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Open-loop direct surface water cooling and surface water heat pump systems—
A review

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DOI: 10.1080/10789669.2012.747374

Open-loop direct surface water cooling and surface

water heat pump systems—A review
MATT S. MITCHELL and JEFFREY D. SPITLER∗
Mechanical & Aerospace Engineering, 218 Engineering North, Stillwater, OK 74078, USA

Direct surface water cooling systems utilize lake or seawater to provide cooling for buildings or district cooling systems, without using
a heat pump to lower the temperature further. Surface water heat pump systems can provide heating and/or cooling for buildings
and district heating/cooling systems, using lake or seawater as their heat source/sink. These systems have been used from the 1940s,
Downloaded by [Matt Mitchell] at 07:58 26 February 2013

yet neither design guidelines nor energy calculation procedures have been developed. Under the right circumstances, direct surface
water cooling systems can have remarkably high seasonal system coefficients of performance—as high as 25. Surface water heat pump
systems can also have high seasonal system coefficients of performance; values as high as 4.2 for cooling and 4.0 for heating have
been reported. The performance of both system types will depend heavily on the pumping/piping system design. This article reviews
the available literature describing previously installed systems and the necessary components—intake devices, piping, pumps, heat
exchangers, heat pumps and/or chillers, and outfall devices.

