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Tanker Transportation

SHASHI N. KUMAR
Maine Maritime Academy
T
Castine, Maine, United States

intraregional trades. Accordingly, this is a crucial


1. Brief History of Oil Trading and Tanker Transportation transportation segment for the global community of
2. Current Oil Movements and Tanker Demand Trends oil consumers as well as for the oil suppliers and
3. Tanker Nomenclature and Fleet Statistics traders and also the owners of these ships. Aside
4. The Economics of Tanker Markets from its vast commercial implications, tanker trans-
5. The Regulatory Environment portation is also becoming an epicenter of global
attention for reasons ranging from environmental
6. Recent Developments and Outlook for the Future
sensitivity to geopolitical apprehension, as evidenced
through the actions and reactions resulting from a
November 2002 catastrophe involving a laden tanker
Glossary off the Brittany coast of Spain as well as the
charterer An individual or entity, such as an oil company, involvement of Venezuelan oil tankers in that South
that contracts the services of a ship under different American nation’s ongoing economic paralysis at the
chartering arrangements. time of this writing. Although not widely recognized
charterparty The chartering agreement or contract be- outside the industry, tanker transportation has al-
tween a ship owner and the charterer. ways had inextricable links with oil trading and its
deadweight (DWT) A rough measure of the cargo-carrying geopolitics from its very formative years.
capacity of an oil tanker.
Panamax The largest size ship that can safely transit the
Panama Canal given the limitations of the Panama
Canal locks. 1. BRIEF HISTORY OF OIL
spot charter A ship contracted for a specific voyage by a TRADING AND TANKER
charterer. TRANSPORTATION
Suezmax A fully loaded tanker that can transit the Suez
Canal.
supertankers Large and ultra large tankers.
1.1 The Early Years
time charter The leasing of a ship for a given period of Oil trading began during the late 19th century, with
time by a charterer. the United States being the leading source and the
U.S.-based Standard Oil being the most dominant
player, exporting refined oil to Europe using its fleet
Tanker transportation serves as a vital link in of purpose-built small ships. The Nobel brothers,
facilitating the movement of oil and petroleum sons of Alfred Nobel (the inventor of dynamite),
products from their limited sources of origin to their built up a competing European fleet during the mid-
innumerable destinations the world over. This 1880s to trade oil from Russia that flourished until
particular segment of the ocean shipping industry the Bolshevik revolution. Crude oil trading was not
constitutes the largest component of seaborne cargo considered a feasible option during those years due
movements today, with tanker cargoes accounting to the relatively low value of the commodity. During
for approximately one-third of all cargoes shipped by the post-World War I era, short-haul crude oil trade
sea. Although oil is also transported through originated, with most movements being to the United
pipelines as well as by tanker trucks and tanker rail States from the nearby Latin American sources of
cars, these movements are relatively minor and often Mexico and Venezuela. As the crude oil trade
confined to national or (in some limited cases) increased gradually, so did the need for new refining

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 1


2 Tanker Transportation

capacity in major consumption markets. The Middle vary depending on daily market swings, it would
East and its vast oil resources came under Allied have an impact on the price of crude oil from various
control during World War II and helped to meet the suppliers despite its being a homogenous commodity.
wartime logistical needs of the Allied forces. Another Accordingly, the oil majors procured barely one-
major development during those war years was the tenth of their transportation requirements of those
rapid construction of a large number of T-2 tankers years from the open market through spot charter
by U.S. shipyards to supply fuel to the Allied fleet. agreements. Although they had the wherewithal to
On completion of the war, the surplus T-2 tankers provide all of their tanker needs in-house, such an
were sold off at low prices, laying the foundation for attempt would only help their competitors, especially
the shipping fortunes of many entrepreneurial tanker the smaller oil companies (as postulated by Zanne-
owners during subsequent years. tos), so this was not attempted.
During the postwar era, the Middle East emerged
as the focal point of the oil industry, which by this
1.2 The Golden Years
time had supplanted coal as the most dominant
source of primary energy for a world economy The 1960s was a period of spectacular growth in the
recuperating from the ravages of two closely fought oil industry in general, and the tanker market in
world wars. Thus, although the Gluckauf, a proto- particular, due to its derived nature. The rapidly
type of the modern oil tanker, was launched in 1886, growing U.S., Western European, and Japanese
the highly specialized tanker transportation sector of economies consumed large quantities of crude and
the current vintage did not originate until the 1940s refined oils, and the United States, an oil exporter
and 1950s. The increased demand for crude oil came during earlier years, became dependent on foreign oil
not only from the United States and Western Europe by the mid-1960s. Correspondingly, oil tankers
but also from a rapidly recovering Japan, a nation began to increase in both number and size. The ship
devoid of indigenous oil resources. The distances size limitation of 65,000 deadweight (DWT) im-
between such major consumption and production posed by the dimensions of the Suez Canal was no
centers of crude and refined oils contributed toward longer relevant, with the bigger vessel sizes benefiting
increased demand for the transportation of those from their economies of size and contributing toward
commodities, crude oil in particular. Accordingly, the lower unit cost of oil transportation. The construc-
demand for oil tankers rose, hence the meteoric tion of Universe Apollo of 100,000 DWT in 1959
growth of that specialized market in a very short was a major landmark, as was the construction of the
span of time. As viewed by maritime economists, first ultra large crude carrier (ULCC), Universe Iran,
tanker transportation is a derived demand industry, 10 years later in 1969. A study by Tusiani
for fluctuations in the oil volumes traded usually lead documented that although the first 200,000-DWT
to very perceptible impacts on the trading conditions tanker was not delivered until 1966, by 1973 there
within the tanker market. were a total of 366 such very large or ULCCs in
Until 1952, tankers were operated primarily by trade, with another 525 being under construction or
the big oil companies, with independent ship owners on order at the time—ample testimony to the
playing a fringe role. It was typical to find marine sanguinity of the period. Thus, with the increase in
transportation divisions within the corporate hier- demand for crude and refined oils apparently
archies of the vertically integrated multinational oil showing no end in sight, new tankers of increasing
majors. Traditional ship owners entered the market sizes, financed by overly optimistic shipping finan-
for a brief span in 1953, to be followed later by ciers, were being ordered at unprecedented levels,
government-owned shipping companies. By the early characterizing the 1960s and early 1970s as golden
1960s, the oil majors’ investment in direct ownership years of the tanker transportation sector.
of oil tankers had dropped to approximately one- From the oil majors’ perspective, their domination
third of the global fleet. However, the oil majors still of the retail market was challenged by the evolution
maintained direct control of 90% of their transpor- of the oil spot market in Rotterdam, Netherlands,
tation requirements, supplementing their owned during the late 1960s that allowed the entry of
fleets with ships on long-term time charter from nontraditional retailers in the market. The role of
independent ship owners. It was important for the oil politics in oil trading and tanker transportation had
companies to maintain such control because the also become clearly obvious by this time, starting
ocean transportation component was a factor input with a brief closure of the Suez Canal in the wake of
in the landed price of their commodity. If this were to its nationalization by Egypt in 1956, leading to an
Tanker Transportation 3

immediate increase in freight rates for a brief span of contracts signed during the waning golden years
time. A more lasting closure of the Suez Canal that discussed in the previous section) and huge mortgage
began in 1967, as war broke out between Egypt and payments. Thus, the golden era of the tanker
Israel, remained in effect until 1975. This increased transportation sector came to an abrupt end and
the sailing time to destinations in Europe and North was replaced by a period of gloom and doom that
America, thereby increasing the demand for tankers only worsened during the 1980s as the sector began
and further consolidating the good fortune of some to bear the full brunt of the conservation measures
tanker owners. The Organization of Petroleum enacted after the second oil supply shock. As the oil
Exporting Countries (OPEC) cartel, formed in prices began to stabilize, the cohesion of the OPEC
1960, remained relatively benign during the decade cartel itself came under threat, with member nations
and did not flex its political muscle until 1973. Thus, undercutting each other and crude oil prices drop-
as discussed next, an era of turbulence and un- ping to as low as $10/barrel. The price eventually
certainty quickly permeated the oil trade and tanker stabilized at approximately $15 to $18 per barrel by
transportation market, in stark contrast to the the late 1980s, and trade volumes resumed their
opulent 1960s and early 1970s. increasing trend. Once again, the demand for oil
tankers began to rise, as did the profitability of
tanker owners, until that trend was altered by a new
1.3 The Uncertain Years
set of problems triggered by the grounding of the
The Yom Kippur War of 1973 put a dramatic end to Exxon Valdez (discussed later). The next section
the phenomenal growth that oil and tanker markets discusses current trends in oil movements, an under-
experienced during the previous two decades. This, standing of which is essential to comprehend the
along with the Arab embargo of oil shipments to the dynamics of the contemporary tanker transportation
United States and The Netherlands and the increas- market.
ing dependence of the United States on oil imports,
led to the first oil price shock during which the OPEC
nations raised the price of a barrel of oil fivefold on
an average to $10/barrel. Furthermore, the Arab 2. CURRENT OIL MOVEMENTS
nations expropriated American and European oil AND TANKER DEMAND TRENDS
investments in their countries. However, all of these
were merely temporary setbacks, and the global International Energy Agency statistics show that total
demand for oil increased again once the embargoes primary energy supply through crude oil increased
were lifted. The Middle East consolidated its position from 2880 million tons of energy in 1973 to 3700
as the world’s largest exporter of oil by the late million tons of energy in 2000. Table I shows the
1970s, supplying close to three of every five barrels major producers of crude oil and petroleum products
of oil exported in the world. However, the increasing in 2001, and Table II shows the major exporters and
oil prices made oil exploration economically feasible importers for the year 2000. A recent study by Glen
in politically safer locations such as Alaska and the and Martin estimated that 59% of world oil
North Sea. The apparent reemergence of stability in produced in 2000 was traded by sea, a significant
oil market was once again disturbed by political increase from the prior levels of 48% in 1990 and
events in Iran, hence the second oil supply shock in 56% in 1995. However, estimating demand for
1979–1980 that quadrupled oil prices. The subse- tanker transportation based purely on the volumes
quent introduction of oil conservation initiatives in traded would be inaccurate unless the distances
major consuming nations, as well as the sudden involved were also included. As an example, the
growth of non-OPEC sources of oil, made significant disruption in oil movements caused by the Iraqi
inroads in the market share of the Middle East crude invasion of Kuwait induced nations such as the
oil in particular. The collective effects of these United States to partially substitute their dependence
developments were so remarkable that the level of on Middle East oil with oil from closer, politically
global oil consumption reached in 1979 was not safer locations such as the North Sea, West Africa,
surpassed until 1990 and was only 13% higher even Venezuela, Mexico, and Colombia. In such cases,
21 years later in 2000. even if the volumes imported were to stay the same,
The events of this period were particularly the demand in ton-miles would drop. A study by
troubling for tanker owners who were left with Kumar reported that a shift of 10 million barrels per
surplus shipping capacity (built under speculative day in sourcing the U.S. crude oil imports from the
4 Tanker Transportation

TABLE I
Major Producers of Crude Oil and Petroleum Products, 2001

Crude oil Petroleum products

Producer Million tons Percentage of world Producer Million tons Percentage of world
total total

Saudi Arabia 421 11.8 United States 823 23.7


United States 354 9.9 Japan 207 6.0
Russia 347 9.7 People’s Republic of 196 5.6
China
Iran 186 5.2 Russia 174 5.0
Mexico 179 5.0 Korea 122 3.5
Venezuela 173 4.8 Germany 116 3.3
People’s Republic of 166 4.6 India 101 2.9
China
Norway 162 4.5 Italy 95 2.7
Canada 125 3.5 Canada 94 2.7
United Kingdom 118 3.3 France 89 2.6
Rest of world 1343 3.7 Rest of world 1458 42.0
World total 3574 100.0 3475 100.0

Source. International Energy Agency (2002).

TABLE II
Major Exporters and Importers of Crude Oil and Petroleum Products in 2000

Crude Oil Petroleum Products

Exporter Million tons Importer Million tons Exporter Million tons Importer Million tons

Saudi Arabia 320 United States 511 The Netherlands 63 United States 74
Norway 146 Japan 214 Russia 54 Japan 51
Russia 144 Korea 123 Saudi Arabia 53 The Netherlands 45
Iran 116 Germany 104 United States 49 Germany 42
Venezuela 115 Italy 90 Singapore 41 Singapore 39
Nigeria 107 France 86 Korea 40 France 27
Iraq 102 People’s Republic 70 Venezuela 37 People’s Republic 24
of China of China
United 93 India 67 Kuwait 26 Korea 23
Kingdom
Mexico 92 The Netherlands 61 Algeria 21 Italy 20
United Arab 84 Spain 59 United Kingdom 21 Spain 20
Emirates
Rest of world 656 Rest of world 642 Rest of world 352 Rest of world 319
World total 1975 2027 757 684

Source. International Energy Agency (2002).

Middle East to the North Sea would reduce tanker North Sea oil, would have a similar detrimental effect
demand in ton-miles, making 32 very large crude on tanker demand. In situations like this, unless
carriers (VLCCs) redundant. Likewise, a shift in the tanker demand in other optimum long-distance
sourcing of crude oil in Western Europe from the routes pick up, the very large tankers will migrate
Middle East to closer sources, such as Russian and into suboptimal routes that are usually served more
Tanker Transportation 5

efficiently by smaller vessels, and this will lower the Sea, Sidi Kerir, Indonesia/East Malaysia, China, the
freight rate for all players in the market. East Mediterranean, the Baltic Sea, and the Red Sea.
It is worth noting that the ton-mile demand for oil The major import areas for 2000, also in descending
tankers reached its highest value in 1977, whereas order, were Western Europe, the United States,
the crude oil volume traded continued its upward Japan, South Korea, Canada’s east coast, Taiwan,
trend until 1979. The ton-mile peak reached for and Hong Kong.
crude oil movements remains unsurpassed even
today. Currently, although the United States alone
is responsible for one-quarter of the world crude oil
consumption, much of its imports come from closer 3. TANKER NOMENCLATURE AND
locations that include Canada, Mexico, Venezuela, FLEET STATISTICS
West Africa, and Colombia. The Former Soviet
Union is now a prominent supplier of oil to Europe. Oil tankers can be classified into two broad cate-
Although roughly one-half of all current world crude gories: crude oil tankers and product tankers. Crude
oil exports originate from the Middle East, and its oil tankers are typically large dedicated ships that
major export markets are currently in the Asia Pacific carry solely crude oil. As an example, the Jahre
region to countries such as Japan and South Korea. Viking, a crude oil tanker built in 1977, is the largest
Because the Middle East–Asia Pacific trade is a floating object ever built and would require 16,500
relatively long distance trade optimal for the large road tanker trucks to empty its full load of cargo.
tankers and also because the overall crude oil Although it is theoretically possible for a crude carrier
volumes transported by sea are on a rising trend, to carry petroleum products, the time and monetary
the redundancies made by the crude oil sourcing costs associated with tank cleaning for such a switch
shifts in Western Europe and the United States have would be prohibitively high so that it is rarely done
not had a sustained direct impact on the market for these days in tanker operations. The crude carriers are
very large tankers. As indicated in Table III, the classified based on their carrying capacity and
estimated productivity of tanker fleet in terms of suitability for a particular trade, as depicted in
cargo loaded per deadweight ton, as well as the ton- Fig. 1. However, there is considerable variation in
mile demand, is on a steady upward trend after its the deadweight figures for a particular class. For
precipitous drop during the 1980s and early 1990s. example, a deepening of the Suez Canal would propel
However, as noted by Glen and Martin, the average an upward adjustment of the capacity of a Suezmax
tanker haul recorded in 2000 was 4917 miles, while tanker. The VLCCs and ULCCs are usually used on
the average in 1977 was 6651 miles. The 26% drop the long-distance hauls, whereas the medium-sized
in ton-mile demand is too severe a shock for a forlorn vessels, Suezmax and Aframax, are used in the
tanker owner reminiscing about the golden years. medium-distance ranges (e.g., from West Africa to
The major export areas in oil trade for the year 2000, the United States). The Panamax vessels are the
in descending order, were the Arabian Gulf, West largest tanker sizes that can transit the Panama Canal.
Africa, Venezuela, Mexico, North Africa, the Black The product carriers, which are smaller vessels
than the crude carriers, transport both the clean and
TABLE III dirty products of the petroleum refining process.
Estimated Productivity of Oil Tankers for Selected Years
However, because of the level of tank cleaning
required, they usually do not switch from carrying
Oil cargo carried clean products to carrying dirty products. Contrary
(in million tons) Tons per Demand in to the crude carriers, product carriers are built to
by Tankers DWT of billion Ton-miles facilitate the carriage of multiple products simulta-
Year 4 50,000 DWT tankers ton-miles per DWT
neously. They are kept well segregated throughout
1970 1182 8.58 6039 43.82 the loading, loaded passage, and unloading opera-
1980 1564 4.79 9007 27.56 tions using a complex and sophisticated network of
1990 1427 5.96 7376 30.81 pipelines and valves on-board the ships. Further-
1998 1985 7.10 9465 33.86 more, whereas the crude oil movements are typically
1999 1988 7.04 9586 33.94 one-way trades that consist of a loaded transit
2000 2070 7.25 10,107 35.41 between one of the few export locations in the world
and a major refining center followed by a ballast
Source. UN Conference on Trade and Development (2001). voyage back to the load port, product carrier
6 Tanker Transportation

Tanker transportation

Crude oil tankers Product carriers Others

• Panamax • Handy • Tank barges


60,000−80,000 DWT 25,000 −50,000 DWT • Combination
carriers
• Aframax • Large
• Parcel tankers--
80,000−120,000 DWT 50,000 −100,000 DWT
chemical,
• Suezmax • VLPC
gas
120,000−160,000 DWT 100,000 DWT+
• VLCC
160,000 −319,999 DWT
• ULCC
320,000 DWT+

