure. At a low propane concentration of 0.1% in the gas phase, the binary
hydrate becomes stable at a pressure about four times lower than that needed to
form the pure hydrogen clathrate with the CS-II structure at the same temperature.
By analogy with THF, propane brings the hydrate formation conditions closer to
the ambient conditions, and it is undoubtedly favorable for the hydrogen storage
material.
Figure 63.6 shows the hydrogen storage capacity of the mixed propane +
hydrogen CS-II hydrate at various propane concentrations. The hydrogen content
continues to increase due to hydrogen filling of the large cages. The mass percentage
of hydrogen in the mixed CS-II propane + hydrogen hydrate can amount up to
3.5 wt% at T = 260 K and lower concentrations of propane in the gas phase and a
pressure of 100 MPa. This value is comparable with the hydrogen content (3.5 wt%)
estimated for pure hydrogen hydrate at the same temperature. Therefore, the
introduction of propane as a second guest component in the binary hydrogen hydrate
does not only reduce the formation pressure but also reproduces the hydrogen
storage ability of the pure clathrate hydrate (Belosludov et al. 2009).
Fig. 63.4 Degree of filling of the small and large cavities of the propane + hydrogen CS-II hydrate
at a propane concentrations of 0.1% (a) and 2% (b) in the gas phase at T = 200 K (Reprinted
with permission from J. Chem. Phys. 132, 244510 (2009). Copyright 2009 American Institute of
Physics)
3.3 Mixed Ethane-Hydrogen Clathrate Hydrate
There are several types of the gas hydrate structures with different cage shapes,
and some of these hydrate structures can hypothetically store more hydrogen than
the hydrate of structure CS-II. Most of the gas hydrates have two structures: the
cubic I (CS-I) and cubic II (CS-II) structures (Sloan and Koh 2008). There is a
pentagonal dodecahedron (a polyhedron with 12 pentagonal faces 512 ) in these
hydrate structures as the basic small cavity. The basic 512 cavities combine with
512 62 cavities to form the CS-I structure and with 512 64 cavities form the CS-II
one. Assuming that the 512 62 and 512 64 cages can accumulate a maximum of four
Fig. 63.5 Pressure dependence of the chemical potentials of water molecules at T = 260 K for Ih ,
CS-II propane + H2 hydrates including the entropy terms at various propane concentrations in the
gas phase (Reprinted with permission from J. Chem. Phys. 132, 244510 (2009). Copyright 2009
American Institute of Physics)
Fig. 63.6 Hydrogen storage capacity of the CS-II propane + hydrogen hydrate as a function of
pressure for various propane concentrations at T = 260 K (Reprinted with permission from J. Chem.
Phys. 132, 244510 (2009). Copyright 2009 American Institute of Physics)
hydrogen molecules, the 512 cavities up to two hydrogen molecules as proposed by

Mao’s group (Mao et al. 2002), a theoretical limit of the hydrogen storage mass can
be estimated. The largest values of the hydrogen storage mass (6.33 wt%) can be
achieved for the CS-I structure as compared with the hydrogen storage mass for the
CS-II (4.96 wt%) one.
The chemical potential curves of the water molecules in ice Ih and in the pure
hydrogen hydrate with the CS-I and CS-II structures as a function of pressure at
Fig. 63.7 Pressure dependence of the chemical potentials of water molecules at T = 250 K for Ih
(solid line) and the hydrogen CS-I (dashed line) and CS-II (dotted line) hydrates (Reproduced from
Belosludov et al. (2012). With permission from Taylor & Francis)
T = 250 K are shown in Fig. 63.7. The intersection of the chemical potential curves
of ice Ih and the CS-I hydrate has been found at pressure 98.4 MPa which defines
the formation pressure of the hydrogen hydrate at a given temperature. The CS-I
structure is thermodynamically unstable as compared with the CS-II one. At a
temperature of 250 K, the hydrogen CS-II hydrate stabilizes at pressure of 84.1 MPa.
Moreover, the hydrogen CS-II hydrate is also more stable than that of the CS-I one
in the lower temperature region. This result can explain the experimental realization
of the hydrogen CS-II hydrate only.
In order to reduce the hydrate formation and stabilize the CS-I structure, a second
guest component should be selected according to the following conditions. In pure
form, this guest is able to form both the CS-I and CS-II hydrates, and the CS-I
hydrate with this guest being more stable than that of the CS-II structure. Based on
these assumptions, the mixed ethane + hydrogen hydrates with the CS-I and CS-II
structures have been investigated with different ethane and H2 concentrations. From
the viewpoint of hydrogen storage, only a small concentration (up to 5%) of ethane
in the gas phase has been considered (Belosludov et al. 2012).
It has been found that the formation pressures of the binary ethane + hydrogen
CS-I and CS-II hydrates depend on ethane concentration in the gas phase and
with increasing ethane concentration in the gas phase were found to be lower in
comparison with the pressure of pure hydrogen hydrate formation. Higher stability
has been observed for the mixed ethane + hydrogen the CS-I hydrate. Due to the
fact that the size of ethane molecule is well fitted with large cavity (512 62 ) of
CS-I structure, the occupation of these cavities by ethane drastically affects the
stabilization of the hydrate structure, resulting in a substantially decreased formation
pressure. At an ethane concentration of 1% in the gas phase, binary hydrate becomes
stable at a pressure around 32.9 MPa and a temperature T = 250 K. This pressure is
Fig. 63.8 Pressure dependence of the chemical potentials of water molecules at T = 250 K: (a)
for Ih (solid line) and the CS-I C2 H6 + H2 hydrate; (b) for Ih (solid line) and the CS-II C2 H6 + H2
hydrate at various ethane concentrations in the gas phase (Reproduced from Belosludov et al.
(2012). With permission from Taylor & Francis)
three times lower than that needed to form pure hydrogen clathrate with the CS-I
structure (p D 98:4 MPa) in the same temperature region (see Fig. 63.8a).
In the case of the CS-II structure, stabilization of the binary ethane + hydrogen
hydrate occurs at a pressure about two times lower than the formation pressure of
the pure hydrogen hydrate at an ethane concentration of 2% in the gas phase as
shown in Fig. 63.8b. At low ethane concentrations, the mixed ethane + hydrogen
CS-I hydrate is more thermodynamically stable than the CS-II hydrate with the
same composition of guest molecules and hence the presence of ethane in the gas
mixture leads to a structural phase transition between the CS-II and CS-I structures
in the C2 H6 H2 H2 O system. At an ethane concentration of 5% in the gas phase,
the formation pressure of 5.9 MPa for the binary ethane + hydrogen hydrate can
Fig. 63.9 Hydrogen storage capacity of the C2 H6 + H2 hydrate with (a) CS-I and (b) CS-II
structures as a function of pressure for various ethane concentrations (Reproduced from Belosludov
et al. (2012). With permission from Taylor & Francis)
be achieved. At the same ethane concentration, the pressure of 26.7 MPa needs to
stabilize the same binary hydrate with the CS-II structure (see Fig. 63.8b). These
values are in good agreement with the experimentally reported formation conditions
(10 MPa bar at 278 K) for the binary ethane + hydrogen hydrate with 10% of
ethane (Skiba et al. 2010).
Figure 63.9 shows the hydrogen storage capacity of the mixed ethane + hydrogen
CS-I and CS-II hydrates at various ethane concentrations at 250 K. Hydrogen
content continues to increase due to hydrogen filling of the large cages for both
cases. The mass percentage of hydrogen in the mixed ethane + hydrogen CS-I
hydrate can amount to 2.5 wt% at T = 250 K and ethane concentrations of 1% in
the gas phase and a pressure of 300 MPa. The hydrogen content of 0.17 wt% for the
CS-I ethane-hydrogen hydrate was estimated from the experimental measurements
at 12 MPa and 270 K (Park and Lee 2007). This is in agreement with the calculations
for the CS-I structure at the same pressure-temperature conditions as shown in
Fig. 63.9a. The stored hydrogen amount depends on the ethane concentration in
the gas phase as well as the thermodynamic conditions of the hydrate formation. At
concentrations of less than 1% stabilization of the CS-II structure can be realized
and hence the mass percentage of hydrogen in the C2 H6 H2 H2 O system can
amount up to 3.5 wt% at T = 250 K (Belosludov et al. 2012).
3.4 Conclusions
The formalism for calculating the thermodynamic properties of binary clathrate

hydrates with weak guest-host interactions has been presented In distinction from
the well-known theory of van der Waals and Platteeuw the present model took
into account the influence of guest molecules on the host lattice and guest-guest
interaction. The validity of the proposed approach was checked for pure hydrogen
and binary hydrogen + propane and hydrogen + ethane hydrates and the results were
in agreement with the known experimental data. High-pressure conditions are
necessary for the hydrogen hydrates formation, and the formation pressure can be
significantly reduced in the presence of propane or ethane as a second guest in the
binary hydrogen hydrate. The stabilization of the CS-I hydrate can be realized for
the H2 –C2 H6 –H2 O system with a small concentration of ethane.
4 Summary
Nowadays, computer simulation is an important tool for materials science and

engineering since the experimental measurements are indirect and often require
detailed theoretical analysis and interpretation. Moreover, due to the technological
limitations, the ideal experiment is difficult to perform. Therefore, the methods
used parameters directly evaluated from first-principles calculations can be applied
to design and experimental realization of materials for a sustainable future. Thus,
the proposed approaches allow one to calculate the thermodynamic properties of
clathrate hydrates without resorting to any empirical parameter fittings and hence
to predict accurately the hydrogen storage ability of specific inclusion compounds
that have not yet been studied by experiment. The proposed approaches can be also
applied to design materials that target molecule other than hydrogen.
Because of the concerns over the continual increase of global warming, capture
of carbon dioxide from the industrial flue gas and long-term storage of CO2 are
among the most important challenges to the world scientific community today.
Various strategies to sequester CO2 have been proposed but the technology to safely
store CO2 in massive quantity has not been fully developed. Currently, the leading
approach involves injecting CO2 into the spent natural gas reservoirs in the deep
underground. Using methane extracted from hydrates, instead of presently widely
used fossil fuels including lignite, hard coal, heavy fuel, and gas oils will reduce
CO2 formation by the combustion of the fossil fuels. Thus, replacement of CH4
with CO2 in the hydrate framework derives double the benefit. Such deposition of
CO2 can prevent the transport of CO2 from returning back to the surface due to the
formation of CO2 clathrate hydrate capping layer that reduces migration. Using the
methodologies presented in this chapter, it is possible not only confirm the existing
experimental data but also predict the unknown region of the thermodynamic
stability of pure and binary CO2 hydrates, and further, an ideal gas composition
can be proposed at which a high-stability region may be achieved. From this point
of view, these techniques are useful for understanding the physical and chemical
properties of the binary hydrate, and it can support the realization of the efficient
CO2 storage materials based on the clathrate hydrates.
Acknowledgments
The authors would like to express their sincere thanks to the staff of the Center
for Computational Materials Science of the Institute for Materials Research,
Tohoku University for their continuous support of the SR16000-M1 supercomputing
facilities. This work has been supported by the New Energy and Industrial Technol-
ogy Development Organization (NEDO) under “Advanced Fundamental Research
Project on Hydrogen Storage Materials”.
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Mechanisms of Organisms as
Environment-Friendly Materials 64
Design Tools
Naoe Hosoda
Abstract
Organisms are attractive models for the development of advanced materials
because they have high-efficiency, high-performance, and low-energy func-
tions. The expression of these functions produces characteristics many times
those of the original material through a characteristic microstructure, self-
repair/self-destructive functions (fail-safe functions), self-cleaning functions
(efficient retention of functionality), mechanisms that produce form with a
low environmental burden (substance creation at ordinary temperatures and
pressures, self-organization), and reversible adhesion. The understanding of bio-
logical manufacturing is now at a stage where it is expected to start substantially
influencing the development of technologies that exert a low environmental load.
In this chapter, the materials research and technological developments regarding
attachment/detachment learned from organisms are introduced.
1 Introduction
Organisms are being used as models to advance research in a diverse range of fields.
The following are some examples of biomimetics research that is being undertaken
on material systems: mimicking organisms’ formation of inorganic compounds such
as diatoms (Sumper and Brunner 2006; Gower 2008) and bones for application to
ceramics synthesis at low temperature by aqueous processing (biominerals), bone
repair (Kikuchi et al. 2001), and artificial photosynthesis (Gust et al. 2001); new
coloring methods (structural color) using the body colors of fish (Fudouzi 2011) and
insects (Saito 2011) and the development of sensors applying these methods; the
N. Hosoda
Hybrid Materials Center, National Institute for Materials Science (NIMS), Tsukuba-shi, Ibaraki,
Japan
e-mail: Hosoda.Naoe@nims.go.jp

DOI 10.1007/978-1-4020-8939-8 107,
1250 N. Hosoda
development of new lightweight (Markus et al. 2006), high-reliability materials

modeled on the toughening mechanisms of mother-of-pearl in abalone (Kakisawa
and Sumitomo 2011); the development of polymers that self-repair cracks modeled
on the self-repairing mechanism of plants (Rampf et al. 2011); the development of
strong fibers modeled on spider thread (Hardy et al. 2008), which is 27 times tougher
than ultra-high-strength steel; the development of self-cleaning functions modeled
on the surfaces of lotus leaves (Neinhuis and Barthlott 1997; Feng et al. 2002); and
the development of structural bonding modeled on the adhesive ability of geckos
(Autumn et al. 2000; Geim et al. 2003).
Figure 64.1 shows the changes in the number of articles published over the
past 20 years on the key terms of (a) gecko adhesion, (b) lotus hydrophobic, and
(c) butterfly structural color. It can be seen that the numbers of publications for
each have rapidly increased and almost simultaneously, despite the three topics
being very different. Arrows in the figure indicate the years in which key research
papers were published. In each case, the number of papers suddenly increased
approximately 5–6 years after a function of an organism was discovered. When
separated into subject fields (Fig. 64.2), it can be seen that papers in the field of
materials science account for a large proportion, and this field has a significant ripple
effect.
An example where modeling an organism’s functionality has progressed to
industrialization is the achievement of self-cleaning functionality by making the
surface highly hydrophobic/hydrophilic, which used the surface of lotus leaves and
snails as a model. The development of a gecko-type adhesive structure is currently
at the research and development stage and is an incredibly hot topic. The primary
factor for the progress seen in this area is the successful combining of the biological
aspects of the gecko itself, the physics that explains the principles behind its
adhesive capabilities, and the development of an engineering process (i.e., precision
machining technology) to manufacture the surface structure.
In this chapter, technological developments focusing on the superior adhe-
sion/detachment of organisms are introduced.
2 Adhesion/Detachment Learned from Small Animals
2.1 Comparison of the Adhesion Mechanism of the Feet of Small