Introduction
Haldane (1930), citing Carnot and Kelvin, demonstrated the
practical use of a heat pump for heating his house in Scotland,
using the water mains as its source. In discussing possible
applications, he pointed out that larger buildings situated next
to a river or canal were good candidates for heat pumps. This
suggestion came to fruition (Sumner 1948) in the 1940s, in
Norwich, England, where the River Wensum was used as the
source for a heat pump providing a heating capacity of 234 kW
(800 MBTUh) used for heating an industrial building. During
the winter of 1945–1946, the system obtained an average COP
of 3.45, and was claimed to be the most economical means of
heating a building at that time.
This reputation for energy efficiency continued over time.
With the 1970s energy crisis, interest in heat pumps increased,
including surface water heat pump (SWHP) systems used for
both heating and cooling of buildings. Later, opportunities
for larger systems that used cold lakewater or seawater to pro-
vide building cooling directly, without the use of heat pumps,
were identified and found to be economical at a large enough
scale. These systems may be referred to as direct surface water
cooling (DSWC) systems.
Surface water is defined as any body of water that is ex-
posed to the atmosphere. This includes ponds, lakes, oceans,
and rivers, though rivers are generally not suitable for DSWC
applications (Hirshman and Kirklin 1979) because river tem-
Received September 25, 2012; accepted October 27, 2012
Matt S. Mitchell, Student Member ASHRAE, is Research Assis-
tant. Jeffrey D. Spitler, PhD, PE, Fellow ASHRAE, is Regents
Professor and C.M. Leonard Professor.
∗
Corresponding author e-mail: spitler@okstate.edu
perature tends to track the average daily air temperature, which
may make them unsuitable for direct cooling applications dur-
ing certain periods of the year. However, rivers have been
proven effective for SWHP applications as is demonstrated in
Paris, France near Place du Canada. There, a SWHP system
provides indirect cooling via eight, 6.5 MW (1850 Ton) chillers,
which use the River Seine as their heat sink (Friotherm 2012a).
There are a variety of system configurations that have been
implemented; however, they can be divided into three different
categories, defined as follows:
• Direct surface water cooling (DSWC) systems: systems that
use seawater or lakewater to provide cooling without the use
of heat pumps or chillers. There may, of course, be interme-
diate heat exchangers to isolate fouling-prone seawater or
lakewater from the building fan-coil units.
• Surface water heat pump (SWHP) systems: systems that use
heat pumps or chillers to provide heating and/or cooling,
with their heat source or sink, surface water. Depending on
location and application, the systems may provide heating
only, cooling only, or heating and cooling.
• Hybrid surface water heat pump (HSWHP) systems: sys-
tems that use heat pumps or chillers to provide heating
and/or cooling; however, they can also use seawater or lake-
water directly to provide cooling when water temperatures
allow this to be done.
In this article, the three system categories are discussed,
briefly summarizing the literature and notable features of some
systems of each category. This is followed by a review of the
literature pertaining to design of various system components,
such as intake structures, intake pipelines, heat exchangers,
pumps, heat pumps or chillers, and outfall pipelines and struc-
tures.
 126
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Fig. 1. DSWC system with isolation heat exchanger and wet sump pumping configuration.
Direct surface water cooling systems
Direct1 surface water cooling systems have been previously
described in the literature under a variety of names including:
“Lake Source Cooling” (Peer and Joyce 2002; Zogg et al.
2008), “Sea Water Air-conditioning” (Makai Ocean Engi-
neering 2011; War 2011), “Sea Water Cooling” (Hani et al.
2010), “Deep Ocean Water Cooling” (Davidson 2003), “Deep
Lake Water Cooling”(Heffernan 2001; Eliadis 2003; Fotinos
2003), “Deep Water Cooling Systems” (Newman and Herbert
2009), and “Seawater District Cooling and Lake Source Dis-
trict Cooling” (Looney and Oney 2007).
DSWC systems take cold lakewater or seawater into the
cooling system—typically via an intake located deep under-
water, and pump that water through heat exchangers where
the cooling load can be removed. The water can then be dis-
charged at a warmer temperature back to the water source.
This can occur with or without the use of an isolation heat ex-
changer, which is often used to isolate the potentially corrosive
or contaminated surface water from the circulating water used
in the fan-coil units that remove heat from the building. Some
authors suggest that it is possible to directly pump surface
water through the building’s primary heat exchangers to cool
the space air, depending on the entering water temperature
1
Some authors have used the terms “direct” and “indirect” to
differentiate between systems that circulate lakewater or seawater
directly through the heat pump or fan coil units (“direct”) and
those that circulate lakewater or seawater through an isolation
heat exchanger (“indirect”). Other authors have used the terms
“direct” and “indirect” to indicate whether or not the lakewater or
seawater can be used directly at the existing temperature without
use of a heat pump. The latter convention has been adopted.
HVAC&R Research
(EWT) (Kavanaugh and Pezent 1990; McCrary et al. 2006),
though this does not appear to be common practice.
Figure 1 shows a representation of a DSWC system using
an isolation heat exchanger and a wet sump intake. As the
water is drawn out of the wet sump pit, water level decreases.
The elevation difference between the surface water body and
the sump water level causes water to flow from the intake deep
underwater, through the intake pipeline, and into the sump
pit. One limitation of this design is that the maximum pipeline
pressure differential for achieving maximum flow is limited by
the sump depth, and therefore, large diameter piping or a deep
sump pit may be required. An alternative pumping strategy is
to use a dry sump, such as that used in the Norsk Hydro system
(Smebye et al. 2011). Dry sump pumping systems are systems
where the pump is placed in-line with the intake pipeline, and
is set in a ‘dry sump’ pumping station located at or below
the source water level. This pumping configuration is limited
by the required net positive suction head. Submersible pumps
located at the water intake, similar to those used for domestic
water wells have been proposed for smaller, residential systems
(Kavanaugh and Pezent 1990; Kavanaugh 1991; Kavanaugh
and Rafferty 1997).
The applicability of DSWC systems is limited by two key
factors: proximity of the building(s) with cooling loads to cold
water, and sufficient size to justify the capital expense. Ciani
(1978) performed a feasibility study on the implementation
of sea or lakewater cooling systems for 25 US naval facility
locations. He chose an upper limit on acceptable EWT for
DSWC applications as 10◦ C (50◦ F) for dehumidification re-
quirements, while Kavanaugh and Pezent (1990) suggests 13◦ C
(55◦ F) as an upper limit. Ciani (1978) also noted that water
temperature as high as 18◦ C (65◦ F) could be used for sensible
cooling, while Kavanaugh and Pezent (1990) and Kavanaugh
and Rafferty (1997) suggest that water with a higher EWT can
 Volume 19, Number 2, February 2013
Table 1. Distance and depth to 10◦ C (50◦ F) water.
Distance, Depth,
Location km (mi) m (ft)
Pearl Harbor, Hawaii (10 facilities) 5.5 (3.4) 399 (1310)
Chicago, Illinois (5 facilities) 4.2 (2.6) 24 (80)
Barking Sands, Hawaii (Pac. Mis. 5.3 (3.3) 290 (950)
Range Fac.)
Point Loma, California (NUC) 5.3 (3.3) 70 (230)
Barbers Point, Hawaii (2 facilities) 4.2 (2.6) 350 (1150)
Point Loma, California (FCDSTC) 4.2 (2.6) 201 (660)
Point Mugu, California (Pac.Mis, 1.6 (1) 61 (200)
Test Ctr.)
Cutler, Maine (Radio Station) 1.6 (1) 49 (160)
Winter Harbor, Maine (Security 0.3 (0.2) 6 (20)
Group Act)
Source: Ciani (1978).
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be used for pre-cooling the air entering the evaporator of a
water-to-air heat pump.
In Ciani (1978), the distance and depths to 9 sources of
10◦ C (50◦ F) water are given for various locations throughout
the United States, as summarized in Table 1. Leraand and Van
Ryzin (1995) show the bathymetry and temperature profile of
the waters off West Beach of Oahu, Hawaii. The distance to
waters capable of providing direct cooling are nearly 3.2 km (2
mi.). As shown by McCrary et al. (2006), even in the southern
US deeper reservoirs may have relatively constant low temper-
atures on the order of 13◦ C (55◦ F) at depths below 18–24 m
(60–80 ft). Smebye et al. (2011) described a comprehensive
study identifying the proximity of all Norwegian surface wa-
ter bodies to the existing building stock in order to show the
potential for both open-loop and closed-loop surface water
heat pump systems.
Because the total (horizontal + vertical) distance between
the building(s) being cooled with a DSWC system and the
actual location of the cold water is often significant, the scale
of the system that is economically feasible tends to be quite
large. Table 2 contains a summary of DSWC systems serving
commercial buildings or district heating and cooling systems
that have been described in the literature. These systems are
all quite large, with cooling capacities up to 70 MW (20,000
Tons), where this information is available. For some systems
providing cooling to data centers (Hamilton 2010; Euroheat
& Power 2011; Grundberg and Rolander 2011; Miller 2011a,
2011b; Metz 2012) the actual capacity appears to be propri-
etary information.
Cornell University and Ithaca High School in Ithaca, New
York are located very close to a year-round source of cold
water and have utilized direct cooling since July of 2000 (Peer
and Joyce 2002). This system draws water from Lake Cayuga
and is capable of delivering up to 70 MW (20,000 tons) at peak
capacity. The DSWC system is capable of pumping 2 m3/s
(32,000 gpm) through roughly 3.2 km (2 mi) of 1.6 m (63 in.)
HDPE pipe (Peer and Joyce 2002). System COP as of 2010
was stated to be 25.8 (Peer 2012).
Ciani (1978) estimated that approximately 85% of DSWC
system capital cost is associated with the installation of the
127
offshore pipeline. Van Ryzin and Leraand (1991) estimated
that the DSWC system intake system (intake pipe, pumps,
effluent pipe) represent approximately 50% of the total capital
cost. The isolation heat exchangers and distribution system
each represent approximately 25% of the initial cost.
Open-loop surface water heat pump systems
In contrast to the DSWC systems, open-loop surface water
heat pump (SWHP) systems are “indirect”—that is, they uti-
lize heat pumps to provide cooling and/or heating. Included
within this category are systems that use heat pumps that pro-
vide cooling only, more commonly referred to as “chillers.”
Other authors have referred to these systems as “Indirect Sea-
water Utilization” (Akashi and Watanabe 2003; Song et al.
2007), “Seawater Condenser Cooling” (Chien et al. 1986),
“Open-loop Lakewater Heat Pump System” (Kavanaugh and
Pezent 1990; Chen et al. 2006), “pumped water–indirect sys-
tem” (in Norwegian, “Oppumpet vann–indirekte løsning”
(Smebye et al. 2011)). Figure 2 shows a SWHP system with a
wet sump pumping configuration operating in cooling mode.
Eggen and Slettahjell (2005) surveyed 19 open-loop SWHP
systems installed in Norway between 1981 and 1995. All of the
systems provided heating and had capacities between 35 kW
(120 MBTUh) and 6.8 MW (23 MMBTUh). Of the 19 systems,
15 were still in operation as of 2005. Of the four remaining
systems, one had problems from the outset for which none of
the contractors would take responsibility; one was moved to
another building when the original building was closed; one
failed due to lack of maintenance after 9 years; and the fourth
suffered a compressor failure after 4 years. During the time
of operation, systems operated with an average seasonal heat
pump heating COP of 3.1 and average seasonal system heating
COP of 2.7. Seasonal heat pump heating COPs ranged from
2.1 to 4; seasonal system heating COPs ranged from 2.0 to
4.0—for some systems the heat pump heating COP and the
system heating COP are given as being equal and the reason
for this is not discussed.
Chien et al. (1986) discussed systems with an opposite
purpose—providing directly for condenser cooling in Hong
Kong. The authors estimated that in 1985 total installed cool-
ing capacity of systems utilizing seawater condenser cooling in
Hong Kong exceeded 1 GW (285,000 tons). The authors give a
figure of 10–15% reduction in energy consumption compared
to systems using indirect cooling. The article also discusses
installation details, such as filtration, intake location, heat ex-
changer materials, etc. These details are discussed further in
the second half of this article.
Table 3 summarizes published accounts of installed open-
loop SWHP systems. Smebye et al. (2011) reports on the sys-
tem installed at the University of Bergen. This system might
be characterized as a primary/secondary heat pump system;
it utilizes a central ammonia heat pump to supply water at
15–25◦ C (59–77◦ F) to 14 secondary heat pumps located in
different buildings. The secondary heat pumps have a total
capacity of 4 MW (13.6 MMBTUh) heating or 2 MW (570
tons) when operated in cooling mode.
 128 HVAC&R Research

Table 2. Summary of existing DSWC systems.