FIGURE 1 Tanker classification. VLCC, very large crude carrier; ULCC, ultra large crude carrier; VLPC, very large product
carrier.

movements are more dynamic and provide better operating fleet for each chosen year. As shown, the
vessel use. It is not unusual to find a product carrier global tanker fleet is on a rising trend once again and
bringing certain products to a particular site fol- the idle capacity is on the decline, showing a tighten-
lowed by loading a different group of distillates from ing market in general.
a refinery in that discharge port or its vicinity for
discharging elsewhere.
Figure 1 also includes a third category that
consists of tank barges and other ships linked to 4. THE ECONOMICS OF
the transportation of oil and its by-products. Tank TANKER MARKETS
barges usually operate in coastal trade. Combination
carriers, specially constructed ships that can switch Zannetos’s extensive analysis of the tanker market
from trading bulk crude oil to trading dry bulk found it to be rather concentrated, with 1.5% of the
commodities, are relatively small players in today’s owners owning 35% of the fleet and the remaining
tanker market. The parcel tanker sector consists of 65% dispersed among the rest of the owners, none of
highly specialized chemical tankers, liquefied petro- which had a capacity share that exceeded 7% of the
leum gas (LPG) carriers, and liquefied natural gas global fleet. Paradoxically, despite the seemingly
(LNG) carriers. These vessels also operate outside the concentrated nature of tanker ownership, Zannetos
tanker market and are not typically included in a found that the market for oil tankers behaved as if it
discussion on tanker transportation. Figure 2 pro- were perfectly competitive. Although a study by
vides a summary of the tanker fleet developments Kumar in 1995 based on the tanker market condi-
during the past decade or so. It shows the total tions of the post-Exxon Valdez years highlighted the
tanker (gross) and net tanker fleet for each of the elevation of entry barriers in tanker markets and the
years, with the difference being the idle capacity. The potential for oligopolistic behavior by incumbents, it
total active fleet for each year is obtained when the is fair to surmise that the market has remained highly
combined carrier tonnage is added to the net competitive throughout its life span. This section
Tanker Transportation 7

350

300

250

Million DWT
200

150

100

50

0
1989 1992 1995 1998 2001 2002
Tanker fleet 233.9 255.4 265 268.7 284.1 283.5
Net operating fleet 221.6 243.9 251.9 254.9 278.2 278.4
Active fleet 233.3 255.7 263.3 266.2 290.7 291.2

FIGURE 2 Tanker fleet statistics. Data from R. S. Platou (2002).

provides a discussion of the ownership trends, market The demand for oil tankers can be satisfied either
dynamics, cost categories, and tanker freight rates. through their direct ownership or through the well-
established tanker charter market that exists in
4.1 Tanker Ownership and commercial centers such as London and New York.
The charter market brings together cargo brokers
Market Mechanics
and ship brokers acting as agents of the cargo owners
Although the market has maintained its competitive and ship owners, respectively. With the help of their
features, the ownership structure in the market has specialized knowledge, tankers are fixed either on
undergone radical changes. The oil majors, in long-term charters or, increasingly, on spot or voyage
particular, have shifted away from a policy of direct charters. Whereas a time charter agreement allows
control of bulk of their tanker transportation needs the exclusive use of a ship and its crew for an
to one of greater dependence on the spot market for extended period of time (e.g., 1 year), the spot or
chartering ships on an ‘‘as needed’’ basis. The study voyage charter agreement covers one specific voyage.
by Glen and Martin provided three reasons for the It is also possible to acquire tankers on bareboat
ongoing structural change in the composition of charter, an arrangement under which bare ships are
ownership of oil tankers: the evolution and growth handed over to the chartering interest, typically for
of the spot market for oil and oil products, a change long periods of time (e.g., 5 years). The charter
in the logistics strategy of oil companies, and the agreement in all cases is generally referred to as a
increasing environmental awareness of the public at charterparty. There are a number of standardized
large that has led to the imposition of new time and voyage charterparty clauses in existence
environmental regulations that directly affect tanker today that are widely understood by all parties
operations. Their study also found that the tanker involved and constitute the boilerplate clauses of all
fleet owned by the top 10 independent owners was charterparties.
162% larger than the fleet size owned by the top 10
major oil companies. However, if one were to
eliminate the fleet owned by government-owned oil
4.2 Tanker Costs and
companies from the preceding statistics, the tonnage
Operations Management
owned by the remaining oil majors would be close to
10% of the fleet owned by the top 10 independents. There are three categories of costs involved in tanker
Using capacity shares as a proxy for market operations and management: capital cost, running
competitiveness, the tanker market maintains a cost, and voyage cost. Capital cost is the cost of
highly competitive stance. It also meets the basic acquiring the tanker and represents a fixed cost.
behavioral assumptions of the perfect competition Running cost is a semivariable cost and includes
model within limits. crew salaries and subsistence cost, maintenance and
8 Tanker Transportation

dry-docking costs, stores and lubricant costs, and their recent study, such trends have led to the
administrative expenses. Voyage cost varies with globalization of the shipping industry in general.
individual voyages depending on the distance and the Indeed, the tanker market exhibits very high levels of
route involved. Examples of this category include globalization, with the nations of Panama and
fuel cost, tug and pilot charges, port and harbor Liberia being the largest registries of such vessels,
dues, and cost of transiting a canal(s). The preceding although the beneficial ownership of those vessels
costs are borne by either the charterer or the ship still remains in traditional ship-owning nations such
owner under different charter agreements. With a as Greece, the United States, and Japan. Unfortu-
voyage charter, the ship owner bears all three costs nately, such practices may also be used by unscru-
and any surplus from the charterhire would be the pulous ship owners to overcome the mandated
owner’s profit. With time charter agreements, the minimum standards of safe ship operation, resulting
ship owner bears capital cost as well as running cost, in tarnishing the image of such liberalism in shipping.
whereas with bareboat charters, the ship owner bears Another strategy to bring down the operating
only the capital cost, with all other costs being borne cost of tankers, used independently or in combina-
by the charterer. tion with the flagging out strategy, is through
Unlike capital costs and voyage costs, running outsourcing the technical management of ships to a
costs can be trimmed through various strategies. third party that specializes in ship management. This
Accordingly, ship owners might pursue entrepreneur- has become particularly useful during the con-
ial options such as flagging their vessels in countries temporary era because it helps the ship owners
outside their own where there is a more benevolent focus more on the strategic aspects of ownership
attitude toward shipping through liberal regulatory while delegating the mundane technical aspects to a
and taxation policies. These convenient open flags of specialist who has the expertise as well as the
registry also offer liberal crewing options, particu- economies associated with managing the operations
larly attractive to ship owners from nations such as of a larger fleet of ships. Furthermore, with the entry
the United States where labor costs are approxi- of unconventional ship owners such as pension funds
mately five times more expensive than the going and banks, there is no option but to use such
international market rates. As shown in Fig. 3, the dedicated ship managers who possess the technical
tanker tonnage of developed market economy know-how and expertise. The market for ship
nations has been halved during the past 30 years, managers is also highly competitive with relatively
whereas the tonnage of the open registry fleet has no entry barriers, and there is considerable swapping
doubled and that of the developing countries has of ships from one manager to the other as warranted
quadrupled. As Kumar and Hoffman discussed in by circumstances.

70

60

50
Percentage share

40

30

20

10

0
1970 1980 1990 1998 1999 2000
Developed market 63.9 52.5 37.3 29.8 30.5 30
economy countries
Open registry 26.4 36.2 41.6 51.2 50.2 50.8
Developing 4.7 7.7 16.3 15.9 16.2 16.1
countries
FIGURE 3 Tanker ownership by country groups. Data from UN Conference on Trade and Development (2001).
Tanker Transportation 9

4.3 Freight Rates facilitate easier comparison of market conditions. By


converting the WS figures into time charter equivalent
It is to be noted that transportation cost is a very (TCE), a comparison can be made to the current rates
small component in the retail price of oil. As an in the time charter market. Likewise, a fixture in the
example, the study by Glen and Martin noted that in time charter market can be converted into a WorldS-
the United Kingdom, the transportation cost compo- cale equivalent (WSE) for comparison with rates in the
nent amounts to less than 1.3% of the landed cost of spot market. From a ship owner’s perspective, it would
petrol. The relatively minor incidence of the freight be preferable to have the ship on long-term time
component in the landed cost makes it highly inelastic charter when the spot rates are headed down, whereas
in nature, as predicted by economic theory and also spot fixtures would be more attractive in a rising
as documented by various studies. However, as was market. However, tanker chartering still remains more
made painfully clear especially after the second oil of an art than a science given the inability to foresee
price shock, the demand for tanker transportation is the market changes with any level of comfort.
directly related to economic activity in general so is Ship owners have the option of laying up their
elastic. Thus, it would be typical to find a global ships when the market conditions are poor. Although
recession during which manufacturing activity is this eliminates their voyage costs and reduces the
considerably reduced, negatively affecting the de- running costs, there will be no respite from making
mand for oil tankers and with the resulting excess capital cost payments. As the market recovers, idle
supply of shipping capacity suppressing the freight capacity reenters the trade. However, as noted by
rates. The industry is very cyclical in nature, with no R. S. Platou, a leading ship broker, so long as the
reliable forecasting mechanism to predict its vacilla- capacity use remains below 80%, freight rates remain
tions. A period of high freight rates, whether caused relatively stable. Glen and Martin referred to this as
by external stimuli (e.g., war, political boycott) or the elastic segment of the short-run supply curve of
random events (e.g., an unusually strong winter in the tankers. The slope of the curve increases beyond the
northern latitudes), usually leads to high exuberance 80% range and becomes fully vertical (completely
in the market. It is immediately reflected through inelastic) when all existing ships are used. Under such
increased new orders for ships, rising prices of circumstances, any increase in the derived demand
second-hand ships, and reduced scrapping of older would cause dramatic fluctuations in the freight rate
tonnage. The ship owners often find the circum- and, hence, the profitability of tanker owners. In the
stances to be changing precipitously in the other long run, the introduction of newer and more efficient
direction, more often for reasons beyond their ships would bring down the marginal cost of
control, although their own actions during the years transporting the oil, culminating in the low incidence
of opulence may have indirectly contributed to the of ocean freight in the landed cost of oil discussed
volatility and made the transition even more painful. earlier. Furthermore, recent studies by Kavussanos
There are different ways of expressing tanker freight and by Glen and Martin showed that different sizes of
rates. The term used to quote freight rates in the spot tankers operate in distinct markets with varying levels
market is in WorldScale (WS), where WS100 is a of risk and returns, although all of the submarkets
nominal index number. The WorldScale Association remain interdependent in the long run. One common-
publishes an annual listing of WS100 rates (in dollars/ ality that affects all segments of the market, and that
metric ton) for all potential trade routes for a standard is becoming increasingly significant, is the regulatory
75,000-DWT tanker operating under assumed condi- environment in which all tankers operate.
tions and earning a notional daily hire of $12,000. The
principle behind the WS system is that regardless of
the voyage undertaken, identical tankers will earn the 5. THE REGULATORY
same gross revenue per day. The WS nominal rate ENVIRONMENT
serves as a starting point for spot charter negotiations,
and because the total earnings are proportional to the The operations on-board an oil tanker are radically
quantity of cargo carried, a vessel with a lower different from those on other types of ships,
carrying capacity would typically bargain for a higher primarily due to the physical properties of the cargo.
WS rating than would a larger vessel, assuming that The entire cargo operations are highly automated
both were trading on an identical trade. Any spot and proceed with no one on-board the ship or shore
market fixture in which freight rates are expressed in seeing the cargo physically. Even minor misunder-
dollars per ton can be converted into WS figures that standing of an order or a miscalculation can cause a
10 Tanker Transportation

major spill in pristine locations. By the same token, a pollution incident. It mandated the need for double-
tanker crewed by properly trained seafarers under hull tankers and established a phase-out period for
good management could very well be the safest ship the existing single-hull tankers. Above all, the law
afloat. Although most tanker voyages today are also eliminated the limitation of liability of ship
completed safely and go unreported, even a minor owners involved in pollution incidents, and many
tanker pollution accident often gets widespread tanker owners immediately responded by staying
attention from the media, and the image of a away from the U.S. market (at least temporarily).
polluted beach laden with dead flora and fauna is a The IMO enacted new tanker design rules in the
sad and telling picture. Given the increasing environ- wake of the U.S. initiative, giving ship owners the
mental awareness of society at large, a tightening of option of building ships with double hulls or an
the regulatory environment of oil tankers was only to equivalent level of protection. However, given the
be expected. Furthermore, investigations of many U.S. mandate, the industry has gravitated toward the
maritime casualties have shown repeatedly that most double hull as the requisite standard bearer.
accidents were attributable to the human factor. Given the diversity in ship ownership and opera-
The International Maritime Organization (IMO), a tion, the existence of multilateral and/or unilateral
multilateral governmental entity established under the regulations alone does not necessarily make the
auspices of the United Nations to promote safer industry any safer. Investigation of past casualties
shipping and cleaner seas, has been a key player in has often shown some flag states to be negligent in
this field. The 1973/1978 MARPOL Convention enforcing the statutes. As a result, many nations have
imposed on tanker transportation greatly ameliorated enacted a procedure whereby ships that visit their
the operational pollution of the seas, previously the ports are inspected by local authorities for compli-
predominant cause of oily efflux from tankers. The ance with international standards. Such port state
International Safety Management (ISM) Code control inspections are now very common in most
Amendment to the Safety of Life at Sea Convention trading areas and result in rogue ships being arrested
and the Amendments to the Standardization of and their names being publicized through the media
Training, Certification, and Watchkeeping (STCW) Despite all of the new regulations, tanker accidents
Convention are two recent multilateral regulatory still do happen, as was illustrated in the case of the
developments of particular significance. The ISM ship Erika, a 1970s Japanese-built, Maltese-flagged,
Code for the Safe Operation of Ships and Pollution Italian-owned tanker. The ship, laden with 30,000
Prevention applies a very tough set of standards to all tons of viscous fuel oil on a voyage from Dunkirk to
aspects of shipboard operations and management. Leghorn (under charter to TotalFinaElf, the French
Furthermore, the shore office and the management of oil major), encountered stormy seas and sank off the
the firm also come under scrutiny, thereby expanding coast of France in December 1999, spilling 12,000
the scope of the regulatory reach to areas that were tons of its cargo and causing severe environmental
traditionally excluded. The Amendments to the and economic damage. The IMO, under pressure
STCW Convention have attempted to raise the from the European Union, amended the MARPOL
threshold of seafarer education and training in general Convention in April 2001 to speed up the phasing
by mandating the minimum acceptable levels. The out of single-hull tankers and also empowered
establishment of such a floor in maritime education member states to ban the entry of such tankers that
was long overdue given the wide disparity in the are more than 25 years old. One direct consequence
knowledge, skills, and abilities of seafarers and the of the changing regulatory ambience has been the
propensity of unscrupulous ship owners toward trend toward divestment of tankers by oil majors
staffing their vessels with the cheapest crews available. such as Exxon–Mobil. Currently, the oil majors’
The most drastic regulatory impact on tanker tanker fleet is the smallest that they have ever had
transportation came from a unilateral regulation during the modern tanker era.
enacted by the United States in response to the
grounding of the Exxon Valdez off Alaskan waters.
The U.S. Oil Pollution Act (OPA) of 1990 is a
comprehensive plan to prevent and clean up oil spills, 6. RECENT DEVELOPMENTS AND
impose greater liability on those responsible for OUTLOOK FOR THE FUTURE
spills, and compensate those who suffer resulting
economic damage. Its provisions include liability, Developments during the first 3 years of the new
compensation, prevention, and removal aspects of a millennium serve as an excellent synopsis of the
Tanker Transportation 11

unpredictability of the tanker transportation sector. movements in 2003. The OPEC cartel, faced with
Commercially, 2000 was an exceptional bull market the high oil prices affecting their potential market
year, with a tightening supply of ships and increasing share, has been moving to increase production and
demand. However, there was a precipitous down- attempt lowering the crude oil price to the $25 to
ward dip in 2001, as depicted in Fig. 4, due to a $28 range, which is optimal for their own sustained
global recession that led to lower demand for oil competitiveness. The increased loading from OPEC
along with the rising security concerns resulting nations will also need larger tanker tonnage and,
from the World Trade Center attacks. The relatively hence, will increase their demand. The trade journals
weak winter season in North America and the reported a tripling of the daily charterhire for
reemergence of Russia as a major player in the oil modern VLCCs to $74,000 per day in early January
export sector did not help the tanker market either. 2003 from the 2002 average level of $23,300
However, the market dynamics changed dramati- per day.
cally in mid-October 2002, once again driven by The spectacular progress made in the safety of the
geopolitical developments. As the possibility of a sea and in the reduction of environmental pollution
U.S. attack on Iraq became evident in October 2002, from tanker operations was documented in a recent
charterers began stockpiling inventory prior to the study on oil in the sea by the U.S. National Research
outbreak of hostilities and increasing the demand Council. According to that study, 62% of the
for modern larger tankers that eventually filtered petroleum hydrocarbon inputs into North American
down to the smaller classes of ships. Further- marine waters during the 1990s came from natural
more, the ongoing political crisis in Venezuela had seeps, 32% came from the consumption of oil, and
halted oil exports from that nation. This affected the only 3.5% came from the transportation of petro-
tanker market directly due to the involvement of leum (none of which was caused by routine opera-
striking government-owned Venezuelan tankers as tions such as tank cleaning). The corresponding
well as to the urgency to find alternate oil supplies worldwide figures were 46, 37, and 11.5%. The
for the United States, a nation that depended on Kumar and Hoffman study also documented the
Venezuela for 13% of its oil imports before the decreasing loss of ships and lives at sea. However,
political crisis began. Because the new supplies there was yet another tanker laden with heavy fuel
would have to come from more distant sources, this oil that broke and sank off the coast of Spain in
would also add to the demand in ton-miles of oil November 2002, a stark reminder of the Erika