Animals and Artificial Bonding Technologies
The excellent adhesion/detachment qualities of the gecko foot have attracted

particular attention recently. It is possible for the gecko to stick perfectly to a
surface without the need for a secretory substance corresponding to an adhesive and
to move in three dimensions, even on flat surfaces such as window glass where
nails are ineffective. Put another way, it can be said that the sole of the gecko
foot can rapidly and repeatedly adhere to and detach from a surface. The adhesion
force is thought to be controlled by an intermolecular force (Van der Waals force)
that occurs between the gecko foot and the target surface (Autumn et al. 2002).
64 Mechanisms of Organisms as Environment-Friendly Materials Design Tools 1251
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Fig. 64.1 The number of papers related to (a) gecko and adhesion, (b) lotus and hydrophobic,
(c) butterfly and structural color, included to the Web of Science database over the past 20 years
1252 N. Hosoda
a
ROBOTICS
POLYMER SCIENCE
ZOOLOGY
LIFE SCIENCES BIOMEDICINE OTHER TOPICS
MECHANICS
ENGINEERING
PHYSICS
CHEMISTRY
SCIENCE TECHNOLOGY OTHER TOPICS
MATERIALS SCIENCE
0 50 100 150 200
Number
Published items in each research areas
(key words:Gecko, adhesion)
b
BIOCHEMISTRY MOLECULAR BIOLOGY
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INSTRUMENTS INSTRUMENTATION
MECHANICS
ENGINEERING
POLYMER SCIENCE
PHYSICS
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MATERIALS SCIENCE
0 50 100 150 200 250
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(key words:Lotus, hydrophobic)
c
ENGINEERING
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LIFE SCIENCES BIOMEDICINE OTHER TOPICS
EVOLUTIONARY BIOLOGY
ENVIRONMENTAL SCIENCES ECOLOGY
MATERIALS SCIENCE
OPTICS
PHYSICS
0 10 20 30 40 50
Number
(key words:Butterfly, structural color)
Fig. 64.2 The number of papers per subject fields related to (a) gecko and adhesion, (b) lotus and
hydrophobic, (c) butterfly and structural color, included to the Web of Science database over the
past 20 years
Since the adhesion energy when the Van der Waals force works between two
flat surfaces in contact is inversely proportional to the square of the separation
(Israelachvili 1992), the way in which the surfaces are made to approach each other
is important to consider.
Incidentally, in order to raise the strength of adhesion/bonding (peel strength)
of an artificial bonding technology, it is generally necessary to (1) increase the
adhesion of the parts that make contact, (2) raise the binding force between the two
solids, and (3) ensure the stress that occurs in the vicinity of the interface is small.
In normal-temperature direct bonding in mechanical engineering, it is necessary to
make both surfaces strictly flat prior to contact in order to increase the adhesion.
In general, electropolishing or chemical polishing is performed after mechanical
polishing of the surface to remove scratches, and precise polishing conditions must
be established as the chemical and polishing conditions vary depending on the
materials to be joined. As a surface roughness of more than a few nanometers or
residual polishing scratches influence the result of bonding, this surface polishing
can be said to be the key technology for normal-temperature direct bonding. In the
case of materials with uneven surfaces, the bonding that occurs at the interface,
which is an important factor in adhesion force (peel strength), develops according
to the deformations in the contact part. Thus, adhesion develops more easily for
soft and deformable materials. For a contact part that is made to completely adhere
by load, the adhesion condition of the interface after unloading differs according to
the material and the amount of deformation: some materials remain in a completely
adhered state and others in a partially adhered state. This is because peeling occurs
due to the elastic energy stored by the deformation. The condition in which peeling
occurs can be considered from the balance of the interface energy of the contact
part and the elastic energy due to the deformation. When the interface energy
is higher than the elastic energy due to the deformation, the material adheres
completely; when the elastic energy is higher, separation occurs and the material
remains partially adhered. If the conditions for complete adhesion according to the
energy balance in the case of contact between aluminum and sapphire are calculated,
adhesion progresses due to the deformation of aluminum in the case of uneven
aluminum and flat sapphire. If the unevenness of the surface is considered as a sine
wave and the half wavelength is 25 nm, complete adhesion only occurs when the
depth of the surface roughness is less than a few nanometers. The result of this
calculation coincides well with the results of bonding experiments (Hosoda et al.
1999).
In contrast to this, the strategy that creatures assume toward adherence differs
completely (Fig. 64.3). In order to increase adherence, the contact part is segmented
and a long thin hairy-shaped surface is created in order to easily deform. This long
thin hairy structure is characteristically produced at an angle to the contact surface.
The gecko is one such organism that utilizes hairy structures for adherence.
The Gekko gecko (Reptilia, Squamata, Gekkonidae, Gekko) is the most studied
of all geckos. Its fine hairy structures, or setae, are composed of “-keratin (Maderson
1964) and are 110 long and 4.2 m wide with 200 nm spatula tips. The force acting
between the setae tips and the surface has long been the subject of discussion;
1254 N. Hosoda
Room temperature
direct bonding
Technology Creature
splitting of a contact
Prepare an even
Increase the area and thin and
surface in an atomic
contact areas long shape of
level
contact parts
Al
Al
Bonded interface of two a) Gecko adhered on a plastic plate,

aluminium plates produced by b) gecko’ s foot, c) hairy structure
room temperature bonding on the finger, d) spatular tips of a
method (Akatsu 1999) single gecko seta
Improvement Remove an oxide

of bonding layer or impurity by Self cleaning
strength ion bombardment
Metallic bond, ionic

Boning force Van der Waals force
bond, covalent bond
detachment difficult easy
Fig. 64.3 Comparison of the adhesion mechanism of the feet of small animals and artificial
bonding technologies
however, in recent years the Van der Waals force has been demonstrated to be the
principal force, as mentioned above (Autumn et al. 2002). Since an absorbed layer
of water exists on surfaces in humid environments, the effect of water has also been
considered, and a thin adherent layer of water has been demonstrated to increase
the adhesion of the gecko hairy attachment system (Huber et al. 2005a). It has
been reported that the adhesion force per spatula is 10 nN (Huber et al. 2005b) and
200 N per seta (in a horizontal direction) (Autumn et al. 2000).
The way in which a long, narrow, and inclined shape contributes to adherence can
be considered from the effective Young’s modulus of the material. The following
equation shows the effective Young’s modulus, Eeff , according to the cantilever
model and expresses the effect of the angle made with a long thin structure
(Autumn et al. 2006):
3EID sin
Eeff D
L2 cos2 Œ1 ˙ tan
Here, E is Young’s modulus, D is density, L is length, I is the moment of inertia,

and is the coefficient of friction. Autumn et al. used this equation to calculate
the effective Young’s modulus from the size and angle of gecko setae. The result
showed that the effective Young’s modulus decreases from 2 GPa to 100 kPa at an
angle of 36.65ı with respect to the horizontal plane (Autumn et al. 2006). From
this result it can be seen that the gecko’s long, narrow and inclined adhesive hairy
structure contributes to easy deformation and high adherence.
If detachability is compared, adhesion/detachment of the gecko foot occurs
rapidly, 40 ms for adhesion and 66 ms for detachment as revealed by high-speed
photography (Gao et al. 2005). This is in contrast to the difficulty experienced
with peeling materials bonded by a material engineering method. According to
theoretical analysis research concerning the relationship between the direction in
which the seta is stretched and the force at the time it becomes detached, the
adhesion force (the force necessary to detach the seta) depends on the peel angle.
It is reported that sliding friction occurs until the seta makes an angle of 30ı with
the joining surface; the force reaches a maximum at 30ı ; and decreases for greater
angles, whereupon the seta detaches with a slight force at 90ı (Gao et al. 2005). This
is in agreement with experimental results for adhesive strength using gecko setae
(Autumn et al. 2000). The angle dependency of such adhesion force is produced
due to the hairs’ asymmetrical film-shaped form (Fig. 64.3c, d). Geckos control the
adhesion and detachment of their feet with a low energy investment by changing the
angle of the force with respect to the joining surface. In research by Kendall relating
to the detachment of tape, tensile strength has been shown to vary in the direction of
force (Kendall 1971). The tensile stress for detachment F , tape width b, adhesion
energy , and angle made with the joining surface are expressed by the following
equation:
b
F D
1 cos./
It can be seen from the Kendall’s relational expression for the tensile stress
of the tape and the direction of force (angle) that the tensile stress needed for
detachment becomes smaller as the direction of force approaches vertical with
respect to the surface and becomes larger as it approaches horizontal. Geckos
make use of this kind of directionality of adhesion force to perform adhesion and
detachment.
1256 N. Hosoda
The fine hair attachment system of the gecko is also useful in keeping the joining
surface of the sole of the foot clean. It is known that the gecko foot has a self-
cleaning mechanism and does not require grooming (Hansen and Autumn 2005).
In research by Hansen et al. on the adhesion of gecko setae due to the accretion
of alumina-silica microspheres (Hansen and Autumn 2005), the adhesion force of
the setae was observed to drop remarkably when microspheres were attached to
them, but thereafter it returned with the number of steps taken when the gecko was
made to walk on glass. By their nature, setae have a strong adhesive capability, and
therefore, the reason for the microspheres adhering to the glass and not remaining on
the setae was of interest. Hansen et al. calculated the interaction produced at the two
interfaces bordering the microspheres (i.e., the glass–microsphere and microsphere–
seta interfaces) as a Van der Waals force and demonstrated that “dry cleaning”
arises from the energy imbalance of the interfaces in contact with both sides of
the microspheres. They also pointed out that since the setae have a hydrophobic
property, the microspheres on the setae might be removed by contact with water. In
contrast, in mechanical engineering methods the surface layer is removed/activated
by ion irradiation (Suga 1990).
2.2 Development of a Hairy-Shaped Adhesive Through

Biomimetics
The excellent reversible adhesion capability of geckos is of great interest to

those developing environmentally friendly adhesives, and hairy-shaped structures
have been proposed. Classified broadly, hairy structure manufacturing involves (1)
direct machining, (2) surface transcription, and (3) bottom-up methods (Fig. 64.4).
Direct machining and the bottom-up method are suited to the manufacture of
simple cylindrical hairs, while complex shapes are manufactured by surface tran-
scription. Figure 64.5 shows the hairy structures developed. Carbon nanotubes
(Tsai et al. 2006) are used for the hair material in the bottom-up method, but
polydimethylsiloxane (Glassmaker et al. 2004), polyvinyl siloxane (Gorb et al.
2007b), polyurethane (Santos et al. 2007), polymethyl methacrylate resin (Jeong
and Suh 2009), or methacrylate low-viscosity resin (Hosoda and Miyajima 2008)
are used in surface transcription. In the design of hair structures, it is necessary
Direct machining Surface transcription Bottom-up
Fig. 64.4 Hairy structure manufacturing on a surface

Fig. 64.5 The shape of proposed various hairy structures
Fig. 64.6 The various shapes of the contact area
to consider the relationship between the elastic constants of the material and the
aspect ratio of the hair in order to prevent mutual adhesion, which occurs easily
(Sitti and Fearling 2003), as well as consider a form of tip that increases adhesion.
According to Campodel’s research on tip form and adhesion, form (e) has been
reported to produce the greatest adhesion force from within the six forms proposed
(see Fig. 64.6) (Campodel et al. 2007). Inclined hairs have a weak adhesive force
in the vertical direction and a strong force in the horizontal direction, similar to
those of the gecko (Santos et al. 2007). In recent years, hairy-shaped surfaces with a
more complex layered structure such as that shown in Fig. 64.3 have been developed
(Jeong and Suh 2009).
The features of gecko-type hairy structures can be summarized as follows (Gorb
et al. 2007a):
1. Dimension and density
2. Aspect ratio
3. Slope
4. Hierarchy
5. Shape of the contact
6. Asymmetry
7. Proper movements
8. Gradient materials
9. Supplementary nanostructures
1258 N. Hosoda
All of these features have been observed at normal temperature in geckos, but they
remain difficult to achieve artificially. A mushroom-type hairy structure in which
a thin layer corresponding to feature 5 is formed at the tip has been reported to
afford repeated adhesion, and adhesion is restored by washing with water when
dirty (Gorb et al. 2007b). Gecko-type adhesion should be reversible adhesion,
but achieving high peel strength is difficult even when considering the bonding
mechanism: incorporating an adhesive from the mussel-mimic polymer into a hairy-
shaped structure only results in 120 nN (per pillar) at most (Haeshin et al. 2007).
However, gecko-type adhesion remains an attractive topic for application to the
walking of robots on vertical surfaces, adhesive parts that must repeatedly and
strongly adhere and medical adhesives.
3 Bonding Modeled on Plants
In addition to geckos, plants also provide ideas for models of adhesion/detachment.