City Hamina Helsinki Ithaca Mollis Bora Bora

State/Province Southern Finland Southern Finland New York Glarus Nord Fr. Polynesia
Country Finland Finland United States Switzerland France
Latitude 60◦ 34 N 60◦ 10 N 42◦ 26 N 47◦ 6 N 16◦ 30 S
Longitude 27◦ 12 E 24◦ 56 E 76◦ 30 W 9◦ 5 E 151◦ 44 W
Water source Gulf of Finland Gulf of Finland Lake Cayuga Lake Walen Pacific Ocean
Cooling capacity, — — 70 (20,000) — 1.6 (450)
MW (tons)
Intake depth, — 7.5 (25) 76 (250) 60 (196) 900 (2952)
m (ft)
Intake length, 450 (1500) — 3200 (10,560) — 2350 (7700)
m (ft)
Intake temp, — 8 (46) 4 (39) 6 (43) 4 (39)
C (F)
Return depth, — — 4.3 (14) 30 (98) —
m (ft)
Flow rate, m3/h — — 7300 (32,000) 2530 (11,100) —
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(gpm)
Operation date 2010 2012 2000 — 2006
References Grundberg and Miller (2011a) Peer and Joyce (2002); Hamilton (2010) Makai Ocean
Rolander (2011); Looney and Oney Engineering (2011);
Metz (2012) (2007); Zogg et al. War (2011)
(2008)

Akashi and Watanabe (2003) and Song et al. (2007) de-
scribe a cooling-only SWHP system serving a retail complex
in Nagasaki, Japan. The system was monitored for 21 months,
giving an overall chiller COP of 5.3 and an overall system COP
of 2.7. The system COP was adversely affected by the initial
pumping scheme, which ran the pumps all of the time due
to fouling concerns. For the first 10 months of operation, the
overall system COP was about 2.5. Changing the pumping
scheme so that the pumps only ran when the chillers ran gave
an overall system COP of 2.9 for the following 11 months of
operation.
Chen et al. (2006) reported on an open-loop SWHP system
in south China, used to provide both cooling and heating to
a city center complex of four buildings—city hall, TV studio,
theater, and shopping center. One year of experimental mea-
surements were made in 2003 and 2004. In cooling mode, the

Fig. 2. SWHP system configured for cooling purposes with an isolation heat exchanger and wet sump pumping configuration.
 Volume 19, Number 2, February 2013 129

Table 3. Summary of existing SWHP systems.

City Bergen Nagasaki Xiangtan Drammen Stockholm

State/Province Hordaland Kyushu Hunan Buskerud Sodermanland
Country Norway Japan China Norway Sweden
Latitude 60◦ 23 N 32◦ 47 N 27◦ 51 N 59◦ 44 N 59◦ 20 N
Longitude 5◦ 20 E 129◦ 52 E 112◦ 54 E 10◦ 12 E 18◦ 4 E
Water source Byfjorden/North Sea Nagasaki Harbor Mengze Lake Oslo Fjord Baltic Sea
Heating capacity, 4 (13.6) — 8.1 (28) 15 (51) 180 (615)
MW (MMBTUh)
Cooling capacity, 2 (570) 4 (1140) 15 (4300) — —
MW (tons)
Intake depth, m (ft) — — 2 (7) — 15 (50)
Flow rate, m3/h — 762 (3355) — — —
(gpm)
Operation date 1993 2000 2003 2010 1984
References Smebye et al. (2011) Song et al. (2007) Chen et al. (2006) Lind (2010) Friotherm (2012b)
Downloaded by [Matt Mitchell] at 07:58 26 February 2013

heat pump COP varied between about 4.8 and 4.3 at lake tem-
peratures between 25◦ C (77◦ F) and 35◦ C (95◦ F); over the same
lake temperatures, the system COP varied between 4.2 and 3.8.
In heating mode, the heat pump COP varied between about
3.8 and 4.3 at lake temperatures between 7◦ C (45◦ F) and 15◦ C
(59◦ F); over these lake temperatures, the system COP varied
between 3.4 and 4.
Lind (2010) and Baardsen (2011) describe a 60 MW (205
MMBTUh) district heating system in Drammen Norway that
uses a SWHP system and gas fired boilers to supply heat to
a heating district. With ammonia as the refrigerant, the heat
pump supplies 90◦ C (194◦ F) water for a heat output of 15 MW
(51 MMBTUh) and a heat pump COP of 3, using seawater
from the Drammen Fjord as its source.
A district heating system (Friotherm 2012b) in Stockholm,
Sweden utilizes six seawater heat pumps at the Värtan Ropsten
plant with total heating capacity of 180 MW (614 MMBTUh).
The heat pumps were originally R22 units when installed in the
mid-1980s; they were converted to R134a beginning in 2003.
The heat pumps supply hot water at 80◦ C (176◦ F). During
the winter, water is taken from the Baltic at 3◦ C (37◦ F) and
returned at 0.5◦ C (33◦ F). Under these conditions, a heat pump
COP of 3.75 is claimed. “Falling film” evaporators are used
plate evaporators with the sea water sprayed onto the outside
of the evaporator.
Hybrid surface water heat pump systems
Hybrid surface water heat pump systems (HSWHP) are
very robust systems, in that they can cool directly when the
water temperatures allow, and make up the difference with
supplemental cooling when water temperatures won’t allow
direct cooling. They can also provide heating provided the
heat pumps are reversible and designed appropriately. There
appears to be no distinction between SWHP systems and
HSWHP systems in the literature; however, we have adopted
the term “HSWHP systems” to distinguish between the two
system types. Figure 3 shows a HSWHP system that can
provide direct cooling, indirect cooling, and indirect heating.
Table 4 summarizes several existing HSWHP systems.

Table 4. Summary of existing HSWHP systems.