60

50
Thousands of dollars

40

30

20

10

0
1997 1998 1999 2000 2001
VLCC, modern 36.6 33.3 19.6 53.4 34.7
VLCC, old 23.8 23.7 11 33.1 19.1
Suezmax, modern 25.1 22 16 40.3 31.9
Aframax, modern 22.8 16.6 13.2 36.7 31.6
Long-range
product, modern 19.7 17.2 12.7 31.7 40.6
Medium-range
product, modern 12.8 11.1 8.4 16 18.4

FIGURE 4 Average single voyage freight rates. Data from R. S. Platou (2002).
12 Tanker Transportation

tragedy. The Prestige, the ship in question, was a 26- SEE ALSO THE
year-old, Japanese-built, Bahamas-flagged single-hull FOLLOWING ARTICLES
tanker operated by a Greek firm, certified by a U.S.-
based classification society, and on charter to a Crude Oil Releases to the Environment: Natural Fate
Switzerland-based Russian trading company carrying and Remediation Options  Crude Oil Spills,
heavy fuel oil from Latvia to Singapore. This has Environmental Impact of  Marine Transportation
reenergized the opposition to single-hull tankers in and Energy Use  Oil and Natural Gas: Offshore
the European Union as well as in the United States. Operations  Oil Industry, History of  Oil Pipelines
The European Union has been pushing for a ban on
all single-hull tankers by 2010 as well as on any
tanker more than 23 years old, 5 years ahead of the Further Reading
current mandate. It also has banned such tankers
carrying the heavy fuel oil-type cargo from calling at Glen, D., and Martin, B. (2002). The tanker market: Current
structure and economic analysis. In ‘‘The Handbook of
European ports. This will affect the market signifi- Maritime Economics and Business’’ (C. Grammenos, Ed.), pp.
cantly given that 53% of the world tanker fleet is of 251–279. LLP, London.
single-hull design and 80% of those ships are at least Huber, M. (2001). ‘‘Tanker Operations: A Handbook for the
15 years old. Person-in-Charge.’’ 4th ed. Cornell Maritime Press, Centreville,
Although the preceding analysis appears to MD.
International Energy Agency. (2002). ‘‘Key World Energy Statistics
imply that owners of good modern tankers stand to 2002.’’ IEA, Paris.
gain from the ongoing market volatility, there are Kavussanos, M. (1996). Price risk modeling of different size vessels
notable troubling developments as well. Piracy in the tanker industry. Logistics Transport. Rev. 32, 161–176.
attacks against merchant ships are on the ascent Kumar, S. (1995). Tanker markets in the 21st century: Competitive
or oligopolistic? Paper presented at the First IAME Regional
once again and currently cost the global economy
Conference, Massachusetts Institute of Technology, Cambridge,
$25 billion per year, according to the International MA.
Maritime Bureau. The consequences of a piracy Kumar, S., and Hoffman, J. (2002). Globalization: The maritime
attack on a laden oil tanker in a sensitive region nexus. In ‘‘The Handbook of Maritime Economics and
could be truly catastrophic, and the economic Business’’ (C. Grammenos, Ed.), pp. 35–62. LLP, London.
damages could be phenomenal. Furthermore, the Platou, R. S. (2002). Annual report, R. S. Platou, Oslo, Norway.
Tusiani, M. D. (1996a). ‘‘The Petroleum Shipping Industry:
attack on a French tanker off the coast of Yemen in A Nontechnical Overview,’’ vol. 1, PennWell, Tulsa, OK.
October 2002 is a sad reminder that tanker Tusiani, M. D. (1996b). ‘‘The Petroleum Shipping Industry:
transportation could easily become a defenseless Operations and Practices,’’ vol. 2, PennWell, Tulsa, OK.
and innocent victim of terrorism. The recent Al UN Conference on Trade and Development. (2001). ‘‘Review of
Qaeda warning to slash the economic lifeline of the Maritime Transport, 2001.’’ United Nations, New York.
U.S. National Research Council. (2002). ‘‘Oil in the Sea: Inputs,
world’s industrialized societies sounds ominously Fates, and Effects.’’ National Academy Press, Washington, DC.
true given the inherent vulnerability of tanker Zannetos, Z. (1966). ‘‘The Theory of Oil Tankship Rates.’’ MIT
transportation. Press, Cambridge, MA.
Taxation of Energy
ROBERT BACON
The World Bank
Washington DC, United States

income. A number of factors determine the relative


1. Principles and Issues in the Taxation of Energy taxation on different energy products; these include
2. Taxation of Upstream Energy Production factors related to income distribution and equity, to
3. Taxation Of Downstream Energy the need to attract investment into the energy sectors,
and to the correction of various negative externalities,
where the use of a fuel by an individual firm or
Glossary household leads to adverse impacts on other firms
and households. The magnitude of tax receipts from
downstream The stage of use or consumption of energy upstream energy production leads to a number of
products.
special issues. First, there is the design of the tax
elasticity The percentage change of a response, such as the
structure so as to yield the maximum benefit to the
quantity demanded, caused by a 1% change in some
driving force, such as the price of the good. country not only at the present moment but also over
excise A fixed amount of tax for each unit sold of the the future through its incentives for further invest-
good. ment into the natural resource. Second, the tax
externality A negative externality is created when the receipts need to be transparent to avoid misappro-
actions of one producer or consumer produce an effect priation, and third, their use and expenditure need to
that has negative consequences for other producers or be well planned so as to avoid macroeconomic
households not involved in the decision to take that distortions following ill-founded policies and to
action. preserve equity at the individual and regional levels.
Ramsey taxes The set of taxes on goods and services The nature of the energy sector is such that the oil
designed to raise a given sum of money for the
sector, both upstream and downstream, has the most
government while minimizing the welfare loss to
distinct tax issues; gas upstream followed by coal is
consumers from the higher prices caused by the taxes.
rent The economic rent of a natural resource is the the next most specific, and the taxation of electricity
difference between the price it can be sold for and the is treated virtually everywhere the same as any other
full cost of production including the minimum required good and raises few distinct issues. The relative
return on investment. importance of these factors is reflected in the amount
subsidy The sale of a good below the cost of production of space devoted to them in this article.
financed out of the government budget.
upstream The stage of production of oil, gas, or coal.

1. PRINCIPLES AND ISSUES IN THE


Taxes on energy range from those raised on electricity TAXATION OF ENERGY
sales, which are generally similar to the general range
of taxes on other goods and services, through to taxes The taxation of energy, which involves the transfer of
on automotive fuels, which in most countries are money to the central or local government, related to
considerably higher than taxes on other goods and the production or consumption of energy by a firm or
contribute large amounts to government budgets, and household, is a major source of revenue for most
finally to taxation on the production of oil (which governments in both industrial and developing
occurs on a sizable scale in more than 50 countries), countries. Taxes are levied both on the upstream
which can account for a very large fraction of total (production of primary energy sources, such as crude
government revenue and of the country’s national oil or natural gas) and on the downstream, where the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 13


14 Taxation of Energy

primary source has been transformed or transported individual items and groups of items can be adjusted
to a point where it is consumed (electricity, gasoline). to reflect other criteria. First, the balance between
Downstream energy taxes, which are often high direct taxation of incomes and the indirect taxation
compared to the costs of production or the price of a of goods and services will reflect the ease of
unit of consumption net of tax, can have impacts collection, with low-income developing countries
throughout an economy through raising the price at relying more on indirect taxes, which are easier to
which energy is sold, as well as providing a source of collect. Second, the relative tax rates on different
revenue to finance government spending. Since all goods will reflect the impacts on household welfare.
consumers, apart from the poorest families in Principles of tax design have been developed,
developing countries, and virtually all firms use following the seminal work of Ramsey, which
commercial sources of energy (biomass collected suggest that goods with higher price elasticities of
and burnt by households and small farmers being an demand (sensitivity to a given percentage changes in
example of noncommercial and therefore nontaxed prices) should attract the lowest tax rates and those
energy), this taxation, through both its universality with lower price elasticities should attract higher tax
and its magnitude, substantially affects most house- rates. This principle can be elaborated to take
holds directly through the price paid for energy and account of the degree to which consumers will
indirectly through the impact of the cost of energy on substitute between particular goods as the tax rate
the price of other goods purchased. of one is raised relative to that on the other. A further
The structure of upstream taxation on the extrac- consideration for tax design is that, under certain
tion of oil, gas, and coal is extremely important for assumptions, it is not optimal to tax goods when they
attracting investment into these sectors and hence for are used as an input to another good (such as the case
ensuring that the government can benefit from of fuel oil used for generating electricity) because it is
revenues into the future. Since natural resources less damaging to welfare to tax the final good itself.
often command substantial elements of rent, where- The generalized Ramsey rule can then, in principle,
by the sale price is greater than the full cost of be used to calculate a set of tax rates that raises a
extraction, there is a natural tendency for govern- given sum of money at the least loss of economic
ments to attempt to capture a large share of such welfare to households in the economy. The set of
rents, but this must be balanced against future ‘‘optimal taxes’’ that satisfy these principles is in
receipts, since too high a tax rate will discourage practice difficult to calculate precisely because of the
investment and reduce the future tax base. very large informational requirements that it has and
Taxes, in addition to providing valuable revenue also because it rests on a number of assumptions that
for governments, alter the behavior of firms and do not hold exactly in most countries.
consumers as they react to higher costs and prices. Two further adjustments to the principles of
This can be used as a policy instrument for reducing determining the relative tax rates on different goods
certain ‘‘external effects’’ of the consumption of are of considerable practical importance. Because
certain forms of energy, whereby damage is caused, many governments are concerned with equity and
to those not using these sources, by the emissions income distribution, there is a common suggestion
from their combustion. that tax rates on those goods that form a relatively
higher share of the budget for low-income house-
holds should be lower and tax rates on those goods
that are relatively more important for high-income
1.1 Theoretical Issues in the Taxation
groups should tend to be set relatively high. A final
of Energy
consideration comes from the fact that the consump-
The primary purpose of all forms of taxation, tion and use of various forms of energy, as well as
whether on energy or on nonenergy items, is to raise conferring benefits on those that use them, create
money for the government to finance its expendi- damage and impose costs (both indirect and direct)
tures. Taxes finance the majority of government on those who do not use them. This consideration
expenditure (the rest being financed by borrowing, has led some governments to raise taxes further on
which will have to be repaid from future taxation) so such fuels in order to discourage their use and reduce
that the general level of taxation is determined by the the negative effects on nonusers (the ‘‘polluter pays’’
requirements for government spending. However, the principle). This element is referred to as a Pigovian
same total revenue can be raised by many different tax. An extension of this principle is that it is socially
combinations of taxes, so that the tax rates on more beneficial to correct an externality by taxing
Taxation of Energy 15

the offending good, rather than by subsidizing a Downstream taxation of oil products, whether or
substitute good that creates a smaller external effect. not the country is an oil producer, tend to attract the
general sales tax rate (or VAT) levied on all other
goods, plus an additional excise duty, which usually
varies among them. The use of this additional tax
1.2 Issues in Designing Tax Systems
component on oil products can be justified by several
Governments, in moving from general considerations arguments: there are easily identifiable points of sale;
for the raising of revenue to practical issues, face a they have relatively low price elasticities; in some
number of difficulties. Often, the costs of collection countries they are of larger importance for higher
of certain taxes would be so high, in relation to the income groups than lower income groups; and there
revenue raised, that relying on such a tax would not are associated negative externalities from their
be cost-effective. For example, the taxation of combustion. The use of an excise duty (a fixed sum
incomes in many countries is extremely difficult per unit sold) also gives some stability to this
because of the lack of any apparatus to assess important source of revenue, which otherwise could
incomes. In particular, in developing countries with experience major variations because of the volatility
a large self-employed sector, even identifying who the of the sales tax per unit received caused by large
income earners are would be very costly and then fluctuations in the world oil price.
obtaining any independent check on the levels of Governments raise revenue from the taxation of
incomes would be equally difficult. Hence, although upstream energy, especially oil, through a number of
higher income groups may be taxed directly, the instruments, not all of which are called taxes, but
government will typically look at indirect taxation which function in largely the same way as taxes in
on goods (including energy) and services as a more terms of revenue raising. These include royalty
effective way of collecting the revenue required. payments, normal company taxes, bonus payments,
Conversely, in countries with well-developed means profit oil, and government participation sales. The
of identifying income earners and their sources of particular forms involved in the oil fiscal system,
incomes, direct taxes play a much more important because they have different impacts on returns to the
role for the government’s total budget. companies and to the government in varying circum-
The production of energy, as with other goods and stances (primarily the costs of production, the output
services, is also subject to those taxes that are borne of oil, and the price of oil), will determine the
by companies. The major forms of such taxes are cor- willingness of the private sector to invest in the sector
porate taxes, which are a tax on profits, and dividends and hence the government’s ultimate access to
taxes, which are a tax on incomes received from revenue from this source. If the total tax rate is set
profits. If these are applied at the same rate, very low, there will be plenty of investment but little
irrespective of the sector involved, then the main tax revenue, whereas if the tax is set very high, there
effect is to raise revenue for the government, rather will be little investment and again little tax revenue.
than to shift the relative supply or demand of one Good tax design attempts to ensure a fairly steady
sector versus another. Again, such taxes are most tax revenue stream, which will be high and robust
important in countries where accounting systems are against a variety of circumstances. Upstream taxes
better developed. are unlike most other forms of taxation in that some
Indirect taxation on goods and services has several elements applying to a particular project are part of a
forms. Tax rates can be set as a percentage of the bargain struck before the investment takes place and
final sales price or of value added; the amounts per are not usually changed during the life of that
unit sold collected from such taxes will rise or fall as investment. They can, however, vary from project to
prices rise and fall. Alternatively, taxes can be set as project depending on the particular factors involved
fixed amounts per unit (excise duty) that do not at the time of the negotiation. Upstream tax elements
change with prices. The use of a system of value- of general application have tended to be changed
added taxes (VAT) requires accounts to be drawn up frequently as profitability has changed over time.
by all firms in the production chain, which again is
difficult to monitor in less advanced countries.
1.3 Taxes and the Government Budget
Hence, VAT systems are found mainly in more
advanced economies, whereas sales taxes, which Energy taxes are an important source of revenue in
require the identification only of final sellers, are virtually every country and, for countries that are oil
relatively more common in less developed countries. and gas producers, they can be the dominant source
16 Taxation of Energy

of government revenue. Data covering a large level (inflation) so that governments must adjust the
number of countries are not available, but informa- rate periodically to ensure that tax revenue stays
tion shown in Table I is indicative. For those of the constant in terms of its purchasing power.
lower income countries that were not oil producers Taxes on energy products are not usually hy-
and that had no upstream tax revenue, the taxes on pothecated—they are not earmarked for specific
petroleum products accounted for as much as one- uses—but rather go into the general budget, together
quarter of all government revenue, whereas for the with all other tax revenues, for allocation to the
higher income countries, even if they were oil various items of government expenditure. In some
producers, downstream oil product tax revenue countries, taxes on transportation fuels are linked
accounted for approximately 5% of total tax directly to government expenditures on road main-
revenue. The United States was exceptional in its tenance and construction, as a way of ensuring that
share being under 2%. This reliance on petroleum those who use roads most pay directly for some of
products for taxation also explains why non-oil- the costs of their use of the road system. This
producing governments can be strongly affected by arrangement is based on a crude approximation
variations in the international price of crude oil and between tax paid and the wear caused, because
oil products. Since the elasticity of demand for such higher fuel consumption will be associated with
products is typically low—a price fall of 10% might heavier vehicles as well as with greater distance
lead to a rise in consumption of not more than 5%— traveled.
a fall in oil prices would lead to a fall in government Upstream sources of energy are subject to distinct
revenue if the tax rate were proportional to prices. forms of taxation. For countries that produce oil or
Hence, governments usually impose a large fixed gas, the importance of tax revenues from these
excise-duty element to ensure a more steady revenue activities can be overwhelming. For coal, where rents
stream. The disadvantage of excise duties is that they are altogether much smaller in most cases, the tax
do not increase with a general increase in the price receipts from royalties are important but not
dominant in the economy. Most of the world’s large
coal producers are also large economies so that the
TABLE I relative size of the coal sector is less dominant than is
Tax Revenue from Domestic Consumption of Petroleum Products the oil sector in a number of the small economies
where oil is produced.
As % of National As % of Government Although details of individual upstream oil taxes
Country Income Revenue (and other fiscal charges) paid are often confidential,
Argentina 1.9 13.4
and governments in many developing countries
Bangladesh 0.8 9.0
are reluctant to publish figures on their total oil
Cote d’ Ivoire 3.5 18.2
revenues, some estimates are available. Table II
France 1.8 5.5
shows the huge dependence of certain countries
Germany 1.5 5.3
on upstream oil taxes for the government budget
Ghana 3.3 22.2
and also their dominant role in the macroeconomy.
India 1.5 10.2
The availability of such large sums of money, which
Japan 0.6 4.7
will last only for the life of the oil fields, poses
Kenya 2.5 9.9
very special problems for the government. The size
Mexico 1.5 6.8
of these revenues, their sensitivity to variations in
Paraguay 0.9 7.6
the world oil price, and their temporary nature have
Philippines 1.2 6.7
led governments in a number of oil-produ-
Senegal 3.6 22.7
cing countries to establish special ‘‘oil funds’’ into
Sri Lanka 2.1 11.2
which part of the revenue is paid. Such funds, which
Sweden 1.4 3.1
may be purely a bookkeeping exercise in the gen-
Uganda 2.2 29.5
eral budget and not a separate fund in a true sense,
United Kingdom 1.8 4.4
have been used for budget stabilization and for
United States 0.4 1.8
savings (‘‘future generations fund’’). A stabilization
Zambia 1.3 7.9
fund accumulates money from oil tax receipts when
the oil price is higher than some projected average
Source. Data derived from Gupta and Mahler (1994), with value and releases funds into the budget when the
permission. oil price is lower than some value. This has the
Taxation of Energy 17