The most well known of these is Velcro, which was modeled on the hooks present
in the involucres of burdock. Velcro has excellent repeatability even though this
mechanism rests on a simple concept whereby hairs and textile services catch on
the curved form of the tips of long thin filaments.
The mechanism of abscission in plants has been considered as an idea for a model
of adhesion/detachment. The attraction of modeling abscission lies in spontaneous
peeling that does not use energy. The abscission mechanism involves a special cell
layer called the abscission layer at the root of the petiole (the small shaft connecting
the leaf and stalk) of deciduous trees that enables the leaves to be shed. This
abscission layer facilitates spontaneous separation (Fig. 64.7) and is formed when
the leaf sprouts. A decrease in the plant hormone auxin or an increase of ethylene
signals growth of the abscission layer, upon which the attachment of the cells
weakens and the leaves are shed. Abscission occurs in the fall when the temperature
drops, as low temperatures or a shortage of water causes changes in the density of
auxin.
The process of abscission can be summarized as (1) signal reception, (2) abscis-
sion layer growth, and (3) detachment (Fig. 64.8). This mechanism can be realized
by inserting a part that plays the role of the abscission layer into a junction. This idea
is applied to the metal joining. Metals that include tin have the property of dissolving
when they come into contact with the metal gallium, and this property is applied
when creating an abscission layer. A tin-based alloy (abscission layer) is sandwiched
between two metals and bonding is carried out. This kind of structure cannot easily
become detached because a very strong bond is formed. The process that causes
unheated spontaneous detachment similar to abscission is implemented as follows:
(1) a signal to detach through contact with gallium is sent, (2) the abscission layer
changes, and (3) the junction weakens and detaches. Solder, a tin-based alloy, is
a material that is frequently used in electronics, and utilizing this process makes
it possible to recover electronic chips without using energy for heating or the like
(Hosoda et al. 2004) (Fig. 64.9).
Fig. 64.7 (a) Cerasus jamasakura (Siebold ex Koidz.). (b) A base of leaf petiole (leaf stem).
(c) Close section view of the abscission layer
In addition to the example introduced here, the mechanism for spontaneous

detachment through abscission can be developed by using the inherent character-
istics of various materials. Similar to how adhesives have come to be developed
for various advanced materials, the diversification of attachment/bonding meth-
ods that have a detachment capability is an important research theme for the
future.
1260 N. Hosoda
Idea from exfoliation New bond technology

3 steps of exfoliation for 3 steps of new
making abscissions on technology for making
cut section mechanism of
abscissions on
1: signal reception Abscission layer
interfaces
(low temperature, water
1: change fields
poverty, ethylene/auxin
Formation of leaf
density change) (atmosphere,
abscission layer
temperature, micro
2: abscission growth waves, etc.)
3: defection of leaves
2: abscission growth
3: separation
Spontaneous
separation
Fig. 64.8 The schematic view of leaf fall inspired joining technology
Fig. 64.9 (a) The separation process of abscission layer using liquid metal embrittlement by
gallium. (b) Removal of a LSI chip from an used PCB at room temperature using gallium
4 Summary
Although the fusion of different fields is, by its very nature, essential for research in
biomimetics, actual interdisciplinary research is only rarely undertaken. The reason
for this lies in the barrier formed by differences in the language and culture used
in different fields. As can be seen from changes in the number of research papers
published, new discoveries of the functions of organisms are clearly a trigger for
the new field of biomimetics research. However, the lack of a process to unite
this research with engineering is a limiting factor in the field’s development. In the
example of a gecko-type adhesive structure, physics translated the language between
different fields and fulfilled the role of combining biology with engineering.
Lowering interdisciplinary barriers is key to growth and continuous development
of the field of material systems mimetics.
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Istanbul, 2006, p. 926
Thermodynamics and Resource
Consumption: Concepts, Methodologies, 65
and the Case of Copper
Stefan Gößling-Reisemann
Abstract
Analysis and minimization of resource consumption is an essential aspect of
sustainability. Engineers in this field need to be equipped with concepts and
methodologies for assessment and sustainable design of products and processes.
Thermodynamics offers these concepts and methodologies. In the current debate
on material flows, the throughput of matter and energy is the primary focus.
Consumption, however, starts when material and energy is transformed and
loses its potential to be useful in further products or processes. On the physical
level, this loss of potential utility is well described by entropy production or
exergy destruction, two related concepts from thermodynamics. Using these
concepts, methodologies for analyzing resource consumption were constructed
and have been successfully applied to a large number of processes, products,
and services. Here, a very brief introduction to thermodynamics is given to
enable the interested reader to understand the underlying concepts and help in
the application of thermodynamics to analyze resource consumption. Established
measures for resource consumption can be grouped into those approaches which
are based on the first law of thermodynamics (the conservation of energy
and matter) and those approaches which are based on the second law of
thermodynamics (entropy production and the devaluation of energy and matter).
A brief summary of the currently used approaches is given and how they
relate to the thermodynamic interpretation of resource consumption. Exergy and
entropy analysis are introduced as analytical tools and also briefly explained,
with recommendations for further self-study to get more familiar with the
methodologies. An example, copper making from sulfidic ore concentrates is
presented as a case study for the application of entropy analysis, and the results
S. Gößling-Reisemann
Faculty of Production Engineering, Division of Technological Design and Development, artec j
Research Center for Sustainability Studies, University of Bremen, Bremen, Germany
e-mail: sgr@uni-bremen.de

DOI 10.1007/978-1-4020-8939-8 54,
1264 S. Gößling-Reisemann
are compared to results from other (exergy) analyses. Finally, an interpretation of

entropy production in the context of ecological sustainability and finite resources
is offered, based on the finite entropy disposal rate of the earth, which enables
the reader to evaluate the meaning of the presented results.
1 Introduction
Decreasing resource consumption is a cornerstone of sustainability. Especially

engineers in the field of sustainability need to have a clear concept of how to assess
and how to optimize resource consumption in complex technological settings. Of all
subdisciplines in engineering and the natural sciences, thermodynamics offers the
most suitable set of concepts and methodologies to help the engineer in this respect.
As will be shown, entropy production or exergy loss is the concept that delivers the
best physical interpretation of resource consumption and should thus be used as a
measure when assessing resource consumption. The respective methodologies are
well developed in the literature and accessible to everyone with a background in
engineering or the physical sciences.
2 Throughput Versus Change in Quality
When talking about resource consumption, two aspects have to be distinguished:

throughput of matter and energy and the accompanying change in quality of the
material and energy flows. The current discussion around resource consumption
mainly focuses on the quantity of flows, rarely on their quality. Legislation on
closing material loops, for example, is mainly concerned with increasing the amount
of materials circling within the economy, and the success of recycling strategies
is measured by the increase in recovered tons of materials. The quality of the
returned materials is only rarely assessed or included in recycling strategies, and
also the economic or technical importance of the primary and secondary materials
is not (yet) considered in most legislative approaches toward sustainable resource
management. Regarding the importance of primary resources, this seems to be
changing lately, visible by the many studies on critical or strategic materials being
commissioned by governments around the globe (e.g., NRC 2008; Angerer et al.
2009; European Commission 2010). For secondary materials, the discussion of
quality is equally important, especially since it is the quality of the recyclates that
determine the options for reuse. The problem of diminished quality is especially
pronounced for metals: impurities in bulk metals, known as tramp elements, threaten
the goal of a closed loop economy (Janke et al. 2006; von Gleich 2006; Amini
et al. 2007). As long as there are sufficient primary resources available, the focus
on quantities is understandable. The situation changes when there is a need to
significantly increase the amount of circulated material. The natural tendency
of recycling processes is that materials are becoming mixed and the material
dissipation increases. However, dissipation of materials can be avoided by clever
65 Thermodynamics and Resource Consumption 1265
organization of material flows by appropriate dismantling of products and by a

thermodynamically optimized process design. Keeping the quality of recyclates up
is thus a matter of organization, interfaces between members of the recycling chain
and intelligent process design (Castro et al. 2004; Reuter et al. 2005; Hagelüken
et al. 2005; Hagelüken 2007).
Thermodynamics can offer some help in assessing and designing material
transformation processes, from primary extraction to recycling, for better efficiency
and effectiveness. The main rationale behind the thermodynamic approach is that
the “usefulness” of matter and energy flows depends on their actual physical and
chemical state. The change in thermodynamic states is what constitutes resource
consumption, as is explained in the next sections.
3 Resources and Consumption
The conventional interpretation of physical resources is based on the assumption

that they are delivered by the surroundings, the natural environment in most cases,
and are somehow “used up” in a process called resource consumption. This sounds
like they would be “gone” after they have been used, which is definitely not the
case, as every physicist or chemist would be eager to point out. The laws of physics
dictate that the sum of energy and matter in any given process stays fixed (see any
basic physics textbook, as, e.g., Feynman et al. 2009). For nonnuclear processes
(no fission, no fusion), energy and matter are even conserved individually. So how
can one speak about consumption then? Merriam-Websters dictionary explains
(economic) consumption as “the utilization of economic goods in the satisfaction
of wants or in the process of production resulting chiefly in their destruction,
deterioration, or transformation” (Merriam-Webster 2011).
The key message here is that economic goods are destroyed or deteriorated, that
is, they lose some of their functionality or their “potential utility” (cf. Gößling-
Reisemann 2008a). The “potential utility” is a theoretical concept describing the
amount of useful applications of goods or material and energy flows. A given set of
goods or flows have a limited number of potential uses, depending of course on the
ingenuity of the user and the tools available. Once these goods and flows have been
used for a certain product or service, they cannot be used for something else, unless
one invests more goods and flows.
The simplest example is that of a certain amount of wood, water, and energy
(plus the right tools): you can convert them into paper, using up all the material and
energy flows, but then you could not produce any alternative products anymore, like
furniture, for example. You could have chosen to build a boat instead or a wooden
hot tub but either way: once you have decided on one product path, there is no
turning back. Well, almost no turning back: when you are willing to burn some of
the furniture, you could produce enough energy to convert the rest of the furniture
(and the left over water) into paper, but you will not gain as much paper as you
would have by using all of the wood for papermaking in the first place.
The purpose of this little thought exercise is to highlight the importance of the
irreversible nature of consumption. It also shows that consumption is a gradual
concept: goods can be partly consumed and partly remain in the products which have
been produced from them. The degree of consumption obviously has some relation
with the irreversibility of the transformation of the goods. The examples here
were deliberately oversimplified: in reality, you would need many more material
resources to produce paper from wood and water, for example. Also, one should note
that the transformations leading to the loss of potential utility cannot in all cases be
quantitatively linked with the actual loss of potential utility. Small transformations
can have dramatic consequences for the usability of the economic goods involved,
like in the case of dispersing a tiny amount of toxic substances with drinking water.
The main observation remains true, however: consumption is about irreversible
transformations.
The irreversibility of the consumption process is a defining characteristic and
thus a good starting point for measuring consumption itself. In economics, it
was Georgescu-Roegen who first drew attention to this (Georgescu-Roegen 1971),
leading to a scientific debate about resources and their finality which still goes on
today (see, e.g., the discussion between Arrow et al. (2004), Daly et al. (2007) and
Arrow et al. (2007)).
This chapter is concerned with physical resources, not economic goods. How-
ever, the meaning of consumption is basically the same: it is about irreversibly
changing the structure and quality of material and energy flows making them
less available for further processing. Taking the above dictionary definition as
a starting point and applying it to physical resources, the key to understanding
(physical) consumption lies in understanding the changes in the physical resources
by destruction, deterioration, or transformation.
When the above definition of consumption is applied to all process stages from
extraction of resources to disposal and recycling of discards, it becomes clear that
all material and energy flows can be interpreted as resources, although to a different
degree. Thus, consumption is not localized to one defined area of the economic
system (as it might appear from the economically motivated dictionary definition),
but is happening wherever there are material and energy flows transformed and thus
lose potential utility.
In summary of the above paragraphs, the terms resource and consumption can
now be defined in a concise and meaningful way for the following discussion:
Resources in this context are to be understood as reservoirs or flows of matter and energy
that are used to produce products and services. Material resources can appear in the form
of raw materials, semi-products, final products, auxiliary materials, or wastes. Energetic
resources can appear as chemical energy stored in energy raw materials, heat, radiation,
potential energy, or any other form of physical energy.
Consumption is to be understood as the transformation of resources resulting in a loss
of possible further pathways for producing products and services. This loss in potential
utility comes about by chemical and physical processes, like dissipation, dilution, mixing,
chemical reactions, structural changes, heat transfer, and others.
Thermodynamics offers the right concepts to measure these kinds of changes in

physical resources, as it is the discipline of physics that analyzes energy and
material flows with regard to their transformation and conversion (Kondepudi and
Prigogine 1998). The above-mentioned irreversible “loss of potential utility” as a
measure for resource consumption has a more rigorously defined counterpart in
thermodynamics: entropy production. Economic resource consumption can then be
approximated by physical resource consumption, and entropy production can be
introduced as a measure.
4 Thermodynamics Background
Thermodynamics is the discipline of physics dealing with the conversion of energy,

including the transfer of heat and work, and the relation between different state
variables of matter and energy. Its origins lie in the assessment of the consumption of
energetic resources and the efficiency of steam machines (Kondepudi and Prigogine
1998). The thermodynamic theory is based on four major laws, which very generally
describe limiting conditions for all physical systems.
The “zeroth” law of thermodynamics describes that any two systems which are
in thermodynamic equilibrium with a given third system are also in equilibrium with
each other (Kondepudi and Prigogine 1998). Thermodynamic equilibrium between
two systems is reached when there are no further driving forces for exchanging
matter or energy. This is equivalent to saying that the corresponding thermodynamic
potential is equal in both systems. For exchanges of heat only, as an example, this is
the case when both systems have the same temperature.
The first law of thermodynamics describes the conservation of energy. In essence,
it says that energy cannot be produced; it can only be converted from one form
to another. The energy of a system is usually referred to as the internal energy.
It is given by the sum of all internal kinetic energies (e.g., of the particles
moving with respect to the center of mass) and all internal potential energies (e.g.,
electrostatic energy between charged particles or energy stored in chemical bonds).
For isolated systems, that is, systems with no exchange of matter or energy with
the surroundings, this law implies that the energy of the system stays constant for
all times. For closed systems, that is, systems that have no exchange of matter
with the surroundings, the first law implies that the internal energy can only be
changed by exchanging physical work or heat with the surroundings. For open
systems, additional energy changes can appear by exchanging material flows with
the surroundings. These flows change the internal energy of the system by adding
kinetic energy, gravitational energy, and enthalpy. Enthalpy is formally the sum of
internal energy of the flow and the product of its pressure and volume. Thus, a flow
of matter can add energy to a system by adding, for example, chemically stored
energy or by adding volume at constant pressure.
The second law of thermodynamics describes the devaluation of energy during
material or energetic transformations. In simple terms, it states that, although the
absolute amount of energy in any transformation is always conserved, the “quality”
of the energy decreases. The quality of a given amount of energy is measured by the
amount of physical work one could extract from this energy by ideal (i.e., lossless)
processes. Since the second law states that this quality always decreases, another
interpretation is that every conceivable process will always result in the loss of
potential physical work. The mathematical formulation of the second law uses the
concept of entropy as the measure for the “unavailability” of energy. This physical
quantity was introduced by Clausius (1850) to describe the limited efficiency of
steam engines, and he discovered that entropy is only conserved in a process when
the process is reversible. Reversible processes can be run “backwards,” meaning
that the changes in their state variables and all exchanges of matter and energy
with other systems can be passed though in reversed order. Entropy itself is a state
variable, that is, it is only dependent on the state of the system, not on its path of
evolution. It is an empirical observation that there are no reversible processes, even
if some processes can be made to approach reversibility arbitrarily close. Following
Clausius, the second law can be expressed more elegantly with the help of entropy:
The entropy of the universe can only increase and approaches a maximum.
With regard to a certain observed system and its transformational processes,