City Oslo Paris Stockholm Geneva Toronto Halifax

State/Province Vestfold Ile-de-france Sodermanland Geneva Ontario Nova Scotia
Country Norway France Sweden Switzerland Canada Canada
Latitude 59◦ 57 N 45◦ 51 N 59◦ 20 N 46◦ 12 N 43◦ 43 N 44◦ 51 N
Longitude 10◦ 45 E 2◦ 21 E 18◦ 4 E 6◦ 9 E 79◦ 20 W 63◦ 12 W
Water source Oslo Fjord River Seine Baltic Sea Lake Geneva Lake Ontario Atlantic Ocean
Heating capacity, 2 (6.8) — 27 (92) — — —
MW (MMBTUh)
Cooling capacity, 4.2 (1200) 62 (17,600) 43 (12,200) 23.5 (6700) 176 (50,000) 3.5 (1000)
MW (tons)
Intake depth, m (ft) 32 (104) — 0–20 (0–66) 35 (131) 83 (272) 18 (59)
Operation date — 2002 1995 2009 2006 1989
References Smebye et al. Friotherm Fermbäck (1995); Viquerat et al. Fotinos (2003); Eliadis (2003);
(2011) (2012a) Friotherm (2012b) (2008); Viquerat Zogg et al. Newman and
et al. (2012); (2008); Newman Herbert (2009);
Viquerat (2012) and Herbert War (2011)
(2009)
 130
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Fig. 3. HSWHP system utilizing a heat exchanger for low load and a heat pump for higher loads.
Fermbäck (1995) outlines a 60 MW (17,060 tons) HSWHP
cooling system in Stockholm Sweden that has 4 chillers with
a total supplemental cooling capacity of 25 MW (7100 tons).
Chillers are used in late summer for approximately 5 months
to provide supplemental cooling when surface water intake
temperatures rise above required district supply temperatures.
Viquerat (2012) and Viquerat et al. (2008, 2012) describe the
HSWHP system that provides cooling to the United Nations
campus in Geneva Switzerland. The system draws 0.75 m3/s
(12,000 gpm) from its source, Lake Léman, at a depth of 35 m
(115 ft) and is capable of providing 23.5 MW (6700 tons) at
peak capacity. The system receives supplemental cooling from
four chillers with a combined capacity of 6.5 MW (1850 tons).
The chillers reject heat to Lake Léman via the HSWHP system.
The Toronto HSWHP system draws 4◦ C (39◦ F) water from
Lake Ontario at a depth of 83 m (272 ft). From there it is
then filtered to be used for the city’s potable water supply and
then passed through the isolation heat exchangers at the heat
exchange facility. The direct cooling portion of this system
alone is capable of producing 141 MW (40,000 tons) of cool-
ing, while bottoming chillers provide an additional 58 MW
(16,500 tons) for a rated capacity of 185 MW (52,200 tons).
Distribution water leaves the heat exchange facility at 5◦ C
(41◦ F) and is then reduced to 3.3◦ C (38◦ F) by the bottom-
ing chillers where it is then sent to the customer for space
conditioning (Heffernan 2001; Eliadis 2003).
Summary—Installed system performance
The three types of systems have been installed in a wide
range of climates, from subarctic conditions in Scandinavia
to subtropical conditions in Hawaii and Hong Kong. Under
favorable conditions, system COPs as high as 25.8 have been
HVAC&R Research
obtained for direct surface water cooling systems. For sur-
face water heat pump systems, seasonal heat pump COPs for
heating in Scandinavian climates on the order of 2–4 have
been reported for systems providing high-temperature water
installed in the 1980s and early 1990s, with system COPs lower
on average by about 0.4. In more temperate climates, such as
Japan and China, heat pump cooling COPs of 4.3–4.8 have
been reported, with system cooling COPs lower by 0.5–0.6 for
one system in China. For the system in Japan, the system cool-
ing COP was only 2.6 at the beginning of the operation, but it
rose to 2.9 after the pumping control strategy was adjusted. As
with ground-source heat pump systems, the overall efficiency
of the system depends heavily on the design of the pumping
and piping systems. The system in China also gave heat pump
heating COPs of 3.8–4.3 with system heating COPs lower by
0.3–0.4.
Making a direct comparison to performance of more con-
ventional systems is difficult for several reasons. Some of these
are outlined by Thornton et al. (2008). Although kW/ton
numbers are often given by manufacturers, actual real world
performance under part-load conditions may vary substan-
tially. Furthermore, energy consumption of pumps, cooling
tower fans, etc. is important, but often not accounted for. Fi-
nally, there is a paucity of actual monitored data available for
comparison. Erpelding (2007) summarizes case study data for
four different chiller plants in southern California, with an-
nual total plant efficiency of 0.55–1.5 kW/ton, corresponding
to seasonal COP values of 2.3–6.4. But differences in climate,
load-side temperatures, equipment type, and age make it diffi-
cult to make a direct comparison. Likewise, for heating there
is a paucity of data for conventional systems that could be
compared to the measurements described above. However,
such comparisons would certainly be of interest for future
research.
 Volume 19, Number 2, February 2013
Major system components and sub-systems
The systems described in the previous sections all share similar
components and sub-systems. Due to the similarities in the
sub-systems, they are treated together in the following sections.
The major components and sub-systems of DSWC, SWHP,
and HSWHP systems are:
• Intake piping and screening: the piping and screening de-
vices necessary to bring lakewater or seawater from the
water source to the surface water pump.
• Pumps and pump sumps: the pumps and pumping config-
urations that pump the surface water through the primary
heat exchanger(s).
• Isolation heat exchanger: the primary heat exchanger(s)
that isolates the potentially contaminated or corrosive lake-
water or seawater from the distribution piping system, heat
pump condenser/evaporator, and building fan-coil units.
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• Heat pumps or chillers (for SWHP and HSWHP systems).
• Return piping and diffuser: the piping, nozzles and mixing
devices that mix the system return water with the original
water source.
Intake piping and screening
The intake and intake piping make up the largest portion of
the initial cost for a DSWC system. It has been estimated
that 50–85% of the initial cost of a DSWC is associated with
the design and installation of the surface water intake system
(Ciani 1978; Van Ryzin and Leraand 1991; Davidson 2003).
For open-loop SWHP and HSWHP systems, intake and intake
piping will make up a smaller portion of the overall system
cost. Proper intake sizing and design depends on several im-
portant factors, namely, surface water bathymetry and tem-
perature, peak cooling and/or heating load, and screening
requirements.
Lakewater temperature below a depth of approximately
18–24 m (60–80 ft) may remain relatively constant throughout
the year (Hattemer and Kavanaugh 2005). However, this may
be greatly affected by the amount of inflow and/or outflow rel-
ative to the surface water body size. Seawater will also develop
a stratified, constant temperature below a certain depth. This
stratified condition occurs due to the maximum density point
of water, which occurs at a temperature of 4◦ C (39◦ F). As wa-
ter cools, it becomes more dense and settles below layers of
warmer, less dense water. Additionally, the deeper the cold wa-
ter settles, the less it is affected by solar radiation and surface
wind effects, which drive mixing. This process of stratification
occurs naturally in cold climates in winter months but can also
occur where deeper regions of water are not warmed by the
solar radiation and surface mixing effects are very small. As
examples, the water below a depth of 396 m (1300 ft) off the
West beach of Oahu, Hawaii is below 10◦ C (50◦ F) year round
(Leraand and Van Ryzin 1995) while the water 76 m (250 ft)
from the surface near the bottom of Lake Cayuga in Ithaca,
New York is about 4◦ C (39◦ F) year round (Cornell University
2005).
131
Cold seawater is accessible to the Stockholm SWHP system
due to the unique nature of its geography. Stockholm is located
at the mouth of Lake Mälaren—which is a freshwater lake,
and on the shore of the brackish Baltic Sea. As the less dense
freshwater flows into the Baltic and makes its way out to sea,
the fresh water ‘floats on top’ of the brackish water. This
outflow draws some brackish water with it. To replace the
outflow of brackish sea water, a counter current is created
along the sea bed bringing cold water from the archipelago
into Stockholm (Fermbäck 1995).
It is critical to know the water temperature at the inlet
install location for load calculation purposes. Seasonal ex-
perimental water temperature data is preferred, though this
is not always possible or feasible. Several lake models have
been developed for situations where experimental data is lim-
ited or non-existent (Pawlina and Hanes 1977; Adams and
Schweickart 1987). However, lake models developed for other
purposes (Gu and Stefan 1990; Hondzo and Stefan 1993;
Saloranta and Andersen 2007) might also be utilized.
Surface water bathymetry and temperature will determine
the location where the pipeline will travel from the inlet deep
underwater to the primary heat exchanger. This is important
not only because of the inlet pipe design, but also because of