TABLE II 1.4 Energy Taxes and


Tax Revenues from Upstream Oil and Gas for Selected Countries Environmental Concerns
As % of government As % of national The combustion of fossil fuels and of biomass creates
Country revenue income a number of external effects, which societies are
Algeria 65 30 becoming more aware of and more anxious to
Angola 70–90 460 mitigate. The selection of different tax rates for
Cameroon 20 o5 fossil fuels is one of the most important policy
Congo-Brazzaville 60–80 450 instruments to achieve such an effect. The three
Gabon 60 40 classes of activity that have received the most
Indonesia 25 10 attention with regard to the treatment of externalities
Mexico 30 2 are the use of gasoline and diesel as automotive fuels,
Nigeria 70 40 the use of coal and fuel oil to generate electricity, and
Norway 15 10 the use of biomass for cooking and heating.
Venezuela 55 28 Fuels used in small low-stack sources, which are
primarily vehicles but also include small diesel
Note. Values are estimates from various sources including generators, have both local and global environmental
McPherson (2002) for the period around 2000. impacts. The emissions of fine-particulate matter,
sulfur dioxide, and oxides of nitrogen (which are also
ozone precursors) have adverse impacts on health,
effect of allowing the government expenditure to especially in mega-cities, where the volume and
be stabilized even when oil tax revenues vary. Oil density of traffic are very high. In particular, the
savings funds are designed to accumulate funds incidence and severity of respiratory diseases are
and invest them separately in a responsible fashion, associated with particulate emissions. Policies to
so as to provide an income for the country at a improve fuels’ qualities are being widely implemen-
later date when the oil starts to run out or when the ted in countries with serious urban air pollution,
country can spend the money more effectively. The with the United States and the European Union
amount of oil tax revenue going to the budget will taking the lead in pursuing the best available
depend on whether the rules for accumulation into technology. For example, cities such as Delhi, Los
such funds are mandatory or optional. Similarly, Angeles, and Mexico City have suffered from
the rules for withdrawal are specified in different deteriorating air quality and as a result have taken
ways in different countries, although the govern- aggressive action to monitor and reduce air pollu-
ment can always change the rules to meet pressing tion. However, particularly in the European Union,
needs. Another way in which upstream revenues the use of increased taxes on fuels, as well as raising
are earmarked is seen in countries where there is a extra revenue for governments, has been seen as a
formula for returning part of the revenue to the way to reduce or slow the growth in their consump-
regional or local government in the area where tion and hence to improve the levels of urban air
the extraction is taking place. This is done in order pollution. In addition, any such reduction in fuel use
to give local communities, who feel a particular will also reduce the emission of carbon dioxide,
ownership of the resource and are directly impac- which is a greenhouse gas and is associated with
ted by its extraction in their neighborhood, some global warming, which can have effects on societies
direct financial benefits from the revenues collected far in time and place from when and where the
by allowing them to have control over how it is spent original combustion took place. Since raising taxes
in their region. on automotive fuels also reduces consumer welfare,
Where there is a formal federal system (e.g., there must be a balance between these two effects, so
Canada or Nigeria), the tax revenues can be that tax rates reflect the relative values a society
channeled through the regional governments, which places on these factors.
may involve significant dialogue and negotiations. Additional and important externalities of vehicle
Where there is no regional government, the actual use come from the impacts on congestion, on the
channeling and use of funds according to local incidence of accidents, and on the damage to roads
wishes create a need for an extra mechanism for from their use. Greater vehicle use imposes costs on
dialogue between the central government and local other users in terms of time taken to drive to a
communities. particular location (especially at peak times) and on
18 Taxation of Energy

the number of accidents caused, some of which are congestion differ substantially between the two
fatal. Because the decision to drive, use another form countries, reflecting their individual characteristics,
of transport, or stay at home depends on the costs to but are large in both. The component designed to
the individual traveler, but not on the costs imposed reduce the use of fuel, and hence reduce the incidence
on others, fuels taxes have been seen as a correc- of accidents, also accounts for a large fraction of the
tive to these problems also. In all these cases, there tax. The pure Ramsey component, which relates to
may be policies that impact more directly on the raising finance for the government (over and above
relevant factor (e.g., a tax on emissions rather than that already raised through the component designed
fuel used, a tax on axle weight, or a charge for to discourage pollution) in such a way as to minimize
driving at peak times) but the simplicity of imposing the welfare losses to consumers, is approximately
a tax on the fuel itself, which then links to all these 25% of the total tax rate. A particularly important
concerns, has thus far meant that policymakers have effect in calculating the optimal tax is shown to be the
only just begun to make use of such more finely incorporation of the impacts of increased fuel taxes
tuned corrective schemes. on the fuel efficiency of vehicle miles driven. Evidence
Estimates for the optimal gasoline taxes in the suggests that fuel efficiency per mile does increase
United States and the United Kingdom that take most substantially as fuel taxes are increased, so that taxes
of these factors into account have been made. This need not be as high to combat pollution as they
tax, together with other taxes, is required to raise a would be if there were no response in fuel efficiency.
fixed sum of money for the government while These calculations also suggest that gasoline taxes are
maximizing the welfare of society as a whole. much higher than the general level of taxation of
Although the calculations are based on a number of goods, so that the relatively small extra component
assumptions about individual parameters, such as the required to reduce consumption in line with damage
economic cost of a fatal accident, Table III gives some from global warming can be easily accommodated.
important results that are fairly robust to variations Diesel fuel, when it is used solely as an input to a
in the assumptions. These calculations indicate that further economic activity (as for the transportation of
the optimal U.S. excise tax rate (exclusive of federal materials and as a fuel in power stations), would not
and local sales taxes) is approximately twice the need be taxed if these final products were taxed and if
actual rate, whereas in the United Kingdom it is there were no externality associated with the fuel
approximately half the actual rate. The sizes of the combustion. However, diesel does create substantial
various components indicate that the extra amount of emissions that create local damage (especially from
tax required to make the optimal adjustment for vehicles) so that considerations similar to those for
global pollution effects is small, whereas that for local determining the level of gasoline taxation apply to the
pollution is substantial (approximately 15% of the taxation of automotive diesel. One particular issue
optimal excise tax would be for this component). The that concerns policymakers in many countries is the
amounts related to the direct externalities caused by relative tax rates for gasoline and for diesel. Gasoline
taxes are usually higher, which leads, over the longer
run, to a substitution away from gasoline-fueled
TABLE III vehicles toward diesel-fueled vehicles. Since the
congestion- and accident-related effects of the two
Illustrative Calculations for Optimal Gasoline Taxes in the
United States and United Kingdom (in Cents per Gallon at U.S. are similar, attention is then focused on their relative
2000 Prices) pollution effects and in particular on whether the
local damage from diesel might not be greater than
Tax component United States United Kingdom that from gasoline. More important may be the fact
Pollution, fuel-related (global) 5 5
that diesel is also used as an intermediate good, as for
Pollution, distance-related (local) 16 17
commercial and industrial vehicle transport, which
Congestion 30 68
leads to a focus on taxing the final good rather than
Accidents 24 20
the intermediate good and hence to setting lower tax
Ramsey component 26 23
rates on diesel than on gasoline.
Environmental concerns also impact attitudes
Optimal tax 101 134
regarding the taxation of coal, fuel oil, and natural
gas. Coal and fuel oil are consumed largely as inputs
Source. Data derived from Parry and Small (2002), with to electricity and, according to pure Ramsey-type
permission. principles, need not be taxed in that use if electricity
Taxation of Energy 19

were taxed and there were to be no external effects unwilling to purchase any commercial fuel (at prices
from their combustion. However, both fuels create sustainable for the government) rather than to use
strong negative externalities in terms of their emis- nonmarketed biomass.
sions, unless very substantial and expensive techni-
ques are used for removing the pollutants. Again,
1.5 Taxation and Income Distribution
taxes on these fuels can be used to encourage the
switching to another less polluting fuel. Since natural Any system of taxing goods and services is likely to
gas is very much less polluting than these other fuels, have differential impacts on households of different
the relative tax rate on its use can be adjusted income levels. In industrialized countries, the major-
downward to encourage its use in situations where it ity of households own cars, so that a tax on
would not otherwise be used. automotive fuels is likely to be regressive because
In some countries, such as South Africa and expenditure on them will take a larger share of the
China, household consumption of coal is still household budget for lower income households.
substantial and has large negative external effects, However, in developing countries, lower income
but the desire to support the local industry has thus households neither own cars and directly consume
far kept the governments from discouraging the use transportation fuels nor are connected to the
of coal through higher taxation. electricity grid. Thus, raising taxes on these products
A final reason for lowering the taxes on those fuels in developing countries is likely to result in an
(and electricity) used for cooking is that, in countries improvement in income distribution, because the
where biomass is available, poorer households often better off may pay more in both absolute and relative
use biomass as the main fuel of choice. This creates terms. Indeed, with such a case, equity can be seen as
very considerable indoor air pollution, which has an extra factor to be taken into account following the
large adverse health effects for women and children analysis described in the previous section. In devel-
from inhalation, and, although this is not an oping countries, this might justify tax rates on
externality that requires correction through a ‘‘mak- gasoline being further raised. However, the position
ing the polluter pay’’ approach, it can be seen as a of the taxation of other petroleum products is more
demerit good where users do not fully understand the sensitive to the importance of the distribution of
consequences of their own actions. In the general income. For example, diesel-fueled transportation
case of demerit goods, taxation is often used to (buses and trucks) is important for poorer urban
discourage households from using those goods whose households and nonautomotive fuels (liquified pet-
consumption is in fact bad for their own welfare, as roleum gas and kerosene) are important for lighting
in the case of tobacco. However, biomass has two and cooking for a wide range of the lower to middle
distinct characteristics: first, it can be an absolute income groups in many developing countries. Non-
necessity for the poorest households, and second, it is automotive fuels are not associated with creating
often not a marketed good. In rural and periurban congestion and economic loss or with high levels of
areas, households often collect the biomass them- local pollution, so that tax rates on these fuels would
selves (rather than purchase it directly) since it is free be expected to be lower than that for gasoline. In
in monetary terms (although it may takes much time addition, their greater importance in the budgets of
and effort on the part of women to collect the fuel). lower income (if not the poorest) households in
This can lead to gradual deforestation (as in Haiti or developing countries has led governments concerned
parts of Indonesia), which in turn has adverse with income distributional consequences to lower
ecological effects. A strategy of taxing the offending tax rates on these items, in line with a generalized
good (biomass) and not reducing taxes on the Ramsey approach, which indicates that there should
substitute goods (e.g., kerosene) is not available be lower taxes on those goods consumed relatively
because biomass is either not marketed at all or else largely by the poor and higher taxes (so as to obtain
is sold through very informal systems. Hence, the same overall revenue) on those goods consumed
policies to encourage a switch from the use of more intensively by better off households. Indeed, in
biomass to commercial fuels such as kerosene, many developing countries, these products are often
through lower tax rates or even subsidies, have been subsidized by the state (effectively negative taxation,
justified as a way to reduce this environmental where the state returns some money collected from
damage and to improve the health of these house- other taxes to the consumers of these goods).
holds. The effectiveness of such a scheme is limited in Attempts to introduce substantially different tax
cases where households are so poor that they are rates on the various petroleum products, where the
20 Taxation of Energy

costs of production are fairly similar, can lead to suffi- Governments that have historically subsidized or
ciently large retail price differences such that fuel set disproportionately low taxes on energy products,
adulteration starts to occur. Consumers or retailers as a way of supporting poorer members of society (as
may dilute diesel fuel with kerosene, which loses the in many developing countries), have often later
government revenue, or, more seriously, dilute gaso- realized that the cost of such a program is huge and
line with kerosene, which increases engine deposits have wished to reduce the financial burden to the
and emissions. Similarly, the situation where fuel des- budget of the subsidies by raising prices to cover
tined for export is not subject to taxation, yet fuel for costs. Table IV indicates that for eight of the largest
domestic consumption incurs heavy taxation, leads to energy-using countries outside the industrialized
fuel designed for export to be diverted illegally to the world: (1) the average subsidy on energy is approxi-
domestic market. Large differences in tax rates bet- mately 20% of the price of energy and (2) removing
ween neighboring countries can lead to smuggling and these subsidies by this amount and allowing con-
illegal sales, which avoid the payment of such taxes. sumer expenditure to be redistributed to other goods
would increase the countries’ gross domestic product
by approximately 0.75%, reduce energy consumption
by 13%, and reduce carbon dioxide emissions by
1.6 Political Economy of Energy Taxation
approximately 16%. Nevertheless, the visibility of
Decisions on how to tax upstream or downstream energy prices and their importance to groups in
energy supplies are taken by governments and reflect society that are politically well organized and
the importance of the various factors outlined above. articulate (such as motorists’ organizations) has
Different groups in society attach different degrees of meant that governments have found it difficult to
importance to these factors and accordingly would reduce subsidies or increase taxes by substantial
wish to see taxes reflect this. For downstream amounts. In several developing countries, programs
production (electricity, petroleum products) where to increase fuel prices by reducing subsidies or
the price, net of tax, would be close to the total costs increasing taxes, without elaborate public relations
of production in competitive markets, the imposition campaigns, have resulted in widespread demonstra-
of taxes then transfers money from one group (the tions, with the result that the proposed increases have
users) to whichever groups benefit from tax expen- had to be substantially cut back or even canceled.
ditures. In addition, the reduction in consumption The political economy of upstream oil taxation is
and local pollution resulting from the higher prices distinct, because of the fact that the strategy of the
may benefit a different group within the country and, Organization of Petroleum Exporting Countries
through any impacts on global warming, may benefit (OPEC) is to act as a cartel and to adjust the
people outside the country. production of oil so as to ensure that the world price

TABLE IV
The Results of Removing Energy Subsidies

Subsidy as % of Gain as % of % Reduction in energy % Reduction in CO2


Country price GDPa consumption emissions

China 10.9 0.37 9.4 13.4


Russia 32.5 1.54 18.0 17.1
India 14.2 0.34 7.2 14.2
Indonesia 27.5 0.24 7.1 11.0
Iran 80.4 2.22 47.6 49.5
South Africa 6.4 0.10 6.4 8.1
Venezuela 57.6 1.17 24.9 26.1
Kazakhstan 18.2 0.98 19.2 22.8

Average 21.2 0.73 12.8 16.0

Source. Data from International Energy Agency (1999), with permission.


a
GDP, gross domestic product.
Taxation of Energy 21

of crude remains well above the full cost of Oil prices have seen large fluctuations, subsequent to
production, and because of the fact that the costs the price hikes of the mid-1970s and early 1980s,
of supply vary so much between countries. These which relate to several factors and make forecasting
have resulted in a situation in many countries where over a period of several years very imprecise. With
there is such a large element of economic rent (the these large uncertainties, each party will wish to set
difference between the full cost of production and the the tax parameters so as to obtain a good average
selling price) that there is a natural tendency for return while also minimizing the risks that their
many parties to attempt to capture it. The state, return could be very poor. Governments need to
which in most cases is the owner of the unexploited provide sufficient incentives to the private sector to
oil and gas, either can develop the oil itself (as in the continue to invest in exploration and production to
case of Mexico) and capture the rent directly or can ensure that future tax revenue is secured.
sell the rights to produce the oil and capture some of
the rent through this transaction and, by taxing these 2.1.1 The Taxation of Oil Production
companies, transfer further rent through the tax The taxation of oil production has two broad forms,
system. Further bargaining within the state, as with a large number of variations and specific tax
between central, regional, and local governments, instruments. One group of countries, which are
over who actually receives the taxation can take predominantly industrialized, treat the oil produced
place, and in countries with poor governance and as the property of the private sector company
lack of transparency, the rents may be captured by producing the oil and use a combination of a royalty
parties other than the government itself, through or revenue tax and profit-based taxes. A royalty or
various corrupt practices. revenue tax, which is a percentage of the sale price of
the oil, is simple to administer but can have strong
disincentive effects for investment. As the price of oil
2. TAXATION OF UPSTREAM falls or costs rise, the share of royalty payments rises
as the level of profits falls and this can result in severe
ENERGY PRODUCTION
regressivity and even a negative posttax rate of
return. As a result, some countries have reduced or
2.1 The Structure of Upstream
even abandoned royalties and revenue-based taxes
Energy Taxation
and rely solely on profits-based taxes.
The structure of taxation on the extraction of oil, gas, Many developing countries that produce oil have
and coal, and the factors influencing the choice of the entered into production-sharing agreements (PSAs),
tax instruments, which enter contracts between the whereby the private sector companies produce the oil
owners of the resource (the government) and the on behalf of the government. They sell the oil and
producers of the resource, can be analyzed with keep that part of the proceeds that remain after taxes
respect to not only the impact on the returns to the have been levied. PSAs tend to have four major
two parties but also the impacts on the risks carried elements, although there are many variations on the
by each party. In the exploration and production of main theme. A schematic description of such
oil, gas, and coal, there are some very important risks arrangements is as follows: the company producing
to be borne that impact strongly on the contracts the oil sells it at the world market price. On this
formed and on the revenue (tax) flows to the price, whatever the level, it pays a fixed percentage
government. First, there is the risk involved in finding per barrel produced to the government—the royalty.
commercially viable amounts of the resource. Ex- This arrangement ensures that the government
ploration and production are typically very expen- receives an amount that is irrespective of the costs
sive, yet total costs are not known with certainty until of production, so to this extent the producing
after the contract has been signed and indeed until all company bears the risk. To give the company some
after the costs have been incurred. The life and certainty with respect to recouping its costs, it is
production of the well or field also carry risk, and allowed to keep in the current year a fraction of the
although this is often ameliorated because of con- postroyalty receipts (‘‘cost oil’’) as a contribution
tinuous improvements in technology, the total output toward covering costs. This arrangement continues
is uncertain until the closure of the field. Equally through the life of the project until all allowable
important is the fact that, over the life of the field, the costs have been recovered. Out of the money received
price of the resource will change and is highly from the oil sale, net of royalty and cost oil, which is
uncertain, if past experience is a reasonable guide. termed ‘‘profit oil,’’ there is an agreed split between
22 Taxation of Energy