the following expression of the second law is more helpful (cf. Kondepudi and
Prigogine 1998):
The sum of the entropies of a given system and its environment cannot decrease. They
remain constant only in the (ideal) case of reversibility.
The meaning of the second law goes beyond energy conversion processes, as
could be inferred from its definition. When pure materials are mixed, for example,
the entropy increases, too. The simple interpretation is that the sum of the energies
stored within the pure material flows is generally less available to further processing
when the flows are mixed. The availability can, in the reversible case, remain
constant, but it cannot increase. The irreversibility of the process is obvious from
the fact that one would have to spend additional energy to de-mix the material flows;
a spontaneous de-mixing will not occur.
One consequence of the second law is that in any real process, the availability
of energy can only decrease. The amount of the loss of availability is directly
proportional to the entropy produced during the process. The entropy increase can
be brought about by all kinds of physical or chemical transformations: mixing,
combustion, chemical reactions, phase changes, heat transfer, etc.
The third law of thermodynamics simply states that as the temperature of a
perfect crystal approaches the absolute zero of temperature (0 K), the entropy of
the crystal also approaches zero (Kondepudi and Prigogine 1998). This then defines
the absolute zero of the entropy scale. Real materials do not necessarily satisfy the
“perfect crystal” condition, that is, they do not have a unique ground state. In gen-
eral, quantum mechanics predicts “degenerate” ground states for systems containing
particles with half-integer spins (like electrons). Degenerate means, that for a given
energy, several physical configurations of the constituents are possible. Even if
thus the entropy of many systems does not approach zero for the absolute zero of
temperature, the third law defines an absolute zero for entropy. This is different from
the definition of energy, where there is no “natural” zero level and all comparisons
(and measurements!) have to be made with respect to a chosen baseline.
Especially the first law and the second law have relevancy for assessing resource
consumption. The first law offers a way to close the balance on material and energy
flows entering and leaving a system. It is therefore useful in setting up resource
balances or resource accounts for systems. Balances derived in this way highlight
the throughput of matter and energy as the basis for assessing consumption, without
addressing the change in quality of material and energy flows. The second law,
on the other hand, addresses precisely this defining characteristic of resource
consumption: the devaluation of matter and energy due to transformation of physical
flows.
5 Established Measures for Resource Consumption
There have been many attempts to find an adequate measure for resource consump-
tion. These can broadly be distinguished by those measures that are based on the first
law of thermodynamics (conservation of energy or mass) and those that are based
on the second law of thermodynamics (irreversibility and entropy generation).
5.1 Measures Based on the First Law of Thermodynamics
Since the first law of thermodynamics does not address the change in quality of the
materials and energy flows, the methodologies derived from it cannot really measure
resource consumption as defined above. They rather measure resource throughput
or resource use. However, this distinction is rarely made, and, in general, one will
find these methodologies usually being discussed within the context of resource
consumption. The application range of these measures varies from the product or
service level up to the level of nation states and the worldwide economy. A few
typical examples include:
Cumulative energy demand (CED): developed in the 1990s, mainly by the Öko-
Institute in Germany (VDI 1997), it measures the aggregated input of all primary
energy into the production, distribution, use, and disposal of products or services.
Raw material flows are only considered when they are principally suitable as
energy carriers, which include natural gas, crude oil, and rapeseed oil but ex-
cludes, for example, iron ore or freshwater. The CED distinguishes nonrenewable
from renewable energies, like solar, wind, and hydro. The methodology is usually
applied on the product or service level.
Material intensity per service unit (MIPS): developed at the Wuppertal Institute
in Germany and part of the material-intensity-analysis framework (MAIA)
(Schmidt-Bleek and Klüting 1994; Schmidt-Bleek 1998; Ritthoff et al. 2002;
Wuppertal Institut 2011), it measures all material movement associated with
the production, use, and disposal of products or services. The methodology
focuses on the movement of material flows, which are further distinguished into
biotic, abiotic, water, air, and moved soil. Transformation of these flows is not
considered. The methodology has been applied to the product level, to regions,
and whole economies.
Direct material input (DMI) and domestic material consumption (DMC): mea-
sures developed within the framework of material flow accounts (European
Commission 2001), used primarily to measure the input and consumption of ma-
terials in national economies. DMI measures all material flows of economic value
(i.e., which are used for production and/or economic consumption, excluding
water) entering a national economy, aggregated on mass basis. DMC is calculated
from the physical trade balance (direct material input less exports) and domestic
extraction of resources. The methodology is typically applied to nation states, but
other regional scopes are used (the methodology is extensively used for assessing
material flows for the EU as a whole, for example).
5.2 Measures Based on the Second Law of Thermodynamics
The approaches based on mass and energy conservation are merely balancing
inputs and outputs without considering qualitative changes in the material and
energy flows. Methodologies based on the second law of thermodynamics can thus
complement these balances by including an actual reference to the consumption as
defined above: the loss of potential utility.
5.2.1 Exergy Destruction as Resource Consumption

The methodologies that do consider the loss of potential utility can broadly be those
using entropy production as a concept and the ones using exergy loss or exergy
destruction. In essence, the two approaches are equivalent, as can be seen from the
definition of exergy (cf. Rant 1956; Szargut et al. 1988; Brodyansky 1994).
The exergy of a flow of matter or energy is the quantity of work which can be extracted
from it by reversible interactions with the environment until complete equilibrium (with the
environment) is reached (based on the definition in Brodyansky 1994).
The exergy of a system is thus dependent on the state of its environment, which must
be individually defined for each system under investigation. Furthermore, exergy has
the same units as energy, but it is not a conserved quantity, very much like entropy.
The difference is that while the entropy of an isolated system is always increasing,
its exergy is constantly decreasing. In an isolated system, exergy can be destroyed,
but never be created. This feature makes exergy destruction a promising candidate
for measuring resource consumption.
The (specific) exergy flow " of a material flow can be partitioned into different
contributions, reflecting the physically independent equilibration processes: poten-
tial, kinetic, thermal, mechanical, and chemical exergy:
" D "pot C "kim C "th C "mech C "chem :

The potential and the kinetic exergy of a flow are equal to its potential and kinetic
energy. The thermal contribution "th is the work rate extractable by reversible
processes when bringing the material flow to thermal equilibrium with the reference
environment without changing either its composition or its other thermodynamic
parameters. The mechanical contribution "mech is defined similarly for the work rate
obtainable from reversible equilibration of pressure differences. The sum of "th and
"mech is also called physical exergy and denoted "ph . It can be derived from the
specific enthalpy h and the specific entropy s of the flow
"ph D "mech C "th D mŒh

P h0 T0 .s s0 /
where the subscript 0 denotes the values in the reference state of the environment
and m P is the mass flow rate (mass/time).
The chemical exergy flow rate of a material flow can be obtained from analyzing
the chemical reactions leading from the material flow’s chemical composition to
the chemical composition of the reference environment. This can be achieved by
using the chemical potentials of the flow’s components j at reference temperature
T0 ; j 0 , the component’s chemical potential in the reference environment, j 00 , and
the respective mass fractions xj of the components:
X
"ch D m
P .j 0 j 00 /xj :
j
The reader is referred to the books by Szargut et al. (1988) and Brodyansky (1994)
for a detailed description.
q
The exergy flow "s of a heat flow q across a surface area s at temperature Ts is
obtained from the Carnot factor:

T0
"qs D 1 q:
Ts
With the above expressions, the exergy flow balance of a steady-state system can be
set up, and the exergy destruction is obtained from
X X X
"in
i "out
i "qs WP IP D 0;
i i s
with "in
i denoting the various incoming exergy flows, "i
out
outgoing exergy flows,
P P
W physical work (rate), and I denoting exergy consumption rate. For nonsteady-
state systems, the 0 on the right hand side has to be replaced by "sys the exergy
change of the system itself. With the help of the Gouy-Stodola theorem, the exergy
consumption rate can be related to the entropy production SP rate of the system:
IP D T0 SP :
Exergy analyses have been performed on many systems, with the longest and most
successful tradition in analyzing and optimizing energy conversion technologies
and chemical processing (see Brodyansky 1994; Kotas 1995; Szargut 2005; Borel
and Favrat 2010), and are now successfully applied to assess natural resources
and resource consumption in life-cycle assessments (Bösch et al. 2007; Dewulf
et al. 2007) and in natural resource accounting and analysis (see the extensive
bibliography on http://www.exergoecology.com).
5.2.2 Entropy Production as a Measure for Resource Consumption

As discussed above, entropy production can serve as a proxy for resource consump-
tion by measuring the decrease in thermodynamically allowed pathways for utilizing
material and energy flows. Entropy is not a conserved quantity, as was also true for
exergy; thus, the balance equation for any real process must include a production
term for entropy. In general, the change in the entropy of a system can be partitioned
into the entropy being exchanged with the system’s environment, e Ssys , and the
internally produced entropy, i Ssys (Kondepudi and Prigogine 1998):
Ssys D e Ssys C i Ssys :
In the case of ideal, that is, reversible, processes, the internal production term is
zero. In all real processes, however, entropy is produced. In many cases, the entropy
change of the system itself can be neglected .Ssys D 0/. This is especially true for
steady-state processes, where the system state is static, or cyclic processes, where
the system is repeatedly going through the same states such that for an appropriately
chosen time interval, the net change in entropy is zero. The latter definition holds,
for example, for batch processes.
A general process can be thought of as a control volume with material flows m Pk
(mass/time), heat flows eq (energy/time), and radiation flows es (energy/time) enter-
ing and leaving the system. The thermodynamic measure for resource consumption
is then given by the internally produced entropy. With Ssys D 0 (steady-state or
cyclic process after full number of cycles), this quantity can be calculated from the
entropy balance (cf. Gößling 2001):
0 1
Z Z X 4 es;j X 4 es;j X
di S eqout eqin out in
i S D dtD @ C C P k A dt
sk m
dt T0 T0 j
3 Ts;j
out
j
3 Ts;j
in
k
in;out
where the eqin;out are the heat flows in and out of the system, respectively, es;j are
the incoming and outgoing flows of (assumedly black body) radiation
in;out
received/emitted at surface area j , with Ts;j being the temperature of the
received/emitted radiation, and sk being the specific entropy of material mk .
5.2.3 The Energy Balance

When it is assumed that the system at hand does not perform physical work on
the environment (and vice versa), the heat flows in the above formula can be
derived from balancing the enthalpy of the incoming and outgoing flows, including
the incoming and outgoing radiation, and correcting for the internally dissipated
electrical energy eqel :
X
eqin eqout D eqel esin C esout C hk m
Pk
k
with hk being the specific enthalpy of material mk . The emitted radiation flows esout
can be derived from the temperature of the partial surface areas Aj with uniform
temperature (Kondepudi and Prigogine 1998):
X
out 4
esout D Aj .Ts;j /
j
where sigma is the Stefan-Boltzmann constant. The same formula holds for the
received radiation when the temperature is exchanged accordingly. The radiation
energy balance then becomes
X h i
out 4 out 4
esout esin D Aj .Ts;j / .Ts;j / :
j
In many metallurgical and chemical processes, the temperature of the reaction

vessels is comparatively low (e.g., below 100ıC) so that the radiation losses might
be omitted. The heat balance is then determined by the electrical energy dissipation
and the enthalpies of the material flows.
The specific enthalpy of a material flow depends on its composition, and for ideal
mixtures, it is simply the weighted sum of the specific enthalpies of the components
of this mixture. For nonideal mixtures, the enthalpy of mixing has to be included.
5.2.4 Material Entropy Flows

After having settled the energy balance with the help of the above equations (heat,
radiation, enthalpy), the next step is determining the material entropy flows to
calculate the entropy production within the system under investigation. This can be
done with the help of tabulated values of molar entropies (or molar heat capacities)
found in thermodynamic handbooks and databases (see, e.g., Haynes and Lide 2010;
CRCT 2011; Linstrom and Mallard 2010; Barin 1995). The specific entropy sk of a
material flow mk can then be calculated from the molar composition of the flows,
given by the molar amount nk in flow k, the respective molar share yjk of each
component j in this flow, and the molar entropy sNj of the component j :
8 9
1 <X X =
sk D nk yjk sNj R nk yjk ln.yik /
mk : j j
;
with R being the universal gas constant (8.314472 J/K/mol). The latter sum in the
above formula represents the entropy of mixing and is solely due to the mixing
of components in the material flow. The entropy of mixing can also be used for
assessing the quality of material flow management systems, for example, in waste
incinerators (Rechberger 1999), in recycling processes (Gößling-Reisemann et al.
2011), or on the level of economy-wide substance flows (Rechberger and Graedel
2002).
6 Application Example: Copper Production
6.1 Entropy Production
As an example for the application of using thermodynamics for assessing resource

consumption, the entropy production of copper production is presented (cf. Gößling-
Reisemann 2008b). The analysis is based on a process model describing the
mining and beneficiation of sulfidic copper ores and the metallurgy of these ores
to produce copper cathodes. The metallurgy itself consists of four main stages:
flash smelter, converter, anode furnace, and electrolysis, which are part of this
analysis. Other downstream processes are not considered: the offgas is further used
for the production of sulfuric acid as a by-product, residues from the electrolysis
are further treated to extract valuable metals, and the slag is processed to be used
as a construction material. The material flows most relevant for the calculation of
resource consumption for 1 t of refined copper are given in Table 65.1.
The calculation of the entropy production proceeds as outlined in the previous
section: material compositions need to be established, energy flows have to be
calculated (enthalpy, heat, and radiation), and then the entropy balance can be
calculated. Since the system itself is not changing its entropy during the production
of copper, the steady-state condition is met, and the entropy production can be
calculated from the entropy balance.
As an example, consider the composition of the ore concentrate as given in
Table 65.2. The components of the concentrate have specific entropies which can be
looked up in thermochemistry tables (e.g., Barin 1995; Linstrom and Mallard 2010;
CRCT 2011), and the mixing contribution to this material’s entropy is calculated
from the formula given in the previous section.
As with the ore concentrate, all flows are evaluated and can then be analyzed. For
visual inspection, a Sankey diagram is most helpful; see Fig. 65.1 for the entropy
flows of the metallurgical stage. One can see at one glance that the entropy flows
associated with the electricity production are the largest in the system, directly
followed by the offgas flow from the converter. The entropy production due to
electricity production for the metallurgical stage can be read off the labels and is
10.4 MJ/K (per ton of refined copper, which is the functional unit in this case).
The entropy production for the mining and beneficiation stage and the metallurgical
processes is given in Table 65.3.
Table 65.1 Most relevant material flows for mining, beneficiation, and metallurgy of copper
(model description and data sources in Gößling (2001) and Gößling-Reisemann (2008b))
Input Output
Mining and beneficiation
Overburden 76.8 t Overburden 76.8 t
Crude ore 101.2 t Tailings 97.5 t
Final energy 10.7 GJ Ore concentrate 3.8 t
Electricity 8.3 GJ Discarded water 150.0 t
Diesel 2.4 GJ
Fresh water 150.0 t
Lime (CaO) 0.1 t
Metallurgy
Ore concentrate 3.8 t Copper (cathodes) 1.0 t
Flux (SiO2 ) 0.5 t Slag 2.1 t
Final energy 9.1 GJ Offgas (to sulfuric acid plant) 3.9 t
Electricity 1.3 GJ Offgas (to filter/environment) 7.2t
Fossil fuels 7.8 GJ
Electricity production (for mining, beneficiation, and metallurgy)
Primary energy 25.9 GJ Electrical energy 9.6 GJ
Cooling water 618.4 t Cooling water discharge 223.2 t
Steam 395.2 t
Interpreting these results, it seems noteworthy that the resource consumption