the temperature rise that will occur when bringing the cold
water up through the stratified layers of warmer water. There
is little point in having access to cold water if it cannot be
transported to the surface without the temperature degrading
significantly. As an example, near the West Beach of Oahu,
Hawaii, the cold water pipeline would need to travel over
1.6 km (1 mi) in warm water at or very near the water’s surface
before reaching the heat exchanger (Leraand and Van Ryzin
1995). This is illustrated in Figures 4 and 5, which show the
depth versus distance from shore and the seawater temperature
versus distance from shore.
Different varieties of steel pipe lined with glass or con-
crete and jacketed with insulation or concrete have been used
for under water applications in the petroleum industry and for
sewage disposal systems for many years (Hirshman et al. 1975).
These underwater pipelines were considered standard up un-
til the mid-1970s when high density polyethylene (HDPE)
became widely accepted as an underwater pipeline material
(Hirshman et al. 1975). Fiberglass pipe could also potentially
be used for underwater pipeline applications (Ciani 1978; Hir-
shman and Kirklin 1979).
Van Ryzin and Leraand (1991) and Leraand and Van Ryzin
(1995) have documented several deep cold-water pipeline in-
takes for ocean thermal energy conversion (OTEC) research
and DWSC systems. They cite HDPE as the intake material
of choice because it is chemically inert, fusible, flexible, strong,
and will float in water, which aids in pipeline installation. In
addition, HDPE has a low thermal conductivity (Yang 2007)
and thus a high thermal conduction resistance relative to steel
pipe. This high conduction resistance insulates the cold water
taken from deep under water and prevents it from warming
significantly as the pipeline passes through upper layers of
warmer water. HDPE intake pipes can be fused together in
large sections, ends capped, and then floated into place. When
the intake pipe is in place, water is allowed to enter the shal-
low end while air is released from the other end. Filling the
 132
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Fig. 4. Bathymetry of shore off West Beach, Oahu, Hawaii. (Source: Leraand and Van Ryzin 1995.)
pipeline with water will allow the weight of the anchor sup-
ports to pull the pipeline to the sea or lake bed. This process
is controlled and fully reversible (Cornell University 2005;
War 2011). HDPE pipe is also much smoother than steel or
concrete pipe which will decrease frictional pumping losses
(Hirshman et al. 1975).
As an example of what would happen if the intake pipeline
were improperly insulated, Figure 6 shows the results from a
model2 of pipeline temperature for two theoretical pipelines
for a DSWC system installed off of the West Beach of Oahu,
Hawaii. Figure 6 shows the inside-pipe fluid temperature vs.
distance from shore for a 1.07 m (42 in.) DR-32.5 HDPE pipe
and 1.07 m (42 in.) schedule 40 steel pipe flowing at 4542 m3/h
(20,000 gpm). The model shows a total temperature rise of
0.53◦ C (0.96◦ F) increase in temperature for the HDPE pipe
and a 10.02◦ C (18.03◦ F) temperature rise for the un-insulated
steel pipe.
This temperature rise is detrimental to DSWC system per-
formance. If the system return temperature is assumed to be
15.6◦ C (60◦ F), the heat gain through the HDPE pipeline will
cause a 4.3% decrease in system capacity from the case of
a perfectly insulated pipe. In contrast, the un-insulated steel
pipe will cause system capacity to decrease by 82% from the
case of no heat transfer.
2
The pipeline model uses a finite volume method to resolve the
pipeline into approximately 15 m (50 ft) segments. Inside con-
vection resistance is calculated from Gnielinski (1976) and the
outside convection resistance is calculated from Churchill and
Chu (1975). Bathymetry and sea temperatures are taken from
Leraand and Van Ryzin (1995). A heat exchanger analysis is per-
formed on each segment to determine exiting fluid temperature,
which is then taken as the entering fluid temperature for the fol-
lowing segment.
HVAC&R Research
To prevent the entrainment of biological organisms or other
submerged debris, some form of screening or filtration is im-
plemented at the water intake. A typical the intake structure
and primary screening device are shown in Figure 7 (Iso 1977;
Peer and Joyce 2002; Viquerat et al. 2008; Zogg et al. 2008).
This type of radial primary screen is intended to draw water
from one specific horizontal stratum deep underwater. This
design is intended to leave undisturbed the warmer water lay-
ers above the intake, and to also leave the water near the sea or
lake bed undisturbed to avoid entraining sediment particles.
The intake for the Cornell system is situated 3 m (10 ft) above
the floor of Lake Cayuga (Cornell University 2005).
Chien et al. (1986) discussed the use of a coarse stationary
primary screen, followed by one or more stages of traveling
band screens equipped with backwashing spray systems3 for
SWHP system intakes in Hong Kong. This is the only known
implementation of moving mechanical screens for DSWC or
SWHP systems; however, this is due to the nature of the
SWHP intake locations, which were all located just below sea
level down to 4 m (13 ft) depth. Because plastic garbage, sea-
weed, and other floating debris will impact the performance
of screening equipment, traveling band screens with backwash
systems were implemented.
3
Traveling band screens are typically implemented at the inlet
to wastewater or irrigation systems. The system consists of a
series of screen panels that are connected together in a loop.
This loop then separates the screened and unscreened sides of the
system intake. The screened loop is mechanically driven which
causes it to travel between the screening position and a backwash
station. Once the panel is plugged, the loop rotates and the panel
moves into the backwash station. The back wash station sprays
pressurized water in the direction opposite that of primary flow.
The backwash debris is then removed for disposal or returned
back to its source (Beaudrey 2012).
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Fig. 5. Seawater temperature vs. distance from shore off West Beach, Oahu, Hawaii. (Source: Leraand and Van Ryzin 1995.)
The screened surface area should be large enough to main-
tain face water velocity at an acceptable level. By limiting the
maximum face water velocity, biological organisms such as
fish or fish larvae are not drawn to the intake which will min-
imize death by impingement and entrainment. Stefan et al.
(1986) reported on a similar design for the J.H. Campbell
power plant’s Unit No. 3 in Jackson, Michigan and recom-
mended a maximum face velocity of 0.15 m/s (0.5 fps) to
prevent entrainment of fish larvae or sediment. Wedge wire
screens with 9.5 mm (0.375 in.) openings were implemented
at the J.H. Campbell power plant (Stefan et al. 1986) while a
Fig. 6. Effect of pipe material on inside-pipe fluid temperature.
133
2 mm (0.08 in.) wedge wire screen was implemented on the
Cornell University system to prevent the entrainment of fish
(Cornell University 2005). Kavanaugh and Pezent (1990) sug-
gest that a fine slot, high impact PVC (ASTM 2011) well screen
has been shown to work well as an intake filter for small res-
idential SWHP systems with a submersible pump located at
the pipeline inlet. Kavanaugh and Rafferty (1997) state that
for residential systems, multiple stages of screening or filters
may be required.
A sand filter has also been proven effective at cleaning
intake water for residential open-loop SWHP systems. A 46
 134
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Fig. 7. Surface water intake primary screen.
kW (156 MBTUh) open-loop surface water heat pump system
was installed (Cusack 2012) in a home near Cook, MN. This
system uses a sand filter—similar to what would be used as
a pool filter, for cleaning the surface water for the heat pump
system. The sand filter functions by passing the intake water
through a fine medium, typically fine sand or some gradation
of sand and other porous media. The filtered water is then
pumped through the heat pump for space conditioning. Once
a predetermined time, maximum differential pressure, or filter
water level has been exceeded, the sand filter units then reverse
flow direction, backwashing the debris from the filter back to
the water source (Cusack 2012).
Another method that has been suggested for deterring fish,
shrimp, or other biological organisms is to employ a low inten-
sity light source at the inlet (Cornell University 2005); however,
the low intensity light source was installed at the inlet to the
Cornell system, but later removed. It was discovered through
efficacy testing that the light had no impact on deterring the
intended species, Mysis relicta. The SS intake screen material
itself is providing an effective guard against intake of the small,
shrimp-like crustacean (Peer 2012).
Another novel intake structure design, similar to the sand
filter for residential systems, is that of using the lake or sea bed