the company and the government. The company then Coal production in some countries, notably within
pays income (corporation) tax on its profit oil. The the European Union, has been subsidized by a
government’s share of receipts, net of the cost oil, number of fiscal devices in order to protect employ-
when calculated on a discounted basis over the full ment. This reduces the effective tax rate and the net
life cycle of a project, defines its ‘‘take’’ on the money collected from the sector.
project. The take depends not only on the value of
the tax parameters, but also on the time profile of 2.2 The Monitoring and Governance of
expenditures and of the allowed cost recovery. When
Upstream Tax Revenues
the corporation tax rate is fixed, because of its
applicability to all sectors, the factors that are The magnitude and individuality of tax revenues
variable are as follows: the percentage of royalty from upstream oil and gas have encouraged some
oil; the amount of cost oil that can be charged per governments to conceal what their total revenues
barrel (until all costs have been recouped); and the from these sources are. The fact that typical tax
share of profit oil. The average government take for arrangements in many developing countries are
oil appears to be in the range of 60–70%, but varies individually negotiated through contracts with pro-
between a low of approximately 40% to a high of ducing companies makes it difficult for parties not
approximately 90%. These variations reflect the directly involved to know what the revenues should
risks in individual countries as well as cost differ- be, unless they have full access to these contracts.
ences between countries. When this is aggregated over a number of wells and
fields, the picture can be obscured further. Unless all
2.1.2 The Taxation of Gas Production companies involved in a country publish their tax
Generally, gas, which is often produced jointly with payments, the society as a whole may have very little
oil, is taxed in a fashion similar to that for oil. Again, idea of the magnitude of total revenue from oil and
where gas is sold, there is usually a substantial gas, unless the government chooses to publish it and
element of rent so that the government will wish to is truthful in doing so. There are movements to
capture its share of this via the tax system. However, encourage greater transparency of oil tax revenues
one aspect of the gas market is markedly different through the publication by companies of taxes paid.
from that of oil. Gas is usually sold on a long-term Schemes that allow the aggregation of individual
contract basis, reflecting the fact that it is not as company payments on a credible but confidential
easily transported (much being by fixed pipelines) basis, with publication of the totals, are likely to
and there is not yet a flexible international market for prove more acceptable than individual publication
gas. With such contracts, much of the price and almost as effective in promoting accountability.
uncertainty is removed, so that the contract structure The size of these payments gives incentives for
can reflect the higher degree of certainty experienced misappropriation and misuse, which are facilitated
by both parties. The average government take for gas by the confidentiality of the negotiations. In order to
is similar to that for oil, although the revenues bring increased transparency to this problem, and
received from oil tend to be greater than those from hence to reduce the possibility of misappropriation,
gas when both are being produced in a country. several countries have established or are establishing
‘‘oil funds.’’ Rules are set for transferring some or all
2.1.3 The Taxation of Coal Production revenues (the amount based on a formula) to a
Coal mining is usually subject to a royalty and the separate fund, whose inflows and outflows are
national corporation tax on income, net of allowable monitored separately from the overall budget and
costs. The former is sometimes in the form of an whose magnitude may be published. The purpose of
excise tax of a fixed value per ton mined. Other cases these funds, whether for normal budgetary support,
are in the form of a revenue tax, which relates the tax for budget stabilization when oil revenues fluctuate,
payable to the value of sales (often approximately or for saving for future generations, is also made
10%). Both can have strong disincentive effects if the public. Countries and regions that have established
rates are set too high because, with falls in the price such funds include Alaska (United States), Alberta
of coal or increases in the costs of production, the (Canada), Azerbaijan, Chad, Kazakhstan, Kuwait,
return to the producing firm can even become Norway, Oman, and Venezuela. In some of these
negative. Countries with federal systems, such as cases, such as Norway, the fund is actually invested
Canada, impose federal and provincial company and managed offshore to ensure the best possible
income taxes as well as provincial royalty payments. return for the country and extensive details are
Taxation of Energy 23

published. In other cases, such as Kuwait, the actual spent in the short run. Examples of ‘‘prestige’’
size of the fund is not made publicly available. projects that do not help future development (high-
Increasingly, civil society is pressurizing governments ways that have substantial excess capacity or steel
to become more transparent and the establishment of factories for whose products there is very little
visible funds is seen as a step toward ensuring this. market) effectively waste the money. Moreover,
excessive spending can drive up local prices very
rapidly, which helps damage any existing industries.
2.3 The Use of Oil Tax Revenues
The planning capacity of some governments to spend
Where upstream tax revenues are earned that are such sums is also limited, so that a more gradual
large relative to the size of an economy, as is the case spending approach, while accumulating some of the
in several oil-producing countries, then experience tax revenue in a future generations fund, can reduce
has shown that these revenues can have very the impact of these problems.
substantial and even negative effects on the rest of
the economy. In large producing countries, such as
Nigeria and Indonesia, despite huge tax revenues 3. TAXATION OF
received over a number of years, the rate of economic
growth has not increased and the level of poverty has
DOWNSTREAM ENERGY
stayed high. Even in industrialized countries, sudden
‘‘windfalls’’ following the discovery and exploitation
3.1 General Levels of Downstream
of oil and gas have led to adverse effects. The Energy Taxation
Netherlands, following the development of large gas Information on the taxation of downstream energy
reserves, initially experienced contraction of other use, apart from automotive fuels, is sparse except for
sectors (and job losses) when the increase in the countries within the Organisation for Economic
exchange rate caused by the export earnings from gas Cooperation and Development (OECD). Table V
made other goods uncompetitive (the ‘‘Dutch dis- indicates the range of taxes (both excise and VAT/
ease’’ phenomenon). Because oil and gas have tended sales taxes) as a percentage of final retail price
to be primarily export activities, they generate little including tax, charged within the OECD. Although
direct local employment, so that the oil tax revenues there are often single extreme values that widen the
need to be the vehicle of development for economies. range greatly (for household electricity, the highest tax
Hence, in many countries, even when the govern- rate is that of Denmark at 60%, whereas the next
ment has received and spent the revenues, the highest is Norway at 36%, followed by Austria at
ensuing economic development has been very dis- 28%), the overall picture is clear. Where fuels are used
appointing, leading to the notion of a ‘‘paradox of
plenty’’ for oil and gas producers. For example, the
average real growth rate of national income of the TABLE V
OPEC group of countries, in the 20 years following Ranges of Taxes as a Percentage of Final Prices for Energy
the first large oil price rise of the early 1970s, was Products within the OECD in 2000
lower than that in the decade preceding that price
rise. This weak economic performance has been Fuel Typical range
associated in some countries with a worsening of the High-sulfur fuel oil for industry 5–25%
political climate and an increase in corruption. Even Low-sulfur fuel oil for industry 4–22%
when there is transparency as to the amount of the Heavy fuel oil for electricity 5–23%
tax revenues, there is still difficulty in determining Light fuel oil for industry 3–52%
how to spend the money effectively for the future Light fuel oil for households 10–60%
development of the economy. A spending program Diesel for commercial use 30–70%
that boosts only current consumption, by transfer- Premium leaded gasoline 52–72%
ring large sums to the consumers (possibly through Premium unleaded gasoline (95 RON) 30–76%
subsidized goods and services), is not likely to raise Natural gas for industry 1–13%
the growth rate or to provide infrastructure for the Natural gas for households 5–50%
benefit of future as well as present generations. In Electricity for households 5–60%
developing countries, the sudden discovery of oil or
gas and their attendant tax revenues can provide the Source. Data from International Energy Agency (2001), with
government with more money than can be effectively permission.
24 Taxation of Energy

as inputs to other goods, tax rates tend to be lower, and with the highest price being in the United
and where they are for final use, tax rates are higher. Kingdom at 122 cents per liter. The overall average
Fuels that have lower emissions characteristics (nat- tax for diesel was approximately 20 cents per liter,
ural gas) also tend to have somewhat lower tax rates. whereas that for gasoline was approximately 28
cents per liter. The huge variation in tax rates, which
dominate intercountry differences in pretax prices,
3.2 The Taxation of Automotive Fuels indicates how the relative importance of the different
There is extensive information on the worldwide reasons for taxation varies among countries. Govern-
taxation of automotive fuels that is obtained by ments with little need for revenue, such as certain oil
surveying pump prices and then using the approx- producers, have very low taxation or even subsidize
imation that, net of tax, prices in all countries are the automotive fuels, whereas other countries, such as
same due to international competition in the fuels most of those within the European Union, are willing
market (there are, in fact, some landlocked non-oil- to impose high taxes, presumably for environmental
producing countries that experience important dif- reasons. The widespread tax difference between
ferences in pretax costs because of large costs of diesel and gasoline, averaging approximately 8 cents
importing and transporting fuels). Differences in per liter, is large in relation to the pretax price and
pump prices then represent a measure of variation in suggests a deliberate policy of differentiating be-
the taxation of gasoline and diesel. Table VI shows tween these automotive fuels in favor of diesel. This
the results of a global survey. Using the approxima- is most likely because of distributional criteria since
tion that the untaxed retail price of gasoline in the the costs of the congestion- and environmental-
fourth quarter of 2000 would have been approxi- related aspects are probably fairly similar for the
mately 32 U.S. cents per liter, some 22 countries two modes of transport. The tax difference may also
(mainly oil producers) actually sold below this price, reflect attempts to encourage the use of buses over
with Turkmenistan being the lowest at 2 cents per cars and the desire not to tax commercial and
liter; 25 countries had prices between the ‘‘break- industrial transport too heavily, regarding them as
even’’ level and the U.S. level of 47 cents per liter (tax intermediate activities where the final good they help
of 15 cents per liter); 59 countries had prices between to produce should instead bear the taxation.
the U.S. price and the lowest of the European Union When tax rates are compared as between coun-
countries (the Irish Republic) at 72 cents per liter (tax tries according to their level of development, a clear
of 40 cents per liter); and 52 countries had prices pattern exists. Table VII shows that tax rates in the
above the lowest EU level, with Hong Kong charging
the highest price at 146 cents per liter (tax of 114 TABLE VII
cents per liter). For diesel prices, the picture was very Average Product Taxes and Prices in OECD and non-OECD
similar, although the spread of taxes was rather Countries in 1999
smaller, with 40 countries selling diesel below cost,
Gross
TABLE VI Tax as share Tax Net price price
Fuel and of final (U.S. (U.S. (U.S.
The Distribution of Posttax Retail Gasoline and Diesel Prices in country price cents per cents per cents per
2000 (in U.S. Cents per Liter) group (percentage) liter) liter) liter)

Number of Number of Gasoline


countries in countries in OECD 67 58.1 25.2 83.3
range for range for diesel
Non-OECD 44 22.9 26.9 49.7
Range gasoline prices prices
Automotive
Below retail cost 22 (o32b) 40 (o30b) diesel
Between retail cost and 25 (32–47b) 53 (30–48b) OECD 59 42.4 25.0 67.4
U.S. price level Non-OECD 40 16.6 22.8 39.4
Above U.S. level and 59 (47–71b) 11 (48–53b) Kerosene
below minimum EU Non-OECD 23 5.1 12.3 17.4
level
Above minimum EU level 52 (471b) 54 (453b) Source. Data from International Energy Agency (2001) and
Bacon (2001).
Source. Data from Metschies (2001), with permission. Note. Table is based on data from 22 OECD and 37 non-OECD
Note. Data are for the fourth quarter of 2000. countries.
Taxation of Energy 25

countries of the OECD are substantially higher than Further Reading


those in non-OECD countries, with the difference
Bacon, R. (2001). ‘‘Petroleum Taxes: Trends in Fuel Taxes
being more pronounced for gasoline. Kerosene taxes (and Subsidies) and the Implications’’. Viewpoint 240, Private
are much lower than automotive fuel taxes in the Sector and Infrastructure Network The World Bank, Washing-
non-OECD countries, both in absolute terms and in ton, DC.
percentage terms, reflecting the desire of govern- Bindemann, K. (1999). ‘‘Production Sharing Agreements: An
Economic Analysis, Working Paper WPM 25.’’ Oxford Institute
ments of less developed countries to keep kerosene of Energy Studies, Oxford, UK.
affordable for a large range of households. Gupta, S., and Mahler, W. (1994). ‘‘Taxation of Petroleum
Products: Theory and Empirical Evidence, Working Paper
WP/94/32.’’ Fiscal Affairs Department, International Monetary
Acknowledgments Fund, Washington, DC.
International Energy Agency. (1998). ‘‘Coal Licensing and
The views expressed represent those of the author and not of the
Production Tax Regimes.’’ International Energy Agency, Paris.
World Bank. The author thanks Katherine Gratwick, Masami
International Energy Agency. (1999). ‘‘Looking at Energy Sub-
Kojima, and Charles McPherson for helpful comments on an
sidies: Getting the Prices Right,’’ World Energy Outlook 1999.
earlier draft of this article.
International Energy Agency, Paris.
International Energy Agency. (2001). ‘‘Energy Prices and Taxes:
Quarterly Statistics.’’ International Energy Agency, Paris.
McPherson, C. P. (2002). Petroleum revenue management in
SEE ALSO THE developing countries. In ‘‘Paradox of Plenty: The Management
FOLLOWING ARTICLES of Oil Wealth’’, Report 12/02 Centre for Economic Analysis,
Oslo, Norway.
Carbon Taxes and Climate Change  Clean Air Metschies, G. P. (2001). ‘‘Fuel Prices and Vehicle Taxation’’, 2nd
Markets  Economics of Energy Demand  Econom- ed. Deutsche Gesellschaft für Technische Zusammenarbeit
(GTZ) GmbH, Eschborn, Germany.
ics of Energy Supply  External Costs of Energy  Parry, I. W. H., and Small, K. A. (2002). ‘‘Does Britain or The
Fuel Economy Initiatives: International Compari- United States Have the Right Gasoline Tax?’’ Resources for The
sons  Subsidies to Energy Industries Future, Washington, DC.
Technology Innovation
and Energy
AMBUJ D. SAGAR
Harvard University
Cambridge, Massachusetts, United States

into desirable end-use forms as well as a range of


1. Introduction technologies to better satisfy consumer needs. The
2. Energy Research and Development reductions in global energy intensity over the past
3. Energy Technology Deployment decades have been driven, in part, by the develop-
4. Conclusion ment of more efficient energy conversion and end-use
technologies. Technological developments, spurred
by environmental regulations, have also helped to
Glossary reduce the local and global environmental impacts of
energy extraction, conversion, and use.
energy innovation system The web of actors involved in
energy technology innovation as well as the linkages,
partnerships, and relationships among them.
energy technologies Technologies that help to exploit 1. INTRODUCTION
existing and new sources of energy (extraction and
supply technologies), convert these to readily usable
Expenditures on energy account for approximately 7
forms of energy (conversion technologies), and use these
to 8% of gross domestic product (GDP) worldwide.
forms of energy to satisfy human and economic needs
(end-use technologies). In addition, annual global investments in energy
energy technology innovation Development and wide- supply technologies run into the hundreds of billions
spread introduction of new or improved energy of dollars, and trillions of dollars are spent annually
technologies; the process of innovation includes re- on products that consume energy. Furthermore, the
search, development, demonstration and deployment global energy system is expected to expand substan-
activities. tially during the next few decades, with the bulk of
these increases coming in the developing world to
meet unsatisfied demand in these countries. For
Energy technology innovation encompasses research example, a recent study by the International Institute
and development on new technologies, as well as on for Applied Systems Analysis (IIASA) and the World
improving existing technologies, and bringing these Energy Council (WEC) estimated that the global
into widespread practical use. In fact, technological energy consumption in the year 2020 will be 25 to
change, driven by a range of innovation efforts, has 70% greater than the 1999 level of 6.75 billion tons
long played a central role in shaping the global of oil-equivalent. At the same time, the energy sector
energy system and its components. New and will also need to be reoriented as the demands from
improved technologies have helped to expand energy climate change, acid rain, local air pollution, and
supplies and exploit them in an economical fashion. other environmental concerns become pressing and
For example, significant improvements in explora- as fossil fuel reserves start to dwindle. With this
tion and recovery technologies have been responsi- context serving as a backdrop, the need for new and
ble, in part, for the increases in recoverable improved energy technologies is likely to continue to
hydrocarbon resources over the past few decades. increase.
Energy technology innovation has provided cheaper, Concomitantly, the need to examine and better
more efficient, and cleaner ways of converting energy understand energy technology innovation and the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 27