of copper making is roughly halfway split between mining and beneficiation
and metallurgy. It must further be noted that the upstream process of electricity
production plays an important role, especially for the mining and beneficiation
stage. This is mainly due to the necessary comminution of the raw ore, which is
facilitated by large mechanical crushers and grinders. Another noteworthy fact is
the importance of material transformations for resource consumption: a large part
of the entropy production in the flash smelter and the converter is brought about
by chemical reactions, mixing, and structural changes and not by converting final
energy carriers into heat, as one might assume. This highlights the importance of
looking beyond pure energy and mass balances for assessing resource consumption.
The heat losses in the offgas treatment deserve a closer look, as well. The
resulting entropy production, and thus resource consumption, is due to energy
transformations, that is, the transfer of heat across a finite temperature difference.
However, there are other factors influencing the entropy production associated with
handling the offgas flow: (a) a large amount of cooler ambient air is mixed with the
converter and anode furnace offgas due to the batchwise operation of these furnaces
and (b) the different offgas flows from flash smelter, converter, and anode furnace
have greatly differing temperatures, and the mixing of these flows thus produces
additional entropy. If the mixing with ambient air could be prevented and these
flows would be kept separate, the overall resource consumption could be decreased
by approximately 6 MJ/K or almost 7% of the metallurgical resource consumption.
1276
Table 65.2 Composition of typical ore concentrate, molar entropies of the components, and specific entropy of the concentrate. Composition derived from
elemental composition (Davenport and Partelpoeg 1987) and recalculated to account for chemical compounds typically found in ores (cf. Gößling 2001)
(Entropies taken from Barin (1995) and Linstrom and Mallard (2010))
Component CuFeS2 SiO2 C Al2 O3 ZnS PbS H2 O As2 S3 Ni CaO
Mass fraction (wt%) 84:42 7:40 2:30 2:24 2:12 0:35 0:30 0:30 0:05 0:52
Molar entropy (J/K/mol) 125:0 41:4 5:7 50:9 57:7 91:3 70:0 164:0 29:8 38:2
Molar weight (g/mol) 183:521 60:0843 12:0107 101:9613 97:44 239:3 18:0153 246:038 58:6934 56:077
Sum of specific component entropies (J/K/g) 0.679
Specific entropy of mixing (J/K/g) 0.091
Specific entropy (J/K/g) 0.770
Entropy of 3.8 t concentrate (MJ/K) 2.928
S. Gößling-Reisemann
T2:Electricity Mix Germany 428 MJ/K P4:Emissions
P5:Energy-
Resources
6.52 MJ/K
417 MJ/K
P3:Suphuric Acid Plant
29.1 MJ/K
51.8 MJ/K
P7: Flash smetter slag
5.05 MJ/K
T1:Flash Smelter
P6
T3: Converter
P7:Converter slag
24.6 MJ/K
P1:Metallurgical
Resources
35.3 MJ/K
10.8 MJ/K
19.6 MJ/K
T4:Anode Furnace
5.27 MJ/K
T5:Electrolysis
P12: Anode slime
P13: Cathodes
Fig. 65.1 Entropy flows of the metallurgy stage for copper production. All arrow widths are
proportional to the respective entropy flow, except for the hatched arrow from electricity mix to
emissions
Table 65.3 Entropy production along the process chain for producing refined copper from
sulfidic copper ore. Basis was the calculation in Gößling-Reisemann (2008b) with improved data
on efficiencies and material compositions. Also the model in Gößling-Reisemann (2008b) has been
updated so that the system border now includes the upstream process of electricity production and
the heat loss from the offgas treatment
Stage Entropy production (per ton of refined copper)
Mining and beneficiation
Direct processes 36.9 MJ/K
Electricity production (upstream) 58.0 MJ/K
Metallurgy
Flash smelter 18.2 MJ/K
Converter 15.8 MJ/K
Anode furnace 8.7 MJ/K
Electrolysis 4.4 MJ/K
Electricity production (upstream) 10.4 MJ/K
Offgas treatment (heat loss) 33.0 MJ/K
Sum 185.3 MJ/K
Technically, this is probably not fully feasible, but there are options for optimization:
the temperature difference between the flows and the surroundings could be used
for energy recovery (e.g., by producing steam or electricity), and the anode and
converter furnace can be equipped with more efficient offgas capture systems. Once
the flows have a uniform temperature, their heat content can further be used in heat
recovery systems, as long as their temperature does not fall below the optimum for
the subsequent sulfuric acid plant.
6.2 Comparison with Other Assessments
There have been other attempts at using thermodynamics to assess the resource
consumption of copper making. Most of them have used exergy analysis, but the
results are comparable since the entropy production can be calculated from the
exergy destruction via the Gouy-Stodola equation (see above). One of the earliest
studies was performed by Kolenda et al. (1992), in which three distinct processes
of copper making were analyzed: blast furnace, converter, and anode furnace.
The blast furnace is an outdated technology, which explains the poor results of
the exergetic analysis. A comparison with the entropy analysis above is given in
Table 65.4. Taking into account the distance in time between the two analyses (the
data in Gößling-Reisemann 2008b is from between 1999 and 2006), the agreement
is quite good, and the differences are probably explained by improvements in
process technology (note that the upstream process of electricity production and
the downstream process of offgas treatment are not included).
Another exergy analysis was performed by Ayres et al. (2006) with a technolog-
ical setup very close to the one analyzed here and with data from around the same
period (around 1999). A comparison of their results with the one presented here
can be found in Table 65.5. The differences are quite remarkable and can only be
explained with more detailed knowledge of the processes analyzed. It is interesting
to note, however, that the ratio between entropy productions in the metallurgy stage
and the mining stage is between 1.27 and 1.40, respectively, and is thus in fairly good
agreement. This probably indicates a systematic difference between the process
models.
Table 65.4 Comparison of entropy production from an analysis performed by Kolenda et al.
(1992) with the analysis presented in this chapter (updated model of Gößling-Reisemann (2008b))
Kolenda et al. (1992) Gößling-Reisemann (2008b) + model update
Blast furnace 39.2 MJ/K/t Flash smelter 18.2
Converter 17.1 MJ/K/t Converter 15.8 MJ/K/t
Anode furnace 11.0 MJ/K/t Anode furnace 8.7 MJ/K/t
Total 67.3 MJ/K/t 42.7 MJ/K/t
Table 65.5 Comparison of entropy production from an analysis performed by Ayres et al. (2006)
with the analysis presented in this chapter (updated model of Gößling-Reisemann (2008b)). Note
that in the data taken from Ayres et al., upstream and downstream processes (electricity production
and offgas treatment/sulfuric acid production) have not been included to achieve comparable
system boundaries
Process stage Ayres et al. (2006) Gößling-Reisemann (2008b) + model update
Mining and beneficiationa 99.1 MJ/K/t 36.9 MJ/K/t
Metallurgy a 138.6 MJ/K/t 47.1 MJ/K/t
a
Only direct entropy production
6.3 Interpretation of Entropy Production
Interpretation of the results from thermodynamic analyses can be done with different
goals. Historically, thermodynamics was used to optimize processes, most notably
energy conversion processes. This is still the main application also of analyses using
exergy or entropy (see, e.g., the long-standing tradition of the ECOS conferences
– International Conference on Efficiency, Cost, Optimization, Simulation, and
Environmental Impact of Energy Systems). In the paragraphs above, however, the
focus is explicitly on resource consumption of products, processes, and services
under a life-cycle perspective. The goal is to find an answer to the question of
how much resources are going to be destroyed in the satisfaction of a specific
demand. If different products or services are to be compared, the absolute amount
of resource consumption is less important; only the relative differences are relevant
for a decision. Still, the absolute value of the entropy production or exergy loss has
meaning, too.
As stated above, exergy and entropy are not conserved. The exergy available
for economic processes is limited mainly by the regeneration rates of terrestrial
resources, which again is dependent on the solar irradiation rate. For entropy,
something similar holds. Every living system is dependent on the expulsion of
the internally produced entropy (Ebeling et al. 1990; Glansdorff and Prigogine
1971; Nicolis and Prigogine 1977), or otherwise it collapses under accumulating
entropy waste. This expulsion rate is usually limited, for example, by physical limits
to the exchange of material and energy with the environment. The development
of lakes, amphibian eggs, and humans has been studied in this respect (Aoki
1991, 1995, 2008), and the analysis shows that the entropy production rate of these
biological systems varies with the developmental stage: early in their life, these
systems steadily increase their entropy production rate until it reaches a maximum,
after which the organisms seem to gradually optimize their resource consumption
and the entropy production rate converges toward a much lower stable value. If
this is translated into economic terms, nature seems to favor material growth in
early stages of development, without concern for resource consumption at all. In
later developmental phases, however, efficiency and resource conservation are the
guiding principles.
How does this relate to the global economic system? Firstly, also the entropy
disposal rate of the earth is limited. The disposal of entropy occurs mainly via
the emission of long-wave radiation from the earth atmosphere into space. For
the current biophysical conditions, including the earth’s surface temperature, the
average entropy disposal rate of one square meter of surface area is around 1.2 W/K
(cf. Gößling-Reisemann 2008b). For different conditions, this might change; for
example, a higher surface temperature might change the atmospheric system and
induce currently unknown convective patterns in the atmosphere, leading to a higher
disposal rate of entropy. However, the transition from the current state of the climate
system to the “improved” state probably comes with intermittent turbulence, and the
resulting climatic system might be less favorable to humans than the one us humans
are used to. Precaution thus dictates to preserve the state of the climate system as
much as possible. This implies a limit to the amount of entropy produced globally,
which in turn basically fixes the amount of entropy we as humans should be allowed
to produce. There is currently no rigorously defined limit for the sustainable human
entropy production rate, but for the argument of resource conservation, it suffices
to know that there is a limit at all. If there is consensus that the average entropy
production density on earth should not be above 1.2 W/K/m2 , this “natural” limit can
be used to give the entropy production of economic processes a new meaning, and
it can simultaneously be used as a “yardstick” to compare the entropy production of
all processes.
The above example calculation of the resource consumption for copper making
can be compared to this yardstick. The entropy production of 185.3 MJ/K per ton
of refined copper corresponds to the yearly disposal capacity of approximately
5 m2 of earth’s surface. The global annual copper production in 2004 was about
10 million tons, according to Graedel et al. (2004). This would imply the permanent
“occupation” of approximately 50 million m2 or 50 km2 of earth surface. For
comparison, the world primary energy consumption rate in 2008 was approximately
15 terawatt (BP 2009). If it is assumed that the primary energy is almost completely
transferred into heat at ambient temperature, the resulting “entropy footprint”
amounts to around 42;000 km2 .
In this manner, human activities and economic processes can be evaluated against
a naturally given limit, and the resource side of sustainability can be assessed by
using thermodynamic principles and measures.
7 Further Reading
The application of thermodynamics for process evaluation is not limited to the

question of resource consumption, although there is a current scientific debate
around that topic (Connelly and Koshland 2001a, b; Seager and Theis 2002;
Gößling-Reisemann 2008a, b). As noted above, thermodynamic analysis, especially
exergy analysis, was most successfully applied in the design and optimization of
energy conversion systems (see Szargut et al. 1988; Kotas 1995; Bejan et al. 1996;
Szargut 2005; Borel and Favrat 2010).
Along the same lines, but on a more general level, entropy analysis has been
suggested to be used in finding the optimal design of a broader class of processes.
Bejan introduced entropy production (he uses the term entropy generation) as a
means of thermodynamically assessing and optimizing the losses connected with
heat transfer, fluid flow, and mass transfer irreversibility (Bejan 1996). Bejan’s
entropy generation minimization (EGM) approach is basically a way to optimize
the design of systems and to assess their efficiency. It requires knowledge of the
geometrical setup of the machines and the thermodynamic properties of the internal
flows of matter and energy inside the analyzed system (or model).
Exergy analysis is still developed further and finds its ways into ever more
applications. It is combined with economic evaluation in the field of exergoeco-
nomics (Tsatsaronis 1999; Rosen 2010), and it is also used within the field of
life-cycle assessment (Cornelissen 1997; Cornelissen and Hirs 2002; Dewulf and
van Langenhove 2002a, b; Stewart and Weidema 2005; Bösch et al. 2007). Also
entropy analysis is applied to life-cycle assessment (Gößling-Reisemann 2011).
8 Summary
Exergy and entropy analysis have experienced a great success in application

throughout the recent decades in the fields of chemical engineering, energy con-
version, and general technological design. However, there were comparatively less
applications as an approach toward measuring resource consumption. Resource
consumption is most often discussed within the field of life-cycle assessment (LCA),
a highly standardized methodology for assessing environmental impacts of products
and services. Despite decades of methodological development of LCA and at least
20 years of successful application of this methodology, there is still no consensus
on what resource consumption really is and how it should be included in LCA. The
main reason seems to be the high data requirements for thermodynamic analysis
in combination with the wide scope of typical LCA applications. First steps in
building a basis for future thermodynamic analysis in LCA have been made, for
example, by adding exergy values of natural resources to an LCA database (Bösch
et al. 2007), but the use of this data is still demanding and far from common
practice. Combining LCA databases with more general thermodynamic databases
might be another approach which might lead to a more widespread use of the
thermodynamically defined concept of resource consumption in LCA (cf. Gößling-
Reisemann 2011). Still, exergy and even more so entropy remain rather abstract
measures and need to be better communicated as valuable concepts for assessing the
material side of sustainability to a broader audience, especially engineers concerned
with sustainability.
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Publisher’s Erratum to: Sustainable PSS
in Automotive Industry
Owing to a mistake on the part of Springer the affiliation and address of

Prof. Dr.-Ing. Christoph Herrmann, corresponding author of Chapter 40, was wrong
in the initially published version.
The correct affiliation and address is:
Technische Universität Braunschweig, Institut für Werkzeugmaschinen und
Fertigungstechnik (IWF), Braunschweig, Germany
The online version of the original chapter can be found at http://dx.doi.org/10.1007/978-1-4020-