as a filter by horizontally drilling beneath the lake or sea floor
and installing a perforated drill casing. This allows the lake or
sea bed to naturally filter the water coming into the system. No
intake screen or filters would be required provided the lakebed
geology is suitable for such an installation. Implementation
of this technology has been discussed for use in desalinization
plant applications (Fariñas and López 2006; Peters and Pintó
2008).
For systems operating in the United States, the intake de-
sign will need to comply with EPA 316(b) Cooling Water In-
take Design Rules (EPA 2012). This will regulate the intake
face velocity, the amount of prescreening, and if necessary, the
implementation and use of fish handling systems to return fish
HVAC&R Research
and other entrained organisms to the water source. Ng et al.
(2005) gave several examples or proposed cooling water intake
structures and their design compliance with EPA 316(b).
Pumps and pumping configurations
For DSWC and SWHP systems, the surface water pump is a
primary energy consumer, so its design and selection is very
important to the overall success of the system. As pipeline di-
ameter increases, the head loss in the pipe will decrease, which
will cause an overall decrease in operating cost. However, in-
creasing the pipe diameter also increases the initial cost of the
system. For DSWC cooling systems, pump selection must be
coupled with the design of the intake piping system to optimize
the life cycle cost of the system.
In the literature, there seems to be two main design strate-
gies for configuring surface water pumps—namely, wet sump
installations and dry sump installations. Kavanaugh and
Pezent (1990) suggest that for small residential systems, the
pump may be placed at the pipe inlet. However, due to the
depths and distances typically involved with large intake sys-
tems, maintenance and installation costs make this configura-
tion impractical for large systems (Hirshman et al. 1975).
Wet sump pumping systems are configured so that the sur-
face water pump is situated in a wet sump pumping pit. Fig-
ure 8a shows a representation of the wet sump surface water
pumping configuration. When the system is not operating, the
water level in the wet well is the same as the water source.
As water is pumped from the wet well, the water level in the
wet well decreases. The resulting elevation difference between
the water level of the source water body and the wet well
is the driving force that causes water to flow into the wet
well through the inlet and intake pipeline. This process is also
reversible—meaning water could be pumped into the wet well
 Volume 19, Number 2, February 2013
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Fig. 8. (a) Wet sump pump pumping configuration. (b) Dry sump pumping configuration.
to aid in removal of debris at the intake inlet screen. If de-
signed properly, a mechanical pipe pig could also be placed in
the pipeline occasionally to help in the removal of zebra mus-
sels or other contaminants that may have attached themselves
to the inside surface of the intake pipe (Cornell University
2005).
The wet sump pumping configuration is limited by the
depth below the source water level that the intake pipe out-
let can be installed. In other words, the maximum pipeline
flow rate required head pressure must not exceed the depth of
the pipe outlet below the surface water body water level. The
wet sump type pumping configuration may also require ad-
ditional offshore dredging or trenching to install the pipeline
inlet at a depth sufficiently below the source body water level
(Hirshman et al. 1975).
Wet sump pit designs must also consider the possibility of
vortex formation at the pump inlet. Osman et al. (1993) rec-
ommends 1.5 diameters as the pump bell minimum submer-
gence depth to prevent vortex formation. Tsou et al. (1994)
discusses a number of ways to prevent vortex formation for
vertical pumps. Jones et al. (2008) is a comprehensive reference
for designing pumping stations.
The Cornell University DSWC system utilizes a wet sump
pumping configuration design. Water flows into the 6.7 m ×
11.9 m × 8.5 m (22 ft × 39 ft × 28 ft) wet sump as water
is pumped out of the wet sump pit and through the cooling
system. The three 261 kW (350 hp) variable frequency drive
lakewater pumps are vertical turbine, self-lubricated, enclosed
impeller, and open lineshaft design. They are each designed to
operate at 2952 m3/h (13,000 gpm) at 24 m (80 ft) of head at
a speed of 1200 rpm. Pumping power is minimized due to the
nature of the siphonic system, which uses the natural weight
of the water to help pull the water from the wet well through
the heat exchanger facility and back to the lake. Air removal
equipment is installed on the return side of the surface water
pumping system to remove gasses that come out of solution
135
due to the negative pressures on the return side of the system
(Cornell University 2001, 2005).
Dry sump pumping stations are configured so the pump is
directly connected to the intake pipeline as is depicted in Fig-
ure 8b. The pump may be located at or below the source body
water level as long as the net positive suction head available
(NPSHA ) is greater than the net positive suction head required
(NPSHR ) (Cengel and Cimbala 2010). Placing the pump be-
low sea level will decrease the likelihood of pump cavitation
provided the NPSHA is always greater than the NPSHR .
The Genéve-Lac-Nations project in Geneva, Switzerland
utilizes a dry sump pumping configuration for a DSWC system
used to cool the United Nations buildings along the shore of
Lake Léman. This system is capable of pumping 2700 m3/h
(11,900 gpm) through the district-cooling network. The pumps
are situated 6 m (20 ft) below lake level in a 10 m × 8.5 m ×
11 m (33 ft × 28 ft × 36 ft) pumping chamber (Viquerat et al.
2008).
For pumps, one of the most important questions that must
be answered is that of material selection. The working fluid
salt content will be the main parameter influencing pump
material selection. Other water quality parameters such as
suspended solids, water temperature, and pH will also affect
pump material selection. Salt content will cause corrosion of
the pump components by electrochemical corrosion process
while higher water temperatures will accelerate this corrosion
process. Suspended solids content will accelerate the erosion of
high velocity pump components, causing clearances to expand
and pump performance to decrease.
Brackish water or seawater will present the strictest require-
ments for pump material selection while fresh water pumping
material requirements can be more relaxed. This is due to the
highly corrosive nature of seawater. The concentrated chlo-
rides dissolved in seawater can cause pitting, crevice corrosion,
and inter-granular corrosion in stainless steel (SS), carbon
steel, and copper alloys. Stress corrosion cracking is also a
 136
problem for SS components when higher temperature seawa-
ter is involved, especially for the heat affected zone at a weld
site (Maehara 2007). Appropriate materials must be selected
or the pump will fail prematurely causing system downtime.
In the late 1970s, pumps with a SS impeller housed in a
lined concrete case were the recommendation when beginning
initial cost estimates for seawater pump systems. Titanium
and Monel are also resistant to seawater corrosion and have
excellent resistance to erosion (Keens 1977). Antunes et al.
(1981) published a more comprehensive study on the topic
of centrifugal pumps for desalinization applications. Desalin-
ization intake pumps are normally vertical wet sump pumps
that pump water at a high flow rate and low head pressure to
the desalinization plant. These intake pumps will have a very
similar duty and application as would a wet sump pump for a
DSWC or SWHP system located near a body of salt water.
When discussing corrosion and erosion, Antunes et al.
(1981) differentiates between different periods of operation
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when erosion and corrosion occur—namely, normal operating
conditions and idle or low load operating conditions. During
normal operating conditions, the pump must be resistant to
cavitation and erosion corrosion, while during idle or low load
conditions, the pump is vulnerable to pitting or crevice cor-
rosion, i.e., galvanic corrosion. For pump components with
lower flow velocity, i.e., the suction bell, column, or discharge
head, high-Nickel ductile iron and Nickel-Aluminum-Bronze
are recommended because of their resistance to erosion for
flow velocities up to 15 m/s (50 fps). These materials are also
resistant to galvanic corrosion.
For pump components with higher flow velocities, i.e. im-
peller, shroud, and casing, the recommended material is SS
316L (Antunes et al. 1981). SS 316L is however vulnerable to
pitting or other galvanic corrosion reactions when immersed
in stagnant water. A solution to this is to couple the SS 316L
components with a more anodic sacrificial material.
Fresh water pump material selection is less rigorous be-