28 Technology Innovation and Energy

underlying processes remains salient. It is only by the energy use characteristics of automobiles. Simi-
assessing the scale, nature, and nuances of energy larly, the advent of microprocessors has allowed
innovation activities can one judge their efficacy as substantial advances in fuel and engine management
well as their adequacy in relation to the challenges in automobiles, greatly improving their energy
facing the energy system. efficiency.
In general, energy innovation is stylized as a set of Furthermore, and to make matters more complex,
activities that include energy research, development, numerous actors are involved in energy innovation
demonstration, and deployment, with the caveat that activities of various kinds. A range of funders—
these activities do not occur in a purely linear and governments, industry, venture capitalists, and phi-
unconnected fashion. Because innovation is necessa- lanthropic organizations—support the development
rily a recursive process requiring many iterations of new energy technologies. A diverse cast of
before a technology or product is deployed (and even actors—government laboratories, industry, universi-
subsequent to deployment, numerous incremental ties, research organizations and consortia, and
improvements generally continue to be made), there nongovernmental organizations (NGOs)—carry out
are invariably linkages and feedbacks among the R&D activities that lead to new energy technologies.
various activities mentioned previously. For example, And an even larger group of organizations—govern-
product design takes into account the conditions ment agencies, firms, bilateral and multilateral
under which the technology will be deployed, data agencies, NGOs, and philanthropic groups—play a
from demonstration projects reshape the technology, role in the deployment of energy technologies in
and product characteristics and designs are influ- different parts of the world. Numerous kinds of
enced by feedback on consumer needs and prefer- linkages, partnerships, and relationships among
ences. Still, following such a stylized model is useful various actors, with flows of finances, technology,
in obtaining at least an initial understanding of and knowledge among them, underlie the develop-
energy innovation. ment and deployment of various energy technologies.
Hence, an examination of energy innovation Figure 1 illustrates the kinds of actors involved in
requires an examination of energy research and energy technology innovation as well as the interac-
development (ER&D), in terms of both the magni- tions among them. The web of actors and the
tude of the overall ER&D portfolio and its composi- relationships among them constitute what can be
tion with regard to distribution of technology time termed the ‘‘energy innovation system.’’ This system
horizons, risk levels, fuel source use, and end use is also shaped, and has its output influenced, by the
applications. It requires a focus on the effectiveness context in which it operates (i.e., various policies
of ER&D activities in terms of returns (e.g., social, [e.g., broad energy policies, tax and investment
economic) on research and development (R&D) policies, environmental policies and institutions at
investments. And it requires an exploration of the domestic level as well as trade, environmental,
activities influencing the eventual implementation— and other regimes at the international level], other
the deployment and eventual diffusion—of new macroeconomic factors, other institutional factors).
technologies. Hence, understanding of energy innovation pro-
However, developing a detailed understanding of cesses may be best advanced through a broad
energy innovation is not a trivial proposition for a examination of this innovation system. This requires
number of reasons. First, the notion of an energy a focus on the various activities in which relevant
innovation activity can be somewhat fuzzy and actors are engaged, their interests and preferences,
difficult to define clearly because a very broad range the relationships and linkages among these actors,
of research and technology development activities the flows of resources and knowledge among them,
are relevant to the energy sector. In addition, many and the institutional context in which they operate.
technology advances that emerge from other sectors, This follows the ‘‘systems’’ approach that has
or are motivated by nonenergy applications, are also received increasing recognition within the broader
relevant to the energy sector. For example, advanced community of science and technology policymakers
software packages for structural modeling, although as well as among scholars of innovation as a fruitful
driven initially by the space program and the aircraft way in which to unpack the complexities of
industry, are of considerable use in designing technological change within and across industries
advanced automobile structures, and basic research and nations.
on fluid dynamics has helped to improve vehicle Energy innovations come in many shapes and
aerodynamics; both of these play a role in influencing sizes. Ultimately, any energy innovation (like nearly
Technology Innovation and Energy 29

Supply−Push Policies Demand−Pull Policies


Direct/Cost-shared Regulatory
National lab Direct Tax incentives, changes,
Government R&D and testing R&D funding and technical
purchases subsidies
tax incentives standards

Financiers,
Other actors University R&D parent Consumers/Users
companies

Firms R&D, prototype, pilot plant Production Sales and marketing

Firm 1
Firm N

Financial flows Knowledge/Information flows

FIGURE 1 The major actors and their interactions in an energy innovation system. From Margolis, R. M. (2002).
Understanding technological innovation in the energy sector: The case of photovoltaics. Ph.D. thesis, Princeton University.

any kind of technology innovation) aims to satisfy a often resulting in information or knowledge gaps
demand or need. It aims to improve on the existing that constrain uptake of new energy technologies
situation by providing energy services in a better (and, hence, the market signals to technology
fashion, expanding them, or providing new forms of developers).
service. Given that an overwhelming proportion of Hence, various kinds of innovation subsystems
the world’s energy services are delivered commer- underlie the development and diffusion of different
cially, much of the demand for energy technologies energy technologies. For example, the innovation
emerges from, or is mediated by, the marketplace. subsystem underlying the development of clean coal
Yet there is a significant fraction of the world’s technologies or fuel cell development does not much
population whose members depend on noncommer- resemble that of improved cooking stoves. Similarly,
cial energy supplies. Estimates suggest that as many energy innovation systems in various countries take
as 2 billion people in developing countries do not very different shapes in terms of the kinds of actors
have access to modern forms of energy. Such involved, the relationships among them, and the
differing circumstances lead to very different me- policy contexts under which they operate. Such a
chanisms for technology development as well as perspective is necessary to develop an appropriately
deployment. In the former case, consumer needs or textured understanding of energy innovation pro-
aspirations are channeled through the market, as are cesses underlying the development of technologies to
resources for technology development and deploy- satisfy the energy needs of varied categories of
ment. In the latter case, it is not feasible to rely purely consumers.
on market institutions for technology development This article presents an overview of the global
and deployment, although harnessing market me- energy innovation system, focusing especially on the
chanisms, to the extent feasible and desirable, may prominent actors that constitute this system, their
improve the effectiveness of any innovation efforts. activities, and the policies and processes that play a
Another related point is that even in a commercial role in energy innovation. It begins with a summary of
energy arena, not all consumers are equal. Some the scale and scope of, and recent trends in,
consumers, such as large firms and public sector expenditures directed toward ER&D. It then discusses
organizations, have the internal resources to assess various institutions and policies that play a role in the
(both technically and economically) relevant tech- deployment of energy technologies in different parts
nologies in relation to energy needs. This becomes of the world. Finally, the interactions among the
especially important for larger-scale technologies. technical arena, the market, and policies that can
Small and medium-size enterprises, even in indus- influence the nature of energy technology innovation
trialized countries, might not have such resources, are highlighted through some illustrative cases.
30 Technology Innovation and Energy

2. ENERGY RESEARCH Along with public sector R&D investments


AND DEVELOPMENT (substantial in many countries), other government
policies such as cost sharing, environmental regula-
2.1 The Role of Governments tions, and tax incentives provide stimulus for, and
shape the priorities of, private sector investments in
Not surprisingly, most ER&D takes place in indus- ER&D. Some policies, such as high taxes on energy
trialized countries where both the public and private and the commitment to expand and improve energy
sectors are involved in the development of energy services, send a clear signal for demand for appro-
technologies. Given that most energy technologies priate energy technologies, and this in turn creates an
are deployed through the marketplace, the predomi- impetus for increased ER&D investment. Of course,
nant locus of ER&D is within firms. Still, govern- government involvement in energy innovation goes
ments have historically played an important role in well beyond R&D. Government also plays a role in
the R&D of new energy technologies through direct promoting and assisting in the demonstration and
financial support (e.g., gas turbines) as well as deployment of such technologies (as discussed later).
through policies that promote ER&D within firms. The International Energy Agency (IEA) collects
The rationale for government involvement in ER&D data on public sector ER&D expenditures by its
is multifaceted: member countries. Note that the IEA defines R&D
expenditures in its data collection questionnaire as
*
Concerns about energy security dominated the including funding for demonstration projects. Figure
energy policy of most countries after the oil crises of 2 shows the ER&D spending patterns over time by
the 1970s and drove the large increases in public the seven countries that accounted for more than
ER&D spending seen during the late 1970s. Although 90% of the energy technology development expen-
the decline of oil prices by the early 1980s led to ditures between 1990 and 2000 as reported to the
cutbacks in this spending in many countries, the IEA. Two sets of patterns emerge clearly from these
energy security issue, as well as the high costs of data. First, public ER&D spending rose sharply after
energy imports, still motivates governments to make the two oil shocks of the 1970s, peaking in 1980 and
investments in energy technology innovation. then, as oil prices dropped, declining sharply for a
* The global market for energy technologies is decade or so and then declining somewhat more
estimated to be in the range of several hundred slowly during the 1990s. Second, the United States
billion dollars per year. In this context, government and Japan continue to account for a major portion
involvement in energy technology development is of the world’s ER&D. Also, Japan is the only major
also motivated by substantial commercial and IEA country that has shown mostly increasing
national economic competitiveness elements. or stable ER&D expenditures over the past two
* Although new and improved energy technolo- decades or so.
gies are crucial to a robust, efficient, and clean energy Table I shows the distribution of total reported
system, the long time scales for energy technology IEA spending for the year 2000 according to selected
development and deployment often make it unat- categories, and Fig. 3 shows recent trends in these
tractive to private firms to embark on many forms of expenditures. Some particular features should be
ER&D efforts on their own. noted:
* It is also recognized that affordable and reliable
energy services have a ‘‘public good’’ nature due to * Nuclear fission and fusion R&D continues to
their intimate linkage with various aspects of human account for nearly half of the total spending by IEA
and economic development. At the same time, countries, although the proportion of total R&D
reducing the environmental and other externalities devoted to this area has declined over the years, with
of energy use is becoming paramount, especially with the nuclear R&D spending peak having been reached
the expanding scale of the energy system worldwide in 1982. Since then, most countries have cut back
and the emergence of problems such as climate their efforts in nuclear technologies substantially.
change. Given the substantial social and environ- Japan is the exception, and it now accounts for the
mental returns that may accrue from the widespread majority of the public expenditures in this area, as
use of clean energy technologies, governments of nearly 70% of the Japanese government’s ER&D is
most industrialized countries and many developing directed toward nuclear technologies.
countries have traditionally funded appropriate * Government expenditures on conservation R&D
ER&D efforts. have risen steadily over the past decade, but only two
Technology Innovation and Energy 31

16,000

14,000

(2000 prices and exchange rates)


12,000

Millions of U.S. dollars


10,000

8,000

6,000

4,000

2,000

0
74

76

78

80

82

84

86

88

90

92

94

96

98

00
19

19

19

19

19

19

19

19

19

19

19

19

19

20
Year

France Italy Canada Germany Japan


United Kingdom United States

FIGURE 2 Trends in ER&D expenditures by major IEA governments. Note that Italy did not report any data for 1974–
1976, 1992, 1999, and 2000. France did not report any data for 1974–1985 and 2000. From International Energy Agency
R&D Database.

countries, Japan and the United States, are respon- as well as on coal combustion, whereas Japan
sible for the bulk of expenditures in this area. Until accounts for most of the government coal conversion
the mid-1990s, global conservation expenditures R&D expenditures among the IEA countries.
were more or less split equally among the transpor-
tation, industrial, and residential sectors, but during ER&D expenditures by governments are generally
the past few years, there has been a sharp rise in used to fund energy technology development efforts
industrial conservation R&D efforts. within government laboratories as well as in firms.
* IEA government spending on renewables R&D Government organizations themselves may perform
remained quite stable during the 1990s following a significant amounts of R&D. For example, in the
remarkable surge after 1974 that peaked in 1980 but United States, many U.S. Department of Energy
fell steeply during the early 1980s. Nearly half of the (DOE) laboratories have research programs on a
renewables spending in 2000 was directed toward range of energy technologies. Relevant R&D is also
solar photovoltaic (PV) research, with R&D on carried out by other agencies such as the U.S.
biomass, wind, and geothermal sources accounting Department of Defense (DOD) and the National
for most of the remaining amount. Small hydro Aeronautical and Space Administration (NASA). For
R&D remains pretty much completely absent from example, work done by DOD and NASA was
the ER&D agendas of IEA countries. Once again, instrumental in the development of fuel cells. The
Japan and the United States lead the charge on government’s role may be even more prominent in
renewables R&D, together spending nearly three- developing countries. For example, in India, govern-
quarters of the total for IEA countries. ment laboratories and public sector undertakings
*
Like many other areas, but perhaps even more perform much of that country’s research on coal use,
clearly, fossil R&D has suffered a large decline hydrocarbon exploration and processing, electric
during the past two decades or so. Coal R&D has power generation, and atomic energy.
been a particular casualty of these R&D cutbacks. Governments also fund energy innovation in firms
Once again, the United States and Japan account for through mechanisms such as R&D contracts, co-
most of the public R&D in this area. The U.S. effort operative research and development agreements, and
focuses particularly on enhanced oil and gas recovery grants for R&D or demonstration. Although less
32 Technology Innovation and Energy

TABLE I 16000

Million dollars (2000 prices and exchange rates)


Public Sector Energy R&D Spending by IEA Member Countries
for the Year 2000 (Millions of U.S. Dollars, 2000 Prices and 14000
Exchange Rates)
12000

Conservation 1269.4 10000


Industry 721.3
Residential commercial 178.6 8000
Transportation 279.2
Other conservation 70.8 6000
Fossil fuels 426.4
4000
Enhanced oil and gas 103.0
Refining transportation and storage 25.0 2000
Oil shale and tar sands 9.8
Other oil and gas 49.4 0

74

19 6
78
80

19 2
84
86
88

92
94

19 6
98
00
90
Total oil and gas 187.2

9
19
19

19
19

19
19

19
19
19

20
19
Coal products preparation and transportation 16.7
Coal combustion 110.4
Other tech./research Nuclear Fission
Coal conversion 72.2
Nuclear Fusion Power and storage tech.
Other coal 39.9
Total coal 239.2 Fossil Fuels Renewable Energy
Renewable energy 525.3 Conservation
Solar heating and cooling 11.2
Solar photoelectric 234.5 FIGURE 3 Trends in ER&D expenditures by IEA country
Solar thermal–electric 22.3 governments, by category. From International Energy Agency
Total solar 291.7 R&D Database.
Wind 69.8
Ocean 7.7
Biomass 90.8 Union’s program on research, technological develop-
Geothermal 52.9
ment, and demonstration of energy technologies. The
Large hydro (410 MW) 7.2
focus in the energy component of its Fifth Frame-
Small hydro (o10 MW) 1.7
work program (1998–2002) has been on technolo-
Total hydro 12.4
gies for cleaner energy as well as on economic and
Nuclear fission/fusion 3259.3
efficient energy, for which approximately 1 billion
Nuclear light water reactor 129.9
euros have been budgeted.
Other converter reactors 153.0
Nuclear fuel cycle 859.6
Nuclear supporting technology 1156.7 2.2 Research and Development in Firms
Nuclear breeder 398.4
Total nuclear fission 2709.5 Industry, the main supplier of technologies for the
Nuclear fusion 549.9 consumer, industrial, and other applications, is the
Power and storage technology 341.2 other major funder of ER&D. Its activities are
Electric power conversion 189.0 targeted toward the development of new and/or
Electricity transmission and distribution 90.4 improved products that help firms to compete in the
Energy storage 46.9 marketplace so as to maintain their existing customer
Other technology research 1075.0 bases as well as expand them. Given that the market
Energy systems analysis 8.7 for energy technologies and related products is
Other technology or research 1058.7 substantial, there is significant ER&D carried out
Total energy R&D 6965.5 by firms. For example, a recent study by the U.S.
National Research Council estimated that between
Source. International Energy Agency R&D Database. 1978 and 1999, industry accounted for roughly two-
thirds of the total ER&D expenditures within the
common, there are also some examples of govern- United States.
ment-funded programs on international cooperation Extracting and collating data on ER&D expen-
in ER&D. A prominent example is the European ditures by industry is a challenging problem for a
Technology Innovation and Energy 33

number of reasons. Many companies that are TABLE II


engaged in energy technology development have Some Major Energy Technology Firms and Their R&D Spending
highly diversified operations, and because firms for the Year 2000 (Billions of U.S. Dollars)
generally do not present detailed R&D data, it is
nearly impossible to disaggregate industrial R&D Transportation
activities to assess those that are focused on energy Vehicle manufacturers
technologies. Even firms whose products/services Ford Motor, United States 6.8
are mainly in the energy sector may still engage in General Motors, United States 6.6
DaimlerChrysler, Germany 5.9
R&D that does not necessarily lead to energy
Toyota Motor, Japan 3.9
technology development. And some firms may be
Volkswagen, Germany 3.9
focusing on technologies that have impacts across
Automotive systems suppliers
many sectors, including energy. For example,
Robert Bosch, Germany 1.8
polymer composites initially designed for high-
Delphi Automotive Systems, United States 1.7
performance aircraft have been useful in producing
Aircraft engines
lighter and, hence, more energy-efficient automo- Rolls-Royce, United Kingdom 0.55
biles. Therefore, apportioning the underlying R&D Snecma, France 0.76
budgets is a tricky, and possibly insurmountable, Oil and gas
problem. Integrated firms
There are some attempts at surveying industrial TotalFinaElf, France 0.64
ER&D (e.g., the U.S. National Science Foundation Exxon Mobil, United States 0.56
[NSF] does this as part of its ‘‘Research and BP Amoco (now BP), United Kingdom 0.43
Development in Industry’’ surveys), but it is unlikely Shell, United Kingdom 0.39
that such efforts can accurately capture all of the ENI, Italy 0.22
ER&D in firms for the reasons mentioned previously. Oilfield services
Furthermore, surveys across such a highly inhomo- Schlumberger, United States 0.54
geneous population of firms are limited in terms of Halliburton, United States 0.23
their coverage. Thus, it is likely that such data Electric utilities
underestimate industrial ER&D. Still, such surveys Tokyo Electric Power, Japan 0.62
could serve as a lower bound for industrial ER&D Korea Electric Power, South Korea 0.28
expenditures. The NSF estimated U.S. industrial Enel, Italy 0.15
ER&D spending to be $1.8 billion in 1999, whereas Taiwan Power, Taiwan 0.12
Heavy machinery
other studies by the Pacific Northwest National
Caterpillar, United States 0.65
Laboratory estimated corresponding numbers to be
Volvo, Sweden 0.52
$2.4 billion for Japan in 1997, $391 million for Italy
Komatsu, Japan 0.37
in 1996, and $168 million for Germany in 1995.
Cummins, United States 0.24
However, in addition to such data, a broad examina-
Power generation/diversified industrials
tion of the R&D expenditures and trends of firms in
General Electric, United States 1.9
some particularly relevant sectors can give a direct Siemens, Germany 5.2
idea of the size and nature of industrial investments Asea Brown Boveri, Switzerland 0.70
in ER&D. Alstom, France 0.47
Table II lists some industrial categories (as well as Mitsubishi Heavy Industries, Japan 1.1
some major firms within them) that are directly United Technologies, United States 1.3
relevant to the energy sector. The primary business of Home appliances
firms in these categories is in the energy area; hence, Whirlpool, United States 0.25
a substantial fraction of their technology R&D Electrolux, Sweden 0.14
activities have a direct and often substantial impact
on the energy sector. Still, as mentioned previously, it Source. U.K. Department of Trade and Industry (2001). ‘‘2001
should be understood that not all R&D activities of R&D Scoreboard’’. DTI, London. Exchange rate used: 1
GBP=1.49 USD.
these firms are necessarily directed toward products
and processes that may have an influence on the
energy system. For example, car manufacturers can the consumer, but many of these design features
devote large amounts of development funds on might not have a bearing on the energy character-
designing vehicles that are aesthetically pleasing to istics of the automobiles.
34 Technology Innovation and Energy