8939-8 56
J. Kauffman, K.-M. Lee (eds.), Handbook of Sustainable Engineering, E1

DOI 10.1007/978-1-4020-8939-8 130,
Index
A B
ABB, 715, 717, 718 Backcasting, 749–769
Abscission layer, 1258–1260 Backcasting analysis, 755, 761–762, 767, 768
Access to energy, 979–989 Backcasting methodology
Adhesion, 1250–1258 applied at the Dutch STD program, 754
Advanced materials research, 1147 applied in the international Sustainable
Advanced technologies, 1150 Households project, 754
Agriculture, 197, 199, 203, 207, 249–252, Balanced sustainability scorecards, 708
254, 255 Ball milling, 525, 527–530
Algorithm of inventive problem solving Banki or cross-flow turbine, 961
(ARIZ), 453, 455 Behaviour, 773–791
All-electron mixed-basis approach, 1218–1233 Beneficial, 1158–1159, 1161
Alternative materials, 1189–1200 Beyond compliance strategy, 866, 868
Aluminum hydroxide, 1206–1207, 1211 Bill of material (BOM), 373, 375, 387
Analytical tools and methods, 755, 756 Binary hydrate, 1217–1218, 1234, 1238, 1239,
AO. See Atomic orbitals (AO) 1242, 1244, 1246
Apple, 711, 716 Binder removal, 526–530, 533, 535, 538, 539
Archimedes screw, 946, 961–962 Bioavailability, 139, 142, 144, 146, 148, 158
Architectural innovations, 824–826 Bio-energy, 92, 96, 98–104, 927–929, 931,
ARIZ. See Algorithm of inventive problem 932, 937–939
solving (ARIZ) Bio-energy good practices, 977–1014
Arsenic, 182–193 Biofuels risks and opportunities, 986, 987
metabolism, 192, 193 Biological monitoring, 191–193
toxicity, 183, 186–190, 193 Biomagnification, 150, 155, 156
Articulations, 883, 887, 888, 892, 893 Biomass, 927–939
Assembly/disassembly, 711, 714 Biomimetics, 451–468, 1249, 1256–1258,
Assessment of the needs, 897–899, 912–913, 1260
916, 917 Bioplastics, 1204, 1205, 1211–1213
Atomic orbitals (AO), 1221–1223, Blue water, 849
1228–1229 BMW, 710
dispersion coefficients, 1230–1231 BOM. See Bill of material (BOM)
oscillator strengths, 1228–1229 Bonding, 1250–1256, 1258–1260
Attitudes, 96, 97, 106, 109 Brand strategy, 717
Audi, 711, 719 Brominated material, 304, 305, 307, 320, 321
Automotive, 723–740 Buildings, 693, 694
Axial age, 908 Bulk, 1177–1183, 1185
Axial period, 905 Business, 747–748
Axial period of human history, 904 activity, 619–621, 623, 629–630

DOI 10.1007/978-1-4020-8939-8,
1288 Index
models, 598, 604, 611, 859–878 Compact fluorescent lamps (CFLs), 820
practices, 401–404 Compact unit, 213, 220–225,
strategy, 708 227–241, 243
Complexity, 92, 96, 98, 494–496, 498,
501–504, 516, 517
C Complex societal problems, 753, 769
CAI. See Computer-aided innovation (CAI) Component structures, 502, 508–511, 514
Capacitance, 1149–1150, 1152, 1161, Computational materials science, 1192–1194,
1164–1169, 1171, 1172 1200
Capacitor, 1149–1172 Computational support, 635–638, 650
Capacity training, 897, 913–915, 918 Computer-aided innovation (CAI), 451–468
Capital goods, 272, 282 Concentrated solar power (CSP), 1067–1072,
Carbon footprint, 262, 266, 847–848, 851, 1088, 1089, 1099–1100, 1104
853, 855 Concentrated solar thermal, 1075–1076,
Carbon footprint methodology, 848 1086–1087, 1089
Carbon source, 1160–1161, 1163, 1172 Conductive polymer, 1160, 1168
Carry-over parts, 494, 495, 509, 511, 514, Constructive Technology Assessment, 833
516, 517 Consumer products, 272, 275, 282
Car sharing, 727, 730–733, 735, 739, 740 Consumption, 575–594, 775–778, 780–782,
Case base, 629, 631 784, 785, 787, 788, 790,
Case studies, 33, 46, 47 1263–1281
Casida approach, 1219–1221, 1233 Consumption efficiency, 578, 582
Casimir-Polder integral, 1230, 1233 Context, 775, 777, 778, 781, 786–791
Cathode materials, 1150, 1153–1164 Contradiction, 452, 454, 460
Causal-loop diagram (CLD), 618–620, 623, Contribution analysis, 374, 383, 385, 386
625–630 Control dilemma, 820
Cause-effect pattern library, 617, Control system, 951, 962, 968
621–627, 630 Conventional hydropower, 942–946, 948–949,
CBA. See Cost-benefit analysis (CBA) 951, 963
CED. See Cumulated energy demand (CED) Conventional products, 1204
CFLs. See Compact fluorescent lamps (CFLs) Copper, 1263–1281
Change, 773–791 Copper recovery, 315–316, 319
Change across the curriculum, 8, 15 Corporate social responsibility, 433, 437,
Charge/discharge, 1150, 1161–1164, 1167, 438, 448
1169 Cost accounting, 355, 359, 368
Chemical applications, 1159, 1172 Cost-benefit analysis (CBA), 842
Chemical industry energy footprint, 847 Cost calculation, 353, 365
Chemical potential, 1235, 1236, 1239, Costs, 270, 271, 273–276, 278–280,
1241–1243 414–416, 418, 419, 421, 425, 710,
Chiapas, 163–179 713–716
Chlorine, 117–135, 163, 164, 167, 172–173, Courtesy of ArvisSolar Ltd., 1081
177, 178, 214, 218, 223, 225–228, Covenants, 875–876
230–234, 237–243 Criteria and indicators, 996, 997, 999–1012
Citizens, 797, 799, 808–813 CSP. See Concentrated solar power (CSP)
City planning, 251 Cultural institutions, 897, 900, 903,
Clathrate hydrate, 1217, 1218, 1233–1246 909, 915
CLD. See Causal-loop diagram (CLD) Culture, 91–109
Clients, 794, 798–802, 804–806, 809, Cumulated energy demand (CED), 1269
810, 813 Currents, 942, 943, 947
Climate change, 692, 694, 698, 701 Curriculum change, 15
Clothing, 693–695, 697, 699, 701 Curriculum reform, 68, 70–72
Coating technique, 1160, 1172 Curtailment, 776, 777, 784, 785
Co-creation, 602 Customers, 410–419, 421, 425
Collaboration, 92, 94–97, 106, 108 Cyanide gold plating, 304, 310–312, 321
Index 1289
D Direct utilization, 1020, 1021, 1025, 1040

Data availability, 852–854 Discharge, 942, 944, 947, 948, 950, 951,
Decentralization, 251–253, 256 954–957, 961–962, 964–967,
Decentralized renewable energy 970, 971
technologies, 753 Discharge process, 1150, 1152, 1161–1164
Deciduous tree, 1258 Discrete event simulation, 638
Decision making, 198, 206–208, 253–255 Dispersion coefficient, 1219, 1230–1233
Decoupling, 93, 700 DJSI. See Dow Jones Sustainability Index
Decoupling economic growth, 750 (DJSI)
DEEDS. See Design education and DMM. See Domain mapping matrix (DMM)
sustainability (DEEDS) Documentation, 410–412, 415, 418, 423
Defect structure, 1181, 1182 Domain mapping matrix (DMM), 499, 500,
Definition, 328, 333, 335, 336 504, 517
Definition of the characteristics of the site, Doped ceria, 1177–1183
965–967 Dose indicators, 190
Demand, 899, 913 Dow Jones Sustainability Index (DJSI), 868,
Demand-side management (DSM), 773–791 872, 873
Design, 395, 402, 404–407, 576–594, 707–719, Durable products, 1203–1213
1110, 1114, 1122, 1125–1129, 1131,
1135, 1141
education, 577, 587, 593 E
engineering, 707–719 Early stage of product development, 285, 286
paradox, 674–675 Earth system, 196, 197, 199–204, 206–208
strategies, 272, 273, 276, 278, 279, 282, Earth system engineering, 195–208
283, 715, 717 Eco-branding strategy, 866, 868
Design education and sustainability Eco-business, 471–490, 615–631
(DEEDS), 577 case base, 472–475, 488
Design for Environment (DfE), 286–290, idea, 471–490
292, 294, 296–299, 473, 576, 580, rule, 472, 473, 475, 481–486, 490
584, 585 Eco-design, 269–284, 286, 372, 384, 386, 387,
Design for Recycling (DfR), 269–271, 276, 416, 418, 420, 425, 577, 584, 586,
279, 282, 283, 410, 417–421, 598, 599, 604, 605
423–425 Eco-design strategy, 262, 263
Design for Sustainability (DfS), 545–547, Eco-efficiency, 519–539, 576–581, 584,
575–594 588–590
Designing PSS, 599–610 Eco-efficiency strategy, 866, 867, 869
Design structure matrix (DSM), 496, 499, Ecoinnovation materials for energy and
500, 517 resources, 1147
Design tools and methods, 755, 756 Ecological footprint (EF), 842, 845–846, 855
Desirable futures, 751, 753, 754, 756 Ecological footprint (EF) metrics
Desirable future visions, 754 (footprints), 842
Detachment, 1250–1259 Ecomaterials, 1145
Deterioration behavior, 640, 644 Economic and societal crisis, 199, 200, 203,
Developing countries, 182, 186, 189 204, 207, 248, 253–255
Development, 1110, 1113–1115, 1117, 1133, Economic impact, 115
1135, 1136, 1141 Economics, 1114, 1134, 1136–1141
DfE. See Design for Environment (DfE) Eco-packaging, 262, 267
DfR. See Design for Recycling (DfR) Eco-product, 471–490, 617–618, 621
DfS. See Design for Sustainability (DfS) Eco-products & ecoservices social
Diagonal, 957, 960, 962, 967 technology, 1148
Diagonal turbines, 957, 960, 967 Ecoprofile, 269, 273, 276, 279–281
Diesel particulate filter, 524–529, 534, Eco-sustainable packaging, 326, 328,
535, 538 337–340
Dilemmas, 882, 883, 888, 893 Ecosystem crisis, 205, 207, 253, 255
1290 Index
Education, 54–58, 63–65 Entrepreneurship, 860–873, 878

Education for sustainable development, 81–83, Entropy, 1264, 1268–1281
88, 89 Entropy production, 1264, 1267, 1268,
Education for sustainable future, 54, 64 1270–1281
EEE. See Electrical and electronic Environment, 1115–1116, 1139, 1141
equipment (EEE) Environmental
EF. See Ecological footprint (EF) aspects, 270, 278, 282, 411, 418, 423
Effects, 454, 455, 457, 459–467 cost leadership strategy, 866, 869
Efficiency, 578–580, 583–586, 644, 645, friendly PCB material, 304–310
648, 654–657, 708, 710, 714–716, impact, 324, 326, 328, 335, 337–342,
774–780, 782–785, 789, 790, 344–346, 348, 349, 520–524, 526,
960–962, 964–971 528, 530, 531, 535–539, 673,
EF overshoot day, 845 676, 682–683, 724, 727, 729,
EIA. See Environmental impact assessment 732–735
(EIA) management, 352, 355, 362, 364, 368
ELCD. See European Reference Life Cycle management accounting, 352, 362
Database (ELCD) monitoring, 191, 193
Electrical and electronic equipment (EEE), risk, 140, 149–150, 152
693, 696 strategies, 326, 335, 337–339,
Electric charges, 1151, 1166 346–348
Electric double layer, 1151–1152, 1165, 1167 VOC, 287–291, 293–295, 299, 300
Electric grid, 164, 172, 174 Environmental impact assessment (EIA),
Electricity, 928–939 842, 851
Electricity generation, 1024 Environmentally conscious design, 436
Electrochemical process, 1150 Environmentally friendly, 1151, 1153, 1156,
Electrode, 1150–1172, 1175–1183 1157, 1164, 1167, 1172
Electroless copper plating process, 304, Environment-conscious materials, 1145, 1148
312–314, 321 EPR. See Extended Producer Responsibility
Electronic conductivity, 1159–1160, (EPR)
1164–1166 Equilibrium of values, 902–904, 917
Electronic equipments, 1204–1209, 1211 European Reference Life Cycle Database
Electronics, 1258 (ELCD), 853
Embed results & stimulate follow-up, 755, Excitation energy, 1219–1220, 1230–1233
764–766, 768 Exergy, 1264, 1270–1272, 1278–1281
Emergency, 163–179, 212, 214–244 Exergy destruction, 1270–1272, 1278
Emission factor, 374, 384, 386 Extended Producer Responsibility (EPR), 288,
Emissions, 1055–1059, 1063 437, 850
Emission trading, 874–875
End-of-life, 671, 672, 676, 677, 679–680, 687
End-user, 775–779, 783–790 F
Energy, 773–791, 978–990, 992, 995, 996, Feature-bases structures, 505
1013, 1264–1275, 1278–1281 Filtration, 119, 122, 124, 212, 214
conservation, 753 Flame retardants, 303–307, 316, 320, 321
crisis, 199, 255 Follow-up agenda, 755–757, 762–764,
education, 55–57, 62 767–769
efficiency, 352, 354, 359, 360, 428, 430, Food, 693–696, 698, 701
436, 438, 439, 446, 749–750 Food item, 190, 191
footprint, 846–847, 855 Framework, 724, 735, 737–739
forecasting, 753 Francis, 957, 962
and material-efficient machines, 36, 44 Francis turbine, 946, 956, 957, 967
vectors, 1043–1063 Fuel cell materials, 1175–1185
Engineering, 707–719 Functional
Engineering education, 67–76 component, 272–274, 276, 283
Enterprise integration, 428, 431 interfaces, 502, 516, 517
Index 1291
structures, 497, 510, 514 Groundwater, 116, 181–193