cause fresh water is less corrosive when compared to seawater.
However, the fresh water source should be examined for wa-
ter quality. If there are sufficient levels of suspended solid in
the system intake, erosion of the pump components may be
problematic and materials should be selected accordingly.
For the Cornell University system, Lake Cayuga is classi-
fied as exceptionally clean and clear. This favorable water qual-
ity made pump material selection less rigorous. Pump heads
and casings are made from carbon steel, bowls are made from
cast iron, lineshaft and sleeves are made from SS, and carrier
bearings are made from fluted rubber. One pump was recently
rebuilt after 10 years of continuous operation with no issues
reported and all components within specifications. However,
the nuts and bolts that hold the pump sections together were
changed from carbon steel to SS due to excessive corrosion
(Peer 2012).
Isolation heat exchanger
There will be many different factors that influence the isola-
tion heat exchanger selection process; to name a few: required
HVAC&R Research
heat transfer rate, maintenance requirements, expected fouling
resistance, pressure drop, space requirements, and of course
cost. The one aspect of the design that the engineer will likely
have little success in altering is the surface water characteris-
tics; however, this is one parameter that has a great effect on
the heat exchanger. DSWC or SWHP systems using saltwater
as the working fluid will be more affected by electrochemi-
cal corrosion than would freshwater systems. As was the case
with pump material selection, it is very important to select
the appropriate heat exchanger material to ensure the desired
lifespan. Inappropriate material selection will result in prema-
ture failure of the heat exchanger and decreased efficiency or
system shutdown.
Heat exchangers with seawater as the working fluid began
have been studied extensively. As of 1978, titanium was a can-
didate for the first generation of OTEC heat exchangers and
research was underway to qualify aluminum, AL-6X SS, and
90/10 cupro-nickel alloy for OTEC heat exchangers (Kinelski
1978). As noted by Keens (1977), carbon steel is not a suit-
able heat exchanger material for seawater applications. Cop-
per alloys with various concentrations of: nickel, aluminum,
zinc, and tin exhibit fair resistance to corrosion in seawater,
but that their lifespan will decrease significantly if used in
locations where flow velocities exceed 1–3 m/s (3.3–9.8 fps).
Stainless steel 316 was preferred over 304; however, stainless
steel may be more suited for pump impellers than heat ex-
changers. Aluminum was not recommended due to the risk
of galvanic corrosion. Titanium was ultimately recommended
for heat exchangers with seawater as the working fluid.
Laurin and Lecklin (1982) noted short service lifetimes for
copper alloy power plant condenser tubes in Finland with sea-
water as the working fluid. Chien et al. (1986) also observed
several problems associated with operating seawater directly
in the chiller heat exchanger for SWHP systems. Due to the
corrosive nature of seawater, the 90/10 cupro-nickel chiller
heat exchanger tubes were not sufficiently protected from cor-
rosion, even when zinc rod sacrificial anodes were used. Chien
et al. (1986) noted that some heat exchangers failed within 6
months of initial operation. Janikowski (2003) presents a de-
tailed material selection review for various materials; however,
this discussion is aimed at tube selection for power generation
heat exchangers and depending on the application, may be
somewhat dissimilar to the DSWC and SWHP discussed in
this article due to the operation temperatures involved.
For seawater applications, titanium is the most widely used
heat exchanger material in current DSWC and SWHP sys-
tems operation around the world (Fermbäck 1995; Leraand
and Van Ryzin 1995; Newman and Herbert 2009; War 2011).
Smebye et al. (2011) recommend titanium for seawater systems
and high alloy steel for fresh water systems.
Another problem occurring in DSWC and SWHP systems
is performance degradation due to biological fouling. If not
addressed, biological film, algae, slime, and/or mollusks could
form in the cooling system, which will increase the thermal re-
sistance as well as the required pumping power. To control the
growth of biological organisms, biocide dosing schemes have
been implemented and reported for various freshwater and
seawater cooling system applications. Keens (1977) reviewed a
number of different biocide types, of which only the oxidizing
 Volume 19, Number 2, February 2013
agent sodium hypochlorite (chorine) is acceptable for use in
open systems due to environmental concerns regarding chem-
ical discharge. Fava and Thomas (1978) studied biological
fouling of OTEC heat exchangers and noted that corrosion
rates increased as the chlorine dosage increased. Chien et al.
(1986) states that for seawater applications, chlorination has
proven to be the most cost effective and efficient means of
preventing biological fouling in SWHP systems.
Koeplin-Gall et al. (1994) and Murthy et al. (2005) con-
ducted a series of experiments regarding fouling of seawater
heat exchangers. They determined that bio-fouling could be
controlled by dosing sodium hypochlorite at a rate of 1.2 ml/L
for a 2 h on, 2 h off schedule. Nebot et al. (2006) discuss seawa-
ter fouling and its effects on the thermal performance of shell
tube heat exchangers for power generation condenser cool-
ing. The authors conducted a series of tests over the course of
one year varying the sodium hypochlorite concentration. They
also varied the condenser tube material and established fouling
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relationships between the different tube materials and biologi-
cal fouling versus chlorine concentration. The authors suggest
that biofouling can be reduced with a sodium hypochlorite
dosage as low as 0.2 ppm when mechanical fouling control is
available.
Pugh et al. (2005, 2009) present a substantial amount of
guidance regarding heat exchanger design, material selection,
and fouling precautions. The two papers present an introduc-
tion to the relationships between flow velocity, surface tem-
perature, heat exchanger construction materials, water quality,
entering and exiting temperatures, and fouling resistance for
freshwater and seawater heat exchangers.
Kavanaugh and Rafferty (1997) describe several other
methods for coping with heat exchanger fouling that do not
involve biocide application. Permanently installed brush sys-
tems are available for shell-tube heat exchangers which me-
chanically clean the inside of the tube surfaces. These work by
means of a 4-way valve that is installed on the tube side heat
exchanger piping. This valve reverses flow after a specified pe-
riod of time which causes the brushes to travel from one end of
the tube to the other. The brushes are held in place by special
cradles installed at each end of the tube (WSA 2012). Disas-
sembly and cleaning of bolted plate frame heat exchangers is
also another maintenance option for fouling mitigation.
The Cornell University DSWC system utilizes seven heat
exchangers, each with 665 hard angle chevron plates, for a
total surface area of 9500 m2 (102,000 ft2). The seventh heat
exchanger was added for system redundancy and for fouling
compensation. Each unit is designed for maximum heat trans-
fer rate of 10.6 MW (3000 tons) at 1044 m3/h (4600 gpm) and
temperature differential of 8.9◦ C (16◦ F). Heat exchanger pres-
sure drop is 110 kPa (16 psi) at full flow (Cornell University
2005).
The base heat exchanger for the Cornell University DSWC
system is operated continuously. When demand requires, the
subsequent heat exchangers are added to the system in order.
By operating the system in this manner, all heat exchangers will
not foul at the same time. The first heat exchanger has required
cleaning every 1–2 years and the second heat exchanger every
3 years. The last two heat exchangers have yet to be cleaned
after 12 years of system operation (Peer 2012).
137
Heat pump or chiller
For large SWHP or HSWHP systems, the heat pumps or
chillers are often custom designed specifically for the site and
application. This is due to the wide range of operating tem-
peratures and conditions under which SWHP or HSWHP
systems may operate. A number of the Scandinavian systems,
for example, are providing hot water at 75–90◦ C (176–194◦ F)
for hydronic heating or district heating systems. Some of
these systems (Friotherm 2012c) utilize two-stage compres-
sion. Because many of the companies providing district heat-
ing and cooling are privately held and in competition, heat
pump/chiller performance information is often proprietary
(Pietrucha 2012). Most of the publicly available information
has been summarized earlier in the article.
Return piping
DSWC and SWHP outfall systems are used to return the
warmer or cooler return water back to the water source with-
out creating a concentrated pocket of water that is significantly
warmer or cooler that the water source. These outfall systems