2.2.1 Oil and Gas Exploration, Production, in 1996. These cutbacks were a result of overall
and Processing declines in federal and state funding as well as
Most major oil and gas firms engage in both increased competition expected from deregulation.
upstream (i.e., hydrocarbon exploration and produc- Electric utilities’ spending in Japan has also declined
tion) and downstream (i.e., hydrocarbon refining and recently, but not as drastically. During 1993–1995,
marketing) businesses as well as related activities Japanese utilities’ average annual expenditure was
such as chemicals, and their R&D activities serve the 34.1 billion yen, and by 1999–2001, this figure was
needs of these businesses. During the past decade or 28.9 billion yen. R&D expenditure at the Electric
so, the R&D spending of oil and gas firms has Power Research Institute, a private research con-
generally declined. According to a DOE survey, sortium funded by utilities and other firms, was
R&D spending by major energy producers within approximately $463 million in 1996 and $312
the United States declined from $3.05 billion in 1994 million in 2001.
to $1.33 billion in 2000. Although not true of all Much of the equipment used in electric power
producers internationally, the broad global trend plants is produced by heavy engineering firms, most
over the past decade or so seems to be along similar of which come under the category of ‘‘diversified
lines. A series of annual surveys by the U.K. industrials’’ by virtue of the fact that their products
Department of Trade and Industry on R&D ex- span a wide range of categories. Table III shows a list
penditures by major firms worldwide indicates a of major diversified industrials and their relevant
decline in the average R&D expenditures (as a energy technology businesses. There are also a few
percentage of sales) of major oil and gas firms firms, such as ABB and Alstom, whose activities lie
worldwide, from approximately 0.75% in 1992, to mostly within the energy sector (power and automa-
0.60% in 1996, to 0.34% in 2000—even as the tion technologies for utilities and industry in ABB’s
cumulative sales of these firms rose approximately by case and power generation, transmission and dis-
50% over the same period. A number of factors have tribution, and transport in Alstom’s case). Therefore,
likely contributed to this decline, including the recent a sizable portion of their R&D can be considered to
consolidation within the industry, the decline of oil be energy relevant.
prices during the mid- and late 1990s, and the
general trend toward R&D downsizing and out- 2.2.3 Road Transport
sourcing within firms. The transport sector accounts for more than 25% of
Technology developed by other firms may also be the total final consumption (TFC) of energy world-
useful for the oil and gas industry. For example, wide and more than a third of the TFC within the
many of the R&D activities of an oilfield services Organization for Economic Cooperation and Devel-
firm such as Schlumberger are targeted toward opment (OECD) countries. Road transport, in turn,
acquiring data for better characterization of petro- accounts for more than 80% of the transport energy
leum reservoirs, optimizing oil and gas production, consumption within OECD countries. Hence, R&D
and improving hydrocarbon recovery—all of great on automotive technologies assumes substantial
value to the petroleum and gas industries. To take importance within the general domain of ER&D.
another example, specialty chemical firms such as Energy use of cars can be improved through a
Akzo Nobel develop and provide catalysts useful for range of technologies (see, e.g., the fuel consumption
petrochemical processing. technology matrix in Table IV) that are the focus of
R&D activities of automobile manufacturers and
2.2.2 Electricity Production and Conversion their component suppliers. Thus, car manufacturers
Electric and gas utilities’ R&D activities deal nearly have research programs in areas such as innovative
exclusively with energy conversion, distribution, and combustion techniques and fuel management, effi-
use (at least to the extent that these firms still focus cient engine designs, improved transmission technol-
on these core businesses). Although detailed data on ogies, and aerodynamic drag reduction to yield better
utility R&D are not collected systematically, it seems fuel efficiency and lower the emissions of pollutants.
that R&D spending by many utilities has declined Other prominent areas of research include gasoline–
during the past decade or so. For example, a 1996 electric hybrid vehicles and fuel cell technology.
survey by the U.S. General Accounting Office (GAO) Automobile manufacturers also carry out research in
found that the combined R&D spending of the 112 other areas such as structural mechanics and
largest operating utilities in the United States advanced materials (metal-based, ceramics, and
dropped from $708 million in 1993 to $476 million polymers) that, by helping to lower the weight of
Technology Innovation and Energy 35

TABLE III TABLE IV


Energy Technology Segments of Some Major Diversified Passenger Car Efficiency Improvement Technologies (Percentages
Industrials Improvement in Fuel Consumption)

General Electric Power generation equipment and services Production-intent engine technology
Lighting Engine friction reduction 1–5
Transportation Low-friction lubricants 1
Home appliances Multivalve overhead camshaft 2–5
Hitachi Power generation, transmission, and Variable valve timing 2–3
distribution Variable valve lift and timing 1–2
Industrial (electrical and electronic) Cylinder deactivation 3–6
equipment Engine accessory improvement 1–2
Consumer appliances Engine supercharging and downsizing 5–7
Mitsubishi Heavy Power systems Production-intent transmission technology
Industries Industrial (electric and electronic) Five-speed automatic transmission 2–3
equipment
Continuously variable transmission 4–8
Industrial machinery and special vehicles
Automatic transmission with aggressive shift logic 1–3
Air conditioning
Six-speed automatic transmission 1–2
Siemens Power generation, distribution, and
Production-intent vehicle technology
transmission
Aero drag reduction 1–2
Lighting
Improved rolling resistance 1–1.5
Industrial and building technologies
Emerging engine technology
Transportation
Intake valve throttling 3–6
Toshiba Power systems
Camless valve actuation 5–10
Industrial systems and equipment
Variable compression ratio 2–6
Transportation systems
Emerging transmission technology
Consumer appliances
Automatic shift/Manual transmission 3–5
United Power generation equipment
Technologies Air-conditioning, heating, and Advanced continuously variable transmissions 0–2
refrigeration systems Emerging vehicle technology
42-V electrical systems 1–2
Integrated starter/generator (idle off–restart) 4–7
vehicles, can have a significant bearing on perfor- Electric power steering 1.5–2.5
mance. R&D spending (as a percentage of sales) Vehicle weight reduction (5%) 3–4
reported by car manufacturers also declined some-
Note. Baseline automobile: overhead cams, four-valve, fixed
what over the past decade or so. The average R&D timing, roller finger follower.
intensity for the 10 largest manufacturers was Source. National Research Council. (2002). ‘‘Effectiveness and
approximately 4.8% in 1992 and 1996 but declined Impacts of Corporate Average Fuel Economy (CAFE) Standards.’’
to just over 4.0% by 2000. National Academy Press, Washington, DC.
Component suppliers to the automotive industry,
such as Bosch (which supplies gasoline and diesel
injection systems), also have major R&D efforts to TFC within the OECD countries. Within the
improve their own products. Even R&D by tire residential sector, improved technologies for space
manufacturers can have an impact on the energy use heating and cooling (the single largest category for
of automobiles. For example, rolling resistance, energy use within homes), lighting, refrigerators, and
which can account for 20% of the energy consump- smaller appliances can help to reduce energy use.
tion in automobiles, can be reduced though im- Within the commercial sector, lighting and space
proved tire design. heating and cooling are the two largest categories of
energy consumption. Furthermore, building design
2.2.4 Residential and Commercial Sectors and improved insulation and better windows can
The residential and commercial sectors are also have a major influence on the energy use within
major consumers of energy. Although aggregate residential and commercial buildings. Accordingly,
global data are not available, these sectors account the technological R&D of a range of firms, such as
for approximately 19 and 11%, respectively, of the manufacturers of heat pumps, furnaces, water
36 Technology Innovation and Energy

heaters, refrigerators, air conditioners, washers, and donors, governments, foundations, and multilateral
dryers as well as those involved in building construc- aid agencies.
tion and materials supply, can play a role in changing There are no estimates of the total funds devoted
the patterns of energy use in the residential and to technology/product development aimed at enhan-
commercial sectors. Again, many of the relevant cing energy services to the poor in developing
manufacturers have highly diversified operations, countries, although it would be fair to say that this
and residential and commercial products are only a total will be only a small fraction of the ER&D
small part of the overall operations. Still, it is expenditures discussed earlier. Beyond the obvious
possible to establish some estimate of the magnitude lack of large commercial opportunities for such
of R&D efforts in this area by looking at firms such applications, another reason for the limited focus
as Whirlpool and Electrolux, which focus nearly on developing technologies and products for the poor
exclusively on home appliances and are two of the in developing countries may be that much of the
largest home appliance manufacturers in the world, work in such endeavors is not cutting-edge research
with their respective R&D budgets being $255 but rather what has been referred to as ‘‘mundane
million and $139 million in 2000. It should also be science,’’ thereby not attracting the attention of many
noted that, given the relatively fragmented nature of researchers working or interested in energy technol-
the construction industry and little incentive for ogy development. But it should also be noted that
builders to explore methods and technologies for some of the ER&D expenditures in industrialized
designing and constructing energy-efficient buildings, countries are also ultimately beneficial for low-
there is not much R&D effort within this industry. income groups in developing countries. For example,
advances in PV technology and ‘‘balance of system’’
components have allowed the development of PV-
2.3 Other Research and based products that provide energy services such as
lighting and electricity in developing countries.
Development Issues
More generally, some concerns have been raised
Although universities focus mainly on basic research about the adequacy of ER&D spending globally.
rather than on technology development, their efforts Underlying these concerns are a number of trends
are also relevant for energy innovation in many highlighted previously:
ways. Scientific research is increasingly linked to *
Government cutbacks in energy technology
technological innovation, as indicated by the increas-
research in many industrialized countries
ing citations to scientific research in patents. Thus, *
A change in the nature of private sector spending
basic research on topics such as advanced materials
patterns in many technology firms, suggesting a
may yield results that are critical to the developments
shift to a market-driven paradigm of R&D with a
of new technologies (e.g., fuel cells).
focus on the shorter term as well as on greater
NGOs, research institutes, and universities are
dependence on outsourcing
also involved in the development of simple energy *
A decline in R&D spending by many major oil
technologies for low-income and rural groups,
and gas firms, consonant with the return of
especially in developing countries. Such organiza-
petroleum prices toward historical levels after the
tions rely on funding from numerous sources,
boom prices following the oil shocks of the 1970s
including governments, multilateral and bilateral *
Energy sector restructuring that has affected
development aid agencies, and philanthropic organi-
R&D spending by utilities
zations. For example, the R&D for the successful
jiko stove (a ceramic stove for charcoal cooking) and But in response, it should be pointed out that a
other high-efficiency stoves that have found wide- major portion of the decline in IEA government
spread use in Kenya and other African nations was expenditures has been due to cutbacks in nuclear
seeded by international and local development funds. R&D. If nuclear R&D is excluded, the remaining
In contrast, the improved cooking stove programs in total R&D expenditures seem to have leveled off
China and India were funded nearly entirely by the after the remarkable decline of the early to mid-1980s
respective governments. As another example, the (although there are still some fluctuations on an
Intermediate Technologies Development Group interannual scale). Also, although the R&D of some
(ITDG), an NGO that is involved in technology firms, such as petroleum majors and utilities, has
development and deployment in a number of declined substantially over the past decade or so, the
developing countries, receives funds from individual R&D expenditures of many other energy-relevant
Technology Innovation and Energy 37

firms do not show a similar decline. Still, the larger tory version of the technology is useful for testing the
point stands that as the challenges facing the energy concept but where the eventual application of
system continue to mount, there has not been a technology requires a much larger scale (e.g., in
concomitant rise in ER&D expenditures. power plants). Not only do these kinds of projects
This also raises another issue. Much of the policy help technology developers to test the feasibility of
literature and analysis on energy innovation focuses on their products for eventual implementation, but they
R&D budgets. Although such expenditures are a also demonstrate viability to potential buyers (often
necessary component of the innovation process— other corporations or public sector organizations) of
clearly, there can be little innovation without ER&D these technologies. The data gathered from demon-
investments—they are by no means sufficient in and of stration efforts can help to refine and improve
themselves. The eventual results of energy innovation technologies so as to increase the likelihood of
activities depend both on the success in developing commercialization. Energy technology demonstra-
technologies through ER&D investments and on the tions may often be cofunded by governments, given
uptake of these technologies by the eventual con- the public good aspects of energy services discussed
sumers. But performance issues of efficiency and earlier. An example of a major demonstration project
effectiveness of innovation, important not only within is the U.S. Clean Coal Technology program that was
the arena of energy but also more broadly, remain initiated in 1986 and ultimately involved 38 projects
relatively less analyzed, although results indicate that that covered advanced electric power generation,
investment in ER&D can potentially yield large environmental control technologies, and coal proces-
benefits. For example, a recent study by the U.S. sing. The overall budget of this project was $5.3
National Research Council of the DOE’s energy billion, of which $1.8 billion came from the federal
efficiency and fossil energy R&D programs found government.
that these yielded significant economic, environmental, Even if the technical feasibility of a new technol-
and knowledge benefits. In the energy efficiency area, a ogy has been demonstrated, it still might not be able
$7 billion R&D investment between 1978 and 2000 to compete in the market with already established
was estimated to have yielded $30 billion worth of technologies for a variety of reasons. The main
benefits, whereas the economic benefits associated categories of barriers include the following:
with the fossil energy programs over the same period
were estimated to be nearly $11.0 billion from an *
Cost
investment of $10.5 billion. In addition, environmen- *
Infrastructure needs
tal benefits resulting from these programs were *
Slow capital stock turnover
estimated to be anywhere between $64 billion and *
Market organization
$90 billion. Of course, this study also illustrates—and *
Information and financing options (particularly in
this leads directly to the next section—that yields from developing countries)
research on new or improved technologies can be
realized only when these technologies find widespread Both private and public sector responses are required
use in the energy system. to overcome these barriers.
Of these, the first barrier—cost—is by far the most
important given that most technologies are deployed
3. ENERGY TECHNOLOGY through the market, and cost is the key variable in
DEPLOYMENT this arena. There are two main reasons why a new
and improved technology, despite its commercial
Although investments in R&D can initiate the potential, might be unable to compete with an
development of new energy technologies and help established technology in cost terms: The first reason
to support them through the early stages, bringing is that consumers do not value, in financial terms, the
these technologies to market requires substantially improvement in energy service that the new technol-
more effort. Demonstration projects play an impor- ogy may offer. This situation basically exists because
tant part during this latter stage by testing in energy prices do not reflect the full costs of energy.
conditions approximating real-world applications For example, a new energy technology may result in
so as to gain a better understanding of various decreased local or global air pollution, but because
performance parameters. In many cases, demonstra- such pollution is not internalized into the costs of
tion projects can also help to scale up technologies. energy use, any reductions are not reflected in market
This is especially critical in cases where the labora- transactions. These price distortions are probably the
38 Technology Innovation and Energy

single largest barrier to the deployment of new and during the past decade or so, especially in the context
improved energy technologies. of dealing with environmental externalities, and have
The second reason is that costs of any technology been used in numerous policy experiments in
are higher during the early stages of its production, different parts of the world. Another possibility is
thereby hampering the ability of this technology to to use regulation to control the level of externalities
compete with technologies already in widespread (e.g., noise, environmental pollution, adverse health
use. The costs of new technologies generally decline effects) that are acceptable. Both technology-based
with increasing production and market experience. and performance-based standards have been used as
In fact, empirical data show that the total cost regulatory policy instruments to achieve such goals.
reductions of new technologies are related to their Governments can also give direct subsidies to
cumulative production, with the relationship be- technologies that reduce these externalities (e.g.,
tween the two often referred to as ‘‘learning curves’’ environmentally cleaner technologies) or remove
(on a log–log plot, this appears as a linear relation- subsidies from technologies that have high external-
ship). This ‘‘learning’’ and concomitant reduction in ities (e.g., polluting technologies).
cost can come from improvements in manufacturing Concerted private and public sector efforts are
techniques and processes as well as in product design also required to overcome the second category of
that result from the experience gained by a firm (or cost barrier by investing in continued R&D on these
an industry through spillover effects) as it engages in precompetitive technologies as well as in their
the production of these technologies (Fig. 4). production and deployment to reduce costs (through
Eliminating or reducing market distortions so as the learning effect mentioned previously) to the
to incorporate environmental or other externalities extent that they can overcome cost barriers and
into market prices generally requires public policy compete in the marketplace with the established
actions. Governments can reduce these distortions by conventional alternatives. This requires a learning
imposing taxes (e.g., pollution charges) that account investment as represented graphically in Fig. 5.
for these externalities or by imposing ceilings Although ultimately much of this learning invest-
combined with tradeable permits (e.g., pollution ment comes from the market (i.e., through sales of
caps combined with trading opportunities [generally the products embodying the technology), and the
referred to as ‘‘cap and trade’’]), both of which send a developers of technology play a central role in this
cost signal to the market. Such market-based process, public sector policies can play an important
instruments have gained significantly in popularity role in assisting early deployment of technologies
during their precompetitive stages.
Many governments have programs to promote the
Input
deployment of emerging energy technologies to help
overcome these cost barriers. A major set of policies
Public R&D has involved government-mandated purchase of
Industry R&D policies renewable power by utilities. In the case of the
+
+
Technology
Stocks of R&D Experience curve for
+ new technology