unit, 331, 373–376 Group decision-making stress method, 552,
Functionality, 670–672, 675, 676, 678, 553, 572
680–681, 687 Growth, 1110, 1111, 1141
Functions, 324, 326, 328, 330–336, 338, Guarantee, 411, 413, 415, 418
340–349, 453–455, 458–468 GWP. See Global-warming potential (GWP)
Future alternatives, 753, 755, 762–764, 769
Future vision(s), 751, 752, 754–757, 760–761,
763, 766–768 H
Halogen free, 303–307
Hazard quotient approach, 151–154
G Health risks, 252
Gabi software, 853 Heat pumps, 1025–1026, 1040
Gallium, 1258, 1260 Heat radiation plate, 520, 532, 533, 536, 539
Gaza, 117–135 Heat release issues, 1209, 1211
Gecko, 1250–1258, 1261 Heidelberg, 711, 712, 715, 719
Generalized, 328, 330, 331, 333, 336–340, Helmholtz free energy, 1236
344–346 Herrmann, Moeller und Partner, 719
Generalized stresses, 330, 333, 337 HEV. See Hybrid electric vehicles (HEV)
General university requirements, 16 Higher education, 80, 81
Generators, 651, 942–947, 962, 967, 970, 971 Higher order effects, 819
Genetic algorithm, 565, 570 High-performance, 1152, 1163, 1171
Genetic susceptibility, 186 High-power, 1150, 1152, 1153
Geo-engineering, 201, 203 High purity, 1157
Geometrics interfaces, 493, 495, 508, 511 History of values, 903–905, 908
Geothermal, 1019–1042 Human dimension, 201, 207, 252
energy, 1019–1042 Humanware, 898
potential, 1031, 1034, 1035, 1041 Hybrid electric vehicles (HEV), 1150–1152
power plant, 1024, 1041 Hydro-electricity, 964, 971
reservoir, 1022–1024, 1029–1036, 1041 Hydrogen storage, 1217–1219, 1233–1245
systems, 1020, 1022–1024, 1029–1035, Hydropower, 942–964, 971, 973
1041 Hydrothermal, 1155–1157, 1159, 1172
GHG. See Greenhouse gases (GHG)
Gibbs free energy, 1236
Gildemeister, 711, 715 I
Global crises, 197–202, 205, 207, 255 IC package, 286, 296–299
Global cumulative installed PV capacity Ideal Ecobusiness (IEB), 617, 620–623, 625,
through 2010, with market share 626, 630
(%), 1094 Ideal final result (IFR), 454, 455, 465, 466
Global environmental policies and legislation, Ideality, 452, 454, 455, 461, 463, 466, 468
302–304 Ideology, 745
Global-warming potential (GWP), 384, 386 IEB. See Ideal Ecobusiness (IEB)
Goals for backcasting studies, 756 IEC 62 430, 271, 282, 283
Grain boundary, 1182, 1185 IFR. See Ideal final result (IFR)
Graphene, 1153, 1164–1172 Impact, 1115–1116, 1118, 1119, 1139, 1141
Gray water, 849 Impact assessment, 827–833
Green economy, 92, 93, 98 Impact of backcasting, 754
Greenhouse gases (GHG), 372–375, 384–387 The Impact of GHG, 372–375, 384–387
Greenhouse gas protocol, 847 Inclusion compounds, 1217–1219, 1245
Green printed circuit board (Green PCB), Incremental innovations, 824, 826–827
262, 266 Individual, 775, 778, 780–782, 786, 787, 790
Green Revolution, 898 Industrial
Green supply chain, 430, 433–435, 446, 448 design, 711, 719
Green water, 849 ecology, 750, 753
1292 Index
metabolism, 850 LCI. See Life cycle inventory (LCI)

transformation, 750 LCS. See Life cycle simulation (LCS)
Industrial product service system (IPSS), 617 LD. See Lattice dynamics (LD)
Industry, 723–740 Lead-free PCB laminate materials, 304,
Information technology, 734, 735, 739 307–309
Inforware, 898 Lean production, 439
Innovation, 92–93, 104, 105, 708–717, 719, Learning to learn, 20
881–894 Library, 616, 617, 621–627, 630, 631
impact checklist, 828–833 Life cycle, 324, 328, 330, 333, 335, 337, 338,
journey, 891, 892 344–348, 693–695, 697, 702
Inorganic arsenic, 184–186, 188 design, 472–474, 600, 640, 641, 650
Instruments, 777, 779–791 engineering, 436
Integrated design, 323–349 management, 724, 735–739
Integrated product development (IPD), 675 of the packaging, 328, 331, 348, 349
Integrated product-packaging design, 337 perspective, 670, 671, 673–674,
Integrated product service offering (IPSO), 678, 681
669–687 shared by packaging, 330, 331, 333, 335
integrated service CAD with life cycle thinking, 837–855
simulation (ISCL), 637 Life cycle assessment (LCA), 262, 263, 267,
Interactions, 1218–1219, 1234, 1245 324, 328, 340, 344, 348, 349, 372,
Interface, 1177–1185 382, 383, 387, 430, 437–438, 444,
Intermediary, 776, 780–783, 786–790 837–855
International youth education, 80, 84, 88 Life cycle cost (LCC), 438, 444, 619–621,
IPD. See Integrated product development (IPD) 623–630, 637, 638, 842
IPSO. See Integrated product service offering Life cycle environmental load (LCE), 619–621,
(IPSO) 623–630
IPSS. See Industrial product service system Life cycle inventory (LCI), 372, 374, 382,
(IPSS) 386, 387, 842, 847–849, 852,
Iraq, 211–245 853, 855
ISO 14051, 352, 369 Life cycle simulation (LCS), 546, 633–650
ISO TR 14062, 270, 271, 277, 278, 282 LiFePO4 particles, 1156, 1160
Lighting efficiency, 820
Likely futures, 751
J Listening, 795–796, 798–803, 805–813
Jevons paradox, 820 Lithium ion battery, 1149–1172
Jevons, W.S., 820 Lithium metal oxides, 1153
Just-in-time learning, 24 Lithium metal phosphates, 1153–1155,
1159–1160, 1172
Loss, 352–354, 356–362, 364, 365, 368
K
Kaplan, 946, 960
Kaplan turbines, 946, 957–960, 962, 967 M
Kenaf fiber, 1204–1206, 1211 Maintenance, 672, 675, 676, 678–680,
Knowledge, 576, 577 683–687, 950, 951, 957, 961, 965,
Kuka, 711 969–971
MAN, 711, 714
Management, 708, 710, 711, 715, 719
L Managerial, 598, 599, 602, 608, 609, 611
Ladders, 952 Manufacturing paradigm, 543, 547
Land use management, 203, 253 Marine energy, 942, 943, 947, 973
Lattice dynamics (LD), 1216, 1234–1238 Market, 1068, 1076, 1077, 1086, 1088–1098,
LCA. See Life cycle assessment (LCA) 1100–1102
LCC. See Life cycle cost (LCC) Marketing, 598, 599, 605, 608, 611
LCE. See Life cycle environmental load (LCE) Massachusetts Institute of Technology, 53–65
Index 1293
Material flow cost accounting (MFCA), 262, technoware, 897–898

263, 351–369 Multipurpose schemes, 942, 944, 949, 951,
Material flows, 1264–1275 971, 973
Material intensity per service unit (MIPS), Mutual diffusion, 1182–1184
1269
Materials performance index, 341, 342
MCA. See Multi-criteria analysis (MCA) N
MDGs. See Millennium development goals Nanocomposites, 1153, 1167–1169
(MDGs) Nanocrystalline, 1156–1159, 1163–1164,
MDM. See Multiple-domain matrix (MDM) 1166–1167
Meat alternatives, 750, 752, 754, 757, 759, Nano-domain, 1178, 1179, 1181, 1182
761, 765, 766, 769 Nanoparticle, 1211–1213
Metabolism, 184, 185, 187, 188, 193 Nanorods, 1157–1160, 1162, 1163
Metabolism of arsenic, 192, 193 Nanotechnology, 1146–1148, 1189–1200
Methylation, 184, 186, 187, 189, 193 Natural state, 902
MFCA. See Material flow cost accounting The Natural Step backcasting
(MFCA) methodology, 754
Microanalysis, 1177–1185 NDL. See New designed life (NDL)
Micro-domain, 1178–1181 Need, 897–901, 903–914, 916, 917
Microgravity monitoring, 1035–1036 Needs assessment, 897–899, 912–913,
Micro Hydro Plant, 163, 164, 168–172 916, 917
Microwave-Hydrothermal, 1157, 1159 Net head, 943, 944, 964, 966, 967, 970
Microwave solvothermal, 1157, 1159–, 1160 Network of experts, 48, 49
Millennium development goals (MDGs), 979, Networks, 891–893
980, 995, 996 New designed life (NDL), 412, 413
Mindset, 610, 611, 671–678 Niche innovations, 824, 826
Minor metals, 1189–1191, 1196 Niches, 891
MIPS. See Material intensity per service unit Normative scenarios, 751, 752, 754, 756,
(MIPS) 767–769
MLP. See Multi-level perspective (MLP) Novel protein foods, 752, 757–766, 769
MnO2 -graphene, 1169, 1171 Numerical modeling, 1029–1035, 1041
Mobility, 724–727, 729–733, 735, 739, 740, Nutrients, 189
1043–1063 Nutritional, 188, 189
concepts, 724, 725, 727, 731, 732, 735, Nutritional status, 186, 187, 189
739–740
system, 732, 733
Modeling PSS, 598, 603–604, 610, 611 O
Models of technology transfer, 897, 917 Ocean, 941, 942, 944–950, 963–964
Modularization, 495, 501, 502, 504-506, 509, Ocean energy, 941, 942, 944–950, 963
513, 514, 516, 517 Ocean technology, 944–945, 949–950,
Monodispersed, 1156, 1157 963–964
Morphology, 1155–1158, 1160, 1162–1164, On Site Electro Chlorination (OSEC), 118,
1168, 1172 119, 121–122, 124, 126–133, 135,
Multi-criteria analysis (MCA), 842 163, 164, 167
Multi criteria approach, 270, 272 Organic binder, 529, 530
Multicultural, 79–89 Organizational, 598, 600, 602, 610, 611
Multidisciplinary, 80, 83, 85, 86 Organization of design, 716
Multi-level perspective (MLP), 93 Orgaware, 898
Multiple-domain matrix (MDM), 498–505, Oscillator strength, 1219–1220,
514, 516, 517 1228–1233
Multiple perspective approach, 897–898 OSEC. See On Site Electro Chlorination
humanware, 898 (OSEC)
inforware, 898 Overview, 970–971
orgaware, 898 Oxygen vacancy, 1178, 1181–1184
1294 Index
P Possible futures, 751

Packaging, 323–349 Potential, 1153, 1155, 1161–1163, 1165, 1168
definition and typologies, 324, 328, 330, Potential of ecodesign, 36–44
331, 335, 337, 338 Power plant, 946
design, 324, 326, 328, 331–338, 340, PPPs. See Public private partnerships (PPPs)
345–348 Printed-wiring board (PWB), 296, 298, 299
design specifications, 331–333, 338 Process improvement, 360, 364, 368, 520, 523,
engineering, 328 524, 528–532, 536–539
functional unit, 331 Processing, 576–578, 581, 583, 585–587, 589,
functions, 326, 330–331, 341, 342, 591–594
345, 346 Processing route design, 1177, 1180–1182,
life cycle, 328, 329, 331–335, 337, 338, 1185
340, 344–349 Product carbon footprint (PCF), 371–387
typologies, 324, 328, 330, 331, 338 Product design, 270–272, 277–279, 282
waste, 324–327, 337 Product development, 672–676, 678, 708, 710,
PANI/graphene, 1153, 1168, 1169, 1172 713–717
Paradox, 820 Product efficiency, 579, 580, 584
Participatory backcasting, 754–757, 766 Production, 576, 578–591, 593
Participatory tools and methods, 756 Product life cycle assessment (PLCA),
Parts, 1110, 1120–1122, 1126, 1129 371–387
Passenger transportation, 725, 730, 733, Product-packaging system, 326, 328–331, 333,
739, 740 335–337
Pattern, 454, 460 Product service systems (PSSs), 472–474,
PCF. See Product carbon footprint (PCF) 485, 543–547, 597–611, 633–650,
Pedagogy, 83–85 653–667, 670, 697, 702, 703,
Pelton, 956, 957 723–740
Pelton turbine, 944, 946, 956–958, 962, 963, design, 599–610, 634–638, 640, 641, 650
967–970 life cycle, 724, 727, 728, 730, 735–740
People planet profit, 862, 863 life cycle management, 724, 735–739
Performance indices, 342 Products made from waste PCBs, 320–321
Performance-oriented business, 637 Product specification, 674
Petroleum-based plastics, 1204 Profit, 716
PEV. See Pure electric vehicles (PEV) Programmes, 775, 776, 780–786, 788, 790, 791
Phase diagram, 1218, 1233–1245 Project based learning, 58, 64
Photovoltaics (PV), 1067, 1071, 1079–1084, Project management, 445
1088–1089, 1092–1095, 1097–1099, Protective packaging, 328, 330, 335, 336,
1102–1104 340, 341
Physical artifact, 671, 678 Provision efficiency, 578–580, 589
Physical interfaces, 516, 517 Pseudocapacitance, 1153, 1164, 1166–1169,
Physical resource interactions, 842 1171
Physical resource life cycle thinking (PR life Pseudo-satisfiers, 583
cycle thinking), 843, 851 PSSs. See Product service systems (PSSs)
Plane waves (PW), 1219, 1221–1223 Public private partnerships (PPPs), 876–878
Planning guidelines, 48 Pure electric vehicles (PEV), 1150
Plant, 282, 283 PV. See Photovoltaics (PV)
Platelets, 1157, 1159 PV market, 1093, 1098
PLCA. See Product life cycle assessment PW. See Plane waves (PW)
(PLCA) PWB. See Printed-wiring board (PWB)
Pollution, 116
Polyanilines, 1166, 1168–1170
Polylactic acid, 1203–1213 Q
Polysaccharide, 1212 QFDE. See Quality Function Deployment for
Population density, 137, 138 Environment (QFDE)
Porous metal/oxide, 1166–1167 Qualified-as-good-as-new (quagan), 409–425
Index 1295
Quality, 410–413, 415, 417, 418, 425 Restriction of hazardous substances (RoHS),
Quality Function Deployment (QFD), 285–300 302, 303, 307, 321
Quality Function Deployment for Environment Return on sustainability (ROS), 715
(QFDE), 262–264, 285–300 Reuse, 116, 326, 335, 337–339, 345, 347,
Quality management, 355 409–425
Quality of life, 579–581, 585 Reuse (Quagan), 265
Quantitative evaluation, 635 Reuse and recovery strategies, 339, 345, 348
Quantitative reduction, 324, 326, 337, 339, Reverse pump, 961
346, 348 Reverse supply chain, 434
Quantity, 352, 353, 355–363 Risk assessment (RA), 842
Risk management, 429, 436, 440–442, 447
Road mapping, 754
R RoHS. See Restriction of hazardous substances
RA. See Risk assessment (RA) (RoHS)
Rapid, 1150, 1153, 1156–1157, 1160 RoHS Directive, 416
Rare earth elements, 1189–1192, 1197 Room temperature bonding, 1254
R&D. See Research and development (R&D) ROS. See Return on sustainability (ROS)
R&D agendas, 752, 768–769 Routine, 776–777, 780, 782, 783, 785, 789
Reactive sintering, 520, 536, 539
Rebound effect, 820, 827
Recovery, 326, 335, 338, 339, 345, 348 S
Recycle-based society, 430, 437 Sacred order, 904
Recycling, 324, 326, 335, 338, 339, 345, Safety factor, 336, 337
347, 348 Sample curriculum, 10, 15, 16, 21
method, 304, 317–320 Sanitation, 251–253
of scrapped PCB, 316–321 Satisfier, 577–580, 582, 583, 586, 588–591
Reduction, 326, 337, 338, 342, 343, Satisfier efficiency, 580, 581, 584–586
345, 348 SCALES, 577, 588–592
Reference flow, 374–376, 379–382, 384 Scenario methodologies, 751
Reflexive, 745 Scenarios, 749–769
Registration, Evaluation, Authorization and SCP. See Sustainable consumption and
Restriction of Chemicals production (SCP)
(REACH), 302, 321 SD. See Sustainable development (SD)
Rehabilitation, 119, 120, 211–245 SEA. See Strategic environmental assessment
Reliability, 412, 422 (SEA)
Remaining working life, 412, 418 Secondary batteries, 1151, 1152
Remanufacturing, 262, 265, 610, 611, 672, Secondary market processes, 390–392
679, 680, 683–685 Second law of thermodynamics, 1267–1274
Renewability, 1022–1024, 1043–1063 Security system, 951, 963, 969
Renewable and biodegradable materials nature Self-cleaning, 1250, 1256
technology, 1147 Service, 549–573, 598–611, 669–687
Requirement analysis, 551–558, 572 complexity, 733
Requirements, 671, 676–678, 680–683, conceptual design, 551, 552, 558–561, 572
685, 686 design, 653–657, 659, 661–667
Research, 1135 design process, 551–552, 572
Research and development (R&D), 91–109, detailed design, 551, 552, 565, 572
598, 611 engineering, 546, 550–572, 600, 654,
Resilient enterprise, 430 662, 667
Resources, 452, 454, 455, 461, 463, 465, Explorer, 665–667
1263–1281 life cycle, 737
allocation, 550, 551, 561–566, 570–572 life cycle management, 737
consumption, 1263–1281 Service CAD. See Service computer-aided
depletion, 692, 694, 701 design (Service CAD)
efficiency, 364 Service-centered design, 653–667
1296 Index
Service computer-aided design (Service CAD), Spin-off of backcasting, 754, 765