are also intended to be placed at a depth that will not cause
significant nutrient enhancement of the outfall area (Davidson
2003; War 2011). Water taken from deep underwater may
contain higher amounts of nutrients than surface water, so
the outfall should discharge at depth that will not promote
growth of algae. The outfall system works by mixing the sys-
tem water with the source water body over a large enough area
so that temperature gradients are minimal. It is also typically
discharged near the lake or sea bed instead of directly into the
water column.
Iso (1977) describes the outfall system of desalination
plants and recommended that the outfall be submerged and
away from the shoreline to prevent environmental concerns.
The author references several experimental studies of horizon-
tal nozzles discharging water beneath the water surface. The
Froude number was used to characterize the plume of brine
discharged from a desalination plant. The author also states
that the temperature and salinity of the plume had no effect
on plume diffusion width.
The Cornell University outfall system is composed of a
1.2 m (48 in.) pipe that extends 122 m (400 ft) from shore,
which is then connected to a diffuser that is submerged 4.2 m
(14 ft) underwater. The diffuser is 30 m (100 ft) long, situated
approximately 0.3 m (1 ft) above the lake bed, and has thirty-
eight 152-mm (6-in.) nozzles pointed up at a 20◦ angle towards
the North (Peer and Joyce 2002; Cornell University 2005).
The heat input into Lake Cayuga is roughly equivalent to an
additional 2 h of sunlight each year (Peer and Joyce 2002). No
nutrient enhancement of the outfall area has been noted (Peer
2012).
The DSWC system in Toronto makes dual use of the outfall
water by using it as raw water for the city’s water treatment
plant, where it is then treated as drinking water for the city.
This saves on pumping costs and prevents algae blooms from
forming in the lake, as was the case when warmer surface
water was used for drinking water (Euroheat & Power 2005;
 138
Newman and Herbert 2009). It has been claimed that the
DSWC system in Toronto will have no environmental impacts
on the surrounding ecosystem. The system currently draws
about 5 m3/s (115 MGD) from Lake Ontario and the cold
lakewater is considered renewable at extraction rates up to
10,000 m3/s (230,000 MGD) (Fotinos 2003).
As with most large systems that take advantage of avail-
able surface water for cooling or heating, local regulatory
agencies will set allowable discharge temperatures and clean-
liness requirements. This may require control of the discharge
temperature and depth so that the discharge temperature is
reasonably close to the temperature at that depth. This may
require mixing the system discharge with unused surface wa-
ter. In some cases, it may be possible to reduce cooling system
discharge temperatures with the use of cooling ponds.
Conclusions
Downloaded by [Matt Mitchell] at 07:58 26 February 2013
Open-loop surface water heat pump systems have been oper-
ating since at least the 1940s and direct surface water cooling
systems have been of interest since at least the 1970s. These
systems have been installed in a wide range of climates, from
near the Arctic Circle to the tropics. Nevertheless, guidelines
for system design, installation, and operation have not been
published. Neither design tools nor energy calculation proce-
dures are available to aid engineers and building owners in
making informed decision regarding this technology.
This article has gathered together the limited amount of
performance data available for a small number of installed sys-
tems. Direct surface water cooling systems can have extremely
high seasonal coefficients of performance. Surface water heat
pump systems can have high seasonal coefficients of perfor-
mance, but, as with ground-source heat pump systems, it is
important to carefully design the pumping system to mini-
mize the pump energy consumption.
Although guidelines for system design and installation are
not readily available, some design guidelines may be inferred
from the work reviewed in this article. These include:
• HDPE is recommended for pipelines due to its flexibil-
ity, durability, and high thermal resistance. HDPE is also
fusible and it floats in water, which makes it possible to con-
nect large sections of pipe together for surface deployment
installation.
• Intakes should be designed to avoid entrainment of sed-
iment and fish. A radial wedge wire intake screen with
2–10 mm (0.08–0.375 in.) openings placed 2–3 m (6.5–10
ft) above the lake or seabed is recommended to prevent
entrainment of lake or seabed sediment. Screened face ve-
locity should be limited to 0.15 m/s (0.5 fps) to prevent fish
or fish larvae entrainment or impingement.
• For direct surface water cooling applications, intake water
temperature should be no higher than 13◦ C (55◦ F) for space
air dehumidification. Water with higher temperatures may
also be used for sensible only cooling or precooling.
• Pumps may be configured in a wet-sump or dry-sump con-
figuration. For wet-sump pumping designs, a large diam-
eter intake pipeline or a deep sump pit may be necessary
HVAC&R Research
to achieve the required flow rate. For dry-sump pumping
configurations, available net positive suction head should
be calculated carefully to check against the pump specifica-
tions. Pump material should be chosen to resist corrosion
and erosion.
• Heat exchangers operating in salt water should be con-
structed from titanium, while heat exchangers operating
in freshwater may use stainless steel; though water quality
should be tested and verified.
• Heat exchanger fouling may be a problem in warmer cli-
mates. Various methods for addressing this have been re-
ported, including chlorine dosing, permanently installed
brush systems or disassembly and cleaning.
• Heat pumps for larger systems are typically custom de-
signed units. If used for heating, multi-stage compression is
common.
• Outfall structures should discharge at a depth that will not
promote nutrient enhancement of the outfall area. They
should also discharge near the lake or seabed and cover a
large enough area so as to prevent a high thermal gradient
in the source water body.
Future work is needed to collect additional data and oper-
ating experiences. A start at this might be made by ASHRAE
or another society issuing a call for papers to be presented
at a conference. Another route would be to organize an In-
ternational Energy Agency annex on the topic. Experimental
measurements of existing systems, used to validate models that
might be incorporated in simulation-based design tools and
energy calculation procedures, would also be of significant
interest. A parametric study (varying load profiles, water tem-
peratures, distances to suitable water temperatures, etc.) of the
economics might also be useful in helping identify situations
where these systems make the most sense. Most installed sys-
tems have utilized quite large bodies of water where it seems
unlikely that the DSWC or SWHP system could significantly
affect lake temperatures. However, this may not always be
the case, and so research that could help determine the mini-
mum required lake size for a specific location and thermal load
profile would be helpful. Finally, comparisons of seasonal sys-
tem coefficients of performance to more conventional systems
would be useful. For this to be done, a broader study of mea-
sured seasonal system coefficients of performance would be
necessary. As discussed by Thornton et al. (2008) there are
very few published studies of conventional cooling system
performance that go beyond the chiller to include energy con-
sumption of auxiliary devices, such as fans, cooling towers, and
pumps. Yet, such studies of conventional systems are needed to
make meaningful comparisons to DSWC and SWHP systems.
Acknowledgments
This work was funded by ASHRAE as part of 1385-RP, “De-
velopment of Design Tools for Surface Water Heat Pump Sys-
tems.” Help in locating Scandinavian references was received
from a number of individuals in Norway and Sweden, in-
cluding Kirsti Midtømme of Christian Michelsen Research
AS, Bergen; Peter Schild of SINTEF, Oslo; Signhild Gehlin
 Volume 19, Number 2, February 2013
and Ingar Lindholm of Energi & Miljötekniska Föreningen,
Stockholm; Bo Nordell of Luleå University of Technology,
Luleå; and Saqib Javed and Lennart Jagemar of Chalmers
University of Technology, Gothenburg. Peter Gehlin of IUC
Yrkeshögskola, Stockholm provided help in translating some
technical terms. Tim Peer of Cornell University and Jim Cu-
sack of UMR Geothermal also provided a great deal of tech-
nical information and insight regarding several open-loop
systems. The help of all of these individuals is gratefully ac-
knowledged!
Nomenclature
COP = Coefficient of Performance
EWT = Entering water temperature
NPSH = Net positive suction head
SS = Stainless steel
MGD = Million gallons per day
Downloaded by [Matt Mitchell] at 07:58 26 February 2013
Subscripts
A = Available
R = Required
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