550, 551, 635, 637, 663–667 Stakeholder learning, 754, 756
Servitization, 653, 727, 729, 732, 740 Stakeholders, 92, 95, 97–99, 101, 102,
Sewage treatment, 115 104–109, 776, 779, 781–783, 786,
Shape memory, 1204, 1207–1209, 1211 788–790, 801–803, 805, 813
Shifts towards sustainable consumption and Standards for lead-free PCB laminates,
production systems, 750 308–309
Short reaction, 1156, 1157 STD program. See Sustainable technology
SHP. See Small Hydropower (SHP) development (STD) program
SI. See Systematic innovation (SI) Storage, 1044, 1047–1055, 1062
Silicon nitride, 520, 536, 537, 539 Strategic design, 715
Simapro, 853 Strategic design engineering, 712, 715
Simulation, 1029–1032, 1034, 1041, Strategic environmental assessment (SEA),
1183–1185 842
Sintering, 525, 528–531, 533, 535–537, 539 Strategic land use mapping, 991–994, 1013
Skills, 576, 586, 589–591, 593, 594 Strategic problem orientation, 755, 758–760,
Small Hydropower (SHP), 942, 944, 946–965, 766, 768
971–974 Strategies, 324, 326, 331, 335, 337, 338,
Small hydropower plant, 942, 951 347, 348, 745, 747, 748, 860, 861,
Social, 775, 777–786, 788, 790 864–870, 874, 878
context, 578, 581, 588 of environmental, 326, 335, 337–339,
resource interactions, 842 346–348
Socio-technical, 777–780, 784–786, 788–791 of quantitative reduction, 326, 337, 339,
map, 827, 828 346, 348
systems, 750, 751, 761, 766 of quantitative reduction and reuse, 326,
Sodium, 119, 121, 124, 126, 127, 129, 337, 348
133, 135 of reduction, 338, 345, 348
Soft energy paths, 753 Stresses, 330–336, 346
Software, 270, 272, 276, 279–283, 410, 415, Structural analysis, 496, 499, 506–509, 511,
418, 421–425 514, 516, 517
SoIS. See Sustainability-oriented Innovations Structural complexity management, 262, 263,
Systems (SoIS) 266, 267, 493–517
Solar Subsidies, 870, 871, 874, 875
cooling, 1066–1069, 1071–1079, 1084– Sugarcane, 928–933, 935–939
1088, 1090–1092, 1095–1097, Supercapacitors, 1164–1169
1100–1102, 1104 Supercritical water, 1160, 1163
electricity, 1067–1072, 1075, 1077–1080, Super-structure, 1182–1184
1082–1085, 1088–1089, 1091, Supply chain, 352, 354, 357, 364–368
1093–1097, 1099–1104 Supply chain management, 261–263, 427–448,
energy, 1065–1104 598, 600, 611
energy market, 1068, 1076, 1077, 1086, Supply/use efficiency, 579, 582, 584, 586
1088–1098, 1100–1102 Sustainability, 54–56, 59, 61–65, 73, 75, 76,
thermal, 1066, 1069–1079, 1084–1089, 195–208, 247–256, 576–579, 581,
1091, 1096, 1097, 1099, 1101–1104 583–594, 691–703, 1029, 1034,
Solid electrolyte, 1176–1184 1041, 1044, 1046, 1062
Solid oxide fuel cell (SOFC), 1176, 1177, appraisal, 995, 1013
1180, 1182–1185 definition, 707–710
Solvothermal, 1153, 1155, 1156, 1158–1160, education, 56, 64
1172 leadership, 81
Spare parts, 412, 414, 417, 420 Sustainability-oriented Innovations Systems
Specifications, 326, 328, 331–336, 338, (SoIS), 92–93
342, 344 Sustainable, 115–122, 134, 163–179, 211–245,
Specific hydraulic energy, 943, 944 1150, 1153
Specific power, 1118 automotive PSS, 723–740
Index 1297
bioenergy, 985–991 strategy, 745, 747, 748, 882, 886

consumption, 543–547, 575–594, 598, 599, transfer, 895–918
691–703 Technology & society, 745–747
design, 451–468, 707–719 Technoware, 897–898
design engineering, 707–719 Telematic, 731, 733–736, 738–740
economic growth, 92, 93 Test procedures, 418
engineering, 67–76 Theory of Inventive Problem Solving (TRIZ),
enterprise, 428–430, 436, 440–442, 448 264, 265, 451–468
future, 1065–1104 The Pelton turbine, 946, 967–969
innovation, 749, 752 Thermal diffusion, 1204, 1209–1211
lifestyles, 692, 697–701 Thermodynamics, 56–62, 1263–1281
management, 364, 369 Third-order effects, 820
manufacturing, 261–263, 265, 390, Tidal, 942, 946, 947, 949, 951, 963
392–393, 407, 435, 448 currents, 942–945, 947, 948, 963,
principles, 999–1012 964, 974
production, 575–594, 598, 599 currents plants, 951
production and consumption, 543–546 turbine, 947, 963, 964
products and services, 701 Tide, 942, 946, 947, 951
society, 429, 435–436, 441, 445, Time-dependent density functional formalism
446, 448 and the local density approximation
supply chain, 427–448 (TDLDA), 1219–1220, 1233
value innovation, 866–867, 869–870 Toaster, 375–377, 380–382
Sustainable consumption and production Tohoku mised-basis orbitals ab-initio program
(SCP), 692, 697, 701 (TOMBO), 1231, 1233, 1237
Sustainable development (SD), 794–800, 802, Toolbox for backcasting, 755
803, 805–813, 928, 932 Tools and methods for management,
Sustainable technology development (STD) coordination & communication,
program, 749–769 755, 756
Systematic innovation (SI), 451–468 Total performance analysis, 520–524, 530,
Systemic changes, 750 532, 538, 539
Systems, 271–279, 281–284 Total performance indicator (TPI), 262, 264,
boundaries, 845, 847, 852–853 471–490
design for environment, 439 Toxicity, 182–190, 193
engineering, 445, 447 Toxicological methods, 137–159
engineering approach, 137 Toxicology, 115, 116
innovations, 885, 892–893 Toxic solvent, 304, 309–310
views, 499, 504 Toyota, 710
TPI. See Total performance indicator (TPI)
Traffic management, 734
T Transdisciplinary, 55, 56, 64, 91–109
Take back, 417–419, 421, 425 Transilience map, 824
Tank to wheels analysis, 1056, 1057 Transition management, 751, 754, 890–891
Taxonomies for sustainability, 10, 28 Transitions, 750, 751, 754, 768, 769, 888,
TBL. See Triple bottom line (TBL) 890–891
TBL approach, 840–842 Transport, 693, 694, 698, 701
Technical evolution, 454, 455, 463, 464 Trend extrapolations, 751, 753
Technological innovation systems, 892–894 Trends, 454, 455, 457, 460–464
Technological systems innovations, 824–827 Tribal organization, 903
Technology Triple bottom line (TBL), 862, 863
assessment, 820–821, 833, 898, 899 TRIZ. See Theory of Inventive Problem
criticism, 819, 821 Solving (TRIZ)
and education, 69, 71, 73–76 Turbine, 164, 165, 170–177, 942–947, 951,
management, 745–748 953–965, 967–968, 970–972
policy, 745–748 Types of scenarios, 751
1298 Index
U Water
Undergraduate research, 62–64 disinfection, 212, 214
University-level change, 15 energy, 941–974
Upcoming instruments, 1203 and food crisis, 199, 200, 207, 248, 253,
Use efficiency, 579, 580, 586 255
User behaviour, 750 intake, 951, 953, 954
Users, 797, 801, 802, 804–807, 810, 813 networks, 946, 949–951, 959, 961
User value (UV), 474, 475, 477–482, 486–488, quality, 118, 122–124, 132
619–623, 626, 627, 630 reuse, 248–252, 255, 256
Utility value, 521, 522 stream, 941, 942, 947–952, 964, 971
UV. See User value (UV) sustainability, 137, 138, 159
treatment, 119, 121–124, 126, 129, 133,
163, 171
V treatment plant, 213, 220–225, 227, 228,
Value chain, 372, 374, 384, 386, 387, 431–433 241–242
Values, 91–109, 599, 600, 603–607, 609–611 Water footprint (WF), 847–849, 853, 855
van der Waals (vdW), 1219, 1233, 1245 Wave, 942, 945, 947, 964
force, 1250, 1253, 1254, 1256 WBCSD. See World Business Council for
interaction, 1218–1233 Sustainable Development (WBCSD)
van der Waals-Platteeuw (vdWP) theory, Wearable devices, 1203
1232–1234, 1245 WEEE. See Waste electrical and electronic
vdW. See van der Waals (vdW) equipment (WEEE)
Vehicle, 1046, 1055–1063 WEEE Directive, 415, 416
Virtues, 903, 910 Well to tank analysis, 1056, 1057
Visions, 751, 752, 754–757, 760–761, 763, Well to wheel analysis, 1056–1058
766–768 Wet jet milling, 529, 530, 539
VOC. See Voice of customer (VOC) WF. See Water footprint (WF)
Voice of customer (VOC), 287–291, 293–295, Wind energy, 1110, 1112, 1113, 1116–1120,
299, 300 1136, 1139, 1141
Voltage window, 1162, 1164, 1166 World Business Council for Sustainable
Development (WBCSD), 838, 847
World installed capacity, 1020, 1021, 1027,
W 1040
Waste electrical and electronic equipment
(WEEE), 302, 303, 316, 321
Waste Framework Directive, 416, 422 Z
Waste from packaging, 324–327, 337 Zugspitze declaration, 196, 202, 203, 205

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Handbook of Sustainable Engineering Compressed

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Joanne Kauffman

With 429 Figures and 123 Tables

ISBN 978-1-4020-8938-1 ISBN 978-1-4020-8939-8 (eBook)

© Springer Science+Business Media Dordrecht 2013

Printed on acid-free paper

Springer is part of Springer Science+Business Media (www.springer.com)

The Handbook of Sustainable Engineering developed from a shared concern of

3. Ensuring sustainable production and products

March 2013 Joanne Kauffman

Joanne Kauffman Integrated Research System for Sustainability Science,

Joanne Kauffman is retired Principal Research Scientist from the Massachusetts

Kun-Mo Lee Department of Environmental Engineering, Ajou University, Suwon,

Kun-Mo Lee received PhD in Environmental Engineering from the University of

“Ecodesign – The Competitive Advantage” both by Springer in 2004 and 2010,

Roger Baud ACTIS – Activating Talent in Sustainability, Zürich, Switzerland

Keith R. Cooper Department of Biochemistry & Microbiology, Rutgers, The State

Kun-Mo Lee Department of Environmental Engineering, Ajou University, Suwon,

Karel F. Mulder Technology Policy and Management, Delft University of

Fabio Orecchini Interuniversity Research Centre for Sustainable Development,

Atsushi Suzuki Department of Materials Science & Research, Institute of Environ-

Yasushi Umeda Department of Mechanical Engineering, Graduate School of

Section I Education and Outreach .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1

5 Teaching Old Disciplines New Tricks: Sustainable

6 Youth Encounter on Sustainability: A Transdisciplinary,

Section II Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 113

9 Chlorine Self-Production Plant Solution for Effluent

Section III Sustainable Products and Sustainable Production . . . . . . . . . . . 259

22 Product Life Cycle Assessment (PLCA) and Product

Section IV Sustainable Product Service Systems and

35 Life Cycle Simulation for Sustainable Product Service

Section V Policy and Decision-Making .. . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 743

47 New Business Models for Sustainable Development . . . . . . . . . . . . . . . . . . . 859

Section VI Energy Sources of the Future . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 921

Section VII New Materials.. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 1143

61 Alternative Materials Development Utilizing Advanced

Fumiya Akasaka Tokyo Metropolitan University, Tokyo, Japan

Aline Choulot Mhylab, Mini-Hydraulics Laboratory, Montcherand, Switzerland

Simone Grego United Nations World Water Assessment Programme, Programme

Michelle Grant ACTIS (Activating Talent in Sustainability), Zurich, Switzerland

Fabio Orecchini Interuniversity Research Centre for Sustainable Development,

Hiroshi Tachikawa Propharm Japan Co., Ltd., Tokyo, Japan

J. Kauffman, K.-M. Lee (eds.), Handbook of Sustainable Engineering, 3

C. Pezeshki, J.H. Panchal, and G. Ameta

J. Kauffman, K.-M. Lee (eds.), Handbook of Sustainable Engineering, 7

Moving Towards Integration

Industry Research Groups

Fig. 2.1 Moving toward integration

ecodesign research, and university-industry partnerships to support curriculum

2.2 The Basic Framework

post-graduate training & Iargest design firm in

Claudia Kogler Miriam Turner

Peter Judmaier Richard Hurding

Tim McAloone core science Han Brezet

Fig. 2.2 Project partner network map

Fig. 2.3 Ecodesign framework

Fig. 2.4 Basic science advances

3. Establishing a process to measure environmental impacts based on all phases of

Example: Reiner Anderl, TU Darmstadt

• PLM and LCA

Fig. 2.5 Tool development

2.3 Examples and Modifications

European curricula vary wildly as far as actual ecodesign curricula implementation.

Fig. 2.7 Breakthrough products and back-engineering

The following tables show curriculum modification for a sample US curriculum