Production Learning investment


+
− −
Price

Total cost

Public deployment Conventional


policies technology Break-even point
Experience/Learning + Output

Cumulative production
FIGURE 4 Interactions among industry R&D, production
experience, and costs. r OECD/IEA, 2000, as adapted from FIGURE 5 Learning investments needed for new technology to
‘‘Experience Curves for Energy Technology.’’ break even with conventional technologies. r OECD/IEA, 2000,
as adapted from ‘‘Experience Curves for Energy Technology.’’
Technology Innovation and Energy 39

United States, this was through the Public Utility Government procurement programs can also help
Regulatory Policies Act of 1978 (PURPA), which to promote the deployment of energy technologies.
required utilities to buy electricity, at the utilities’ For example, in the United States, the Energy Policy
‘‘avoided cost,’’ from qualifying facilities (which Act of 1992 (EPAct) directs the DOE, in association
included power plants of o80 MW of capacity that with other agencies, to ‘‘identify and designate those
used renewable energy sources). In the United King- energy-efficient products that offer significant poten-
dom, the Non-Fossil Fuel Obligation (NFFO), a tial savings.’’ The EPAct also calls for ‘‘guidelines to
statutory obligation imposed by the British govern- encourage the acquisition and use [of these products]
ment under the Electricity Act of 1989, required the by all federal agencies.’’ Through its action plan to
regional electricity companies that comprise the improve energy efficiency, the European Union is
national distribution network in the United Kingdom focusing on technology procurement that can be used
to contract for a specified amount of generating to specify and develop new energy-efficient technol-
capacity based on nonfossil fuels. A study by the ogy through both common European Union-wide
Pacific Northwest National Laboratory estimated procurement and coordinated procurement among its
that in 1990, when the first NFFO tender was made, member states. In combination with public procure-
successful wind energy projects produced electricity ment policies, this will assist in both the development
at approximately 14.70 cents/kWh, whereas before and diffusion of improved energy technologies.
the end of that decade, NFFO wind energy projects Infrastructural barriers become important in cases
were producing at 4.85 cents/kWh. And under the where new technologies basically constitute an
German Electricity Feed Law (EFL), grid operators altogether different technological trajectory. For
were obliged to purchase electricity produced from example, a shift to electric vehicles would require
renewables within their respective supply areas at not only the necessary automotive technology but
agreed and fixed prices. The value of such regulatory also a network of recharging stations. Similarly, a
obligations can be enhanced if they provide a stable hydrogen-based energy economy would require a
framework for project developers. For example, the network for hydrogen distribution or distributed
NFFO is filled through competitive bids for long-term hydrogen generation. This requires the establishment
contracts (up to 15 years) that allow for guarantees of an infrastructure that may be economically
on purchasing obligations as well as steady con- infeasible for the small-scale introduction of a new
fidence in future markets and prices. technology. Often, the infrastructure requirements
However, it should be noted that although these are so overwhelming that one set of technologies is
deployment programs helped to bring down the costs basically ‘‘locked in.’’ The current automobile-based
of renewables-based electricity generation, they were transport infrastructure is a perfect example of this,
unable to ensure the long-term sustainability of where networks of roads and gasoline stations and
renewables because the declines in cost seen in servicing infrastructure are well established. Hence,
natural gas-fired generation were even greater. alternative modes of transport such as light rail are at
Governments can also promote the deployment of a large disadvantage because they have to compete
improved energy technologies through the use of with an existing mode of transport with a strong
minimum performance standards. These kinds of infrastructure. These kinds of barriers are difficult to
regulatory standards are generally used for specified overcome and almost certainly require some govern-
product categories (e.g., electric appliances), but they ment involvement.
can also be set for a given percentage of products on Improved provision of information to consumers,
the market, a market-wide average, or a manufac- particularly individuals and small and medium-size
turer-based average. A commonly cited example of a enterprises (SMEs), can help to overcome informa-
standard is the U.S. Corporate Average Fuel Economy tion barriers to energy technology deployment. These
(CAFE) standards for automobiles, a manufacturer- barriers refer to the lack of information, or of the
based average. These standards, while primarily a expertise to judge or analyze information, required
response to the oil market disruption of 1973, have for making appropriate choices during technology
been notably successful. Greene has estimated that selection. To some extent, technical consultants or
the total vehicle miles traveled in 1995 would have other experts can play a role in helping SMEs with
required an additional 55 billion gallons of fuel and such decisions. An approach that has found common
would have cost motorists an extra $55 billion if use, especially for targeting individual consumers, is
there had been no improvement in on-road light-duty a labeling program to provide consumers with data
vehicle fuel efficiency levels since 1975. about the performance of energy-using products and,
40 Technology Innovation and Energy

hence, to help them make more informed choices. sustainable development. Hence, most of its climate
Labels are generally of two kinds: those that provide change greenhouse gas (GHG) mitigation projects
information about performance on some common have (so far at least) focused on the energy sector. Its
metrics (such programs require mandatory participa- major goals have included promotion of the adoption
tion) and those that indicate the achievement (or of renewable energy by removing barriers, reduction
surpassing) of a specific standard (such endorsement of implementation costs, and reductions in the long-
labels are voluntary by definition). Nearly all term costs of low GHG-emitting energy technologies.
industrialized countries have labeling programs that The GEF helps to overcome the incremental costs (in
cover some home appliances. The use of labels can relation to conventional alternatives) of deploying
have a significant impact on consumer behavior. A climate-friendly technologies and, hence, plays a
recent European study found that labels influenced direct role in overcoming the cost barriers discussed
the choices of a third of the purchasers surveyed. A earlier. From 1991 to 2001, it approved 136 climate
classic and very successful example of an endorse- change projects with a total grant component of
ment label program is the U.S. Energy Star program, more than $1 billion (and with cofinancing of more
which is a voluntary partnership among the U.S. than $5 billion).
Environmental Protection Agency (EPA), the DOE, Other international aid agencies, both bilateral
and industry. Its basic aim is to expand the market and multilateral, also directly support the deploy-
for a range of energy-efficient products. The program ment of renewable and other energy technologies in
covers new homes as well as products/appliances for developing countries and also help to overcome
home and office use. Webber has estimated that the barriers to such deployment. Although the private
program resulted in savings of 760 PJ of energy by sector has taken on increasing significance in the
1999 (for reference, the U.S. energy consumption in development of the energy sector in developing
1999 was approximately 1  105 PJ). countries, international aid and export credit agen-
Informational and financial barriers can be parti- cies often play a critical role in the deployment and
cularly problematic for individual consumers on the adoption of new and improved energy technologies
lower end of the economic spectrum, especially those in these countries. For example, the large increases in
in developing countries. Not only are low-income the deployment of renewable energy technologies in
households particularly disadvantaged in being able India were partly a result of the large promotion of
to assess the relative merits of various technological such technologies—through financial, information,
options, but they are also hobbled financially in and other assistance mechanisms—by the Indian
making choices. Hence, they might not have the Renewable Energy Development Agency, which has
savings to invest in an energy-efficient technology received substantial international assistance from the
even if it is cost-effective over the lifetime of the GEF, the World Bank, and the Asian Development
technology, or they might not have access to credit for Bank as well as the bilateral aid agencies of Germany,
making choices. They also might have very high The Netherlands, and Denmark.
discount rates that bias any decisions toward the Organizations such as NGOs, rural energy co-
short term. There have been a number of approaches operatives, village committees, local vendor repre-
to tackle this barrier, including loans extended by sentatives, microcredit and other financing agencies,
microcredit agencies, term payment arrangements and energy service companies also play a major role
offered by service providers, and community-based in the deployment of energy technologies in devel-
saving schemes. Such arrangements can involve oping countries, particularly among low-income
private sector firms, NGOs, other community-based groups. Sustainable deployment in rural areas of
organizations, and international aid agencies. developing countries requires appropriate installa-
In fact, a number of international agencies are tion, service, and maintenance expertise as well as
involved in various aspects of deployment and suitable financing mechanisms so as to help with
dissemination of improved energy technologies in deployment. For example, the ITDG, beyond its
developing countries. The most prominent of these is work on technology development, also assists in
the Global Environmental Facility (GEF), which was local manufacture and technical support, formation
established in 1991 as the financial mechanism for, of producer associations, training and skills devel-
among other agreements, the UN Framework Con- opment, and enhancement of community financing
vention on Climate Change (UNFCCC). The GEF’s (especially microfinance).
climate change projects aim to mitigate the risks of In the end, successful energy innovation requires
global climate change while also providing energy for concerted, synergistic, and sustained efforts by a
Technology Innovation and Energy 41

range of actors, institutions, and policies to develop The PV deployment program also has a number of
technologies and bring them to the marketplace. This components, with the main one being the residential
is clearly demonstrated by the illustrative cases of the PV dissemination program that aims to promote,
Japanese PV development program and German through subsidies, the installation of PV systems by
wind development programs. individuals. Other components include programs to
support efforts established by regional governments
and to support industrial entrepreneurs who are
involved in introducing PV systems. A number of
3.1 The Japanese Photovoltaic Program
government ministries, local governments, munici-
Japan has the largest PV installed capacity in the palities, and utilities are also involved in this
world as a result of the sustained investments made deployment effort. In addition, solar cell manufac-
by the country through carefully coordinated PV turers and housing firms have organized the Japan
R&D and deployment, leading to a ‘‘virtuous cycle’’ Photovoltaic Energy Association to carry out public
among R&D, market growth, and price reduction. relations and dissemination in cooperation with the
By the end of 2000, the total installed capacity in the government. This deployment effort has led to
country was 317 MW, of which on-grid distributed learning in regard to both the PV modules and the
generation accounted for more than 252 MW. In balance of system components. Between 1993 and
2000, Japan produced 128 MW of PV cells and 1998, the government subsidies for this program
136 MW of modules, both of which were well over totaled approximately $200 million but stimulated
half of the global production. market actors to provide additional learning invest-
The Japanese PV program was initiated in 1974 ments of $300 million. It is estimated that by 2007,
after the oil crisis as part of the ‘‘Sunshine Project’’ to PV commercialization can become self-sustaining. By
develop alternative forms of energy. It has been that point, market investments in learning will be
under the direction of the New Sunshine (NSS) about 5.7 times the government support.
project since 1993. The overall target of the NSS is to
install 5000 MW of PV capacity by 2010.
3.2 The German Wind Power Program
The NSS program is directed by the Ministry of
Trade and Industry (MITI). On the R&D front, the Germany is considered a world leader in wind energy
government has been investing heavily in PV R&D; deployment, with electricity production from wind
between 1991 and 1998, government spending on having gone up more than eightfold—from 670 to
PV R&D exceeded $480 million. Approximately more than 5500 GWh—between 1993 and 1999. In
40% of the MITI’s PV R&D budget went to the eight 1999, Germany had more than 4000 MW installed
leading Japanese PV firms, with the remainder going capacity. The prices also declined substantially over
to national research institutes, universities, and other this period, indicating a learning rate of approxi-
industries. The government support for PV R&D mately 8%, and it is estimated that for each
induced vigorous R&D expenditures in industry; by deutschemark (DM) spent by the government in
1995, industrial expenditures on PV R&D were subsidizing learning, market actors provided 2.1 DM.
about twice those of the government. The MITI also Furthermore, the manufacturing base for wind energy
established an R&D consortium for PV development technologies, including indigenous firms as well as
that had 65 participating firms by 1996. The main joint ventures, continues to expand in Germany.
focus areas of R&D were cost reduction of PV A number of different actors and policies operating
systems, silicon feedstock for PV cells, and PV in tandem contributed to this success story. In 1989,
deployment. when the federal government initiated a ‘‘100-MW
The MITI is also implementing a demonstration Wind Programme,’’ there was nearly a complete
program that involves PV field tests for industrial use, absence of a market for wind turbines. Wind plant
where half of the PV installation costs are subsidized. operators could receive money from this program as
This follows the successful completion of a demon- well as utilities for power delivered to the grid.
stration program on field tests for public facilities that Investment subsidies were also provided by this
was completed in 1998. The aim of this program is to program, and the Lander (states) offered additional
install trial PV systems to introduce industry to PV grants. In 1991, the federal government also promul-
use, demonstrate and analyze long-term operation of gated the EFL, which obliged grid operators to
PV systems, and standardize and introduce PV purchase electricity produced from renewables at
applications toward full-scale deployment. agreed and fixed prices and, thus, provided a stable
42 Technology Innovation and Energy

market for investors. In the same year, the govern- *


Although most of the world’s activities on energy
ment also enlarged the 100-MW program to a 250- technology innovation focus on users and
MW program. During the early 1990s, the govern- consumers in the commercial energy arena, there
ment also increased its support for wind power R&D, are much smaller but parallel innovation
with the budget for the 1992–1996 period being more subsystems that focus on the energy service needs
than double that for the 1987–1991 period. of the poor in developing countries. Many of the
In addition, many German regions or municipa- actors in these subsystems are often quite different
lities established targets intended to promote renew- from the actors in the mainstream energy
able energy, including wind energy and use, and often innovation system, although there are linkages
provided financial support, including investment between the two groups and their activities.
subsidies, to implement these renewable energy *
Trends in global ER&D expenditures give some
policies. Many German financial institutions also cause for concern due to the burgeoning
provided low-interest loans for renewable energy challenges facing the energy system, although the
projects. Between 1990 and 1997, a total of 3.48 potential for meeting these challenges may be
billion DM (1.78 billion euros) was disbursed for hobbled more by ineffective deployment of
wind energy projects. Tax laws that allowed the suitable energy technologies than by insufficient
offsetting of investments in wind farms made this an R&D.
attractive option for individuals. Administrative *
For any new energy technology, the move from
support was provided for wind energy projects in the precompetitive stage to deployment faces
the forms of planning guidance and land use numerous barriers. Thus, successful energy
directives that helped to assuage local concerns about innovation requires concerted, synergistic, and
these projects. At the same time, developers also often sustained efforts by a range of actors, institutions,
held public meetings in local communities to share and policies not only to develop technologies but
information about, and raise interest in, schemes. also to bring them to the marketplace.
Finally, the high level of environmental awareness as *
Government policies such as moving toward full
well as interest in renewables among the citizenry cost energy pricing are perhaps the most
contributed significantly to the public support for important drivers of energy innovation by
wind energy deployment. creating a demand for new and improved energy
technologies that, in turn, creates an impetus for
ER&D as well as deployment.
4. CONCLUSION
Although there have been a number of efforts in
The aim of this broad sweep through the area of different countries to guide the energy innovation
energy innovation, highlighting the main actors, system, much more effort will be needed to enable it
activities, policies, institutions, and their interactions to meet the energy-related challenges facing human-
that eventually underlie energy technology develop- ity. We know a fair bit about some aspects of energy
ment and deployment, was to present an overview of technology innovation (e.g., R&D inputs, various
the current state of and challenges to energy actors and interactions among them, deployment
innovation. issues), but we know much less about some others
To recapitulate, some key points are as follows: (e.g., efficiency and effectiveness of R&D, sufficiency
*
A diverse cast of actors, with flows of finances, in relation to challenges). Improving the under-
technology, and knowledge among them, are standing of such issues, and finding the social and
involved in energy technology innovation. Various political will to act on the lessons that emerge, will
policies (e.g., energy, fiscal, trade, competitiveness, ultimately determine our ability to meet these
environmental), as well as other macroeconomic daunting challenges.
and institutional factors, shape this ‘‘energy
innovation system’’ and also influence its output.
*
Most energy technology development takes place SEE ALSO THE
within firms, although other organizations (e.g., FOLLOWING ARTICLES
government laboratories, universities) also
contribute to this process. Governments and the Consumption, Energy, and the Environment 
private sector direct large expenditures toward Development and Energy, Overview  Early Indus-
ER&D. trial World, Energy Flow in  Economic Growth,
Technology Innovation and Energy 43

Liberalization, and the Environment  Energy Metz, B., Davidson, O. R., Martens, J-W., van Rooijen, S. N. M.,
Ladder in Developing Nations  Environmental and McGrory, L. V. W. (2000). ‘‘Methodological and Techno-
logical Issues in Technology Transfer.’’ Cambridge University
Change and Energy  Experience Curves for Energy Press, Cambridge, UK.
Technologies  Global Energy Use: Status and Trends National Research Council. (2001). ‘‘Energy Research at DOE:
 Information Technology and Energy Use  Innova- Was It Worth It?’’ National Academy Press, Washington, DC.
tion and Energy Prices  Microtechnology, Energy President’s Council of Advisors on Science and Technology. (1997).
‘‘Federal Energy R&D for the Challenges of the 21st Century.’’
Applications of  Research and Development Trends
Office of Science and Technology Policy, Washington, DC.
for Energy President’s Council of Advisors on Science and Technology.
(1999). ‘‘Powerful Partnerships: The Federal Role in Interna-
tional Cooperation and Energy Technology Innovation.’’ Office
Further Reading
of Science and Technology Policy, Washington, DC.
Dooley, J. J. (1998). Unintended consequences: Energy R&D in a Reddy, A. K. N., Williams, R. H., and Johansson, T. B. (1997).
deregulated market. Energy Policy 26, 547–555. ‘‘Energy after Rio: Prospects and Challenges.’’ UN Development
Grubler, A., Nakicenovic, N., and Victor, D. G. (1999). Dynamics Program, New York.
of energy technologies and global change. Energy Policy 27, Sagar, A. D. (2002). ‘‘India’s Energy and Energy R&D Landscape:
247–280. A Brief Overview.’’ BCSIA Discussion Paper 2002-08, Energy
International Energy Agency. (1997). ‘‘Enhancing the Market Technology Innovation Project, John F. Kennedy School of
Deployment of Energy Technology: A Survey of Eight Government, Harvard University.
Technologies.’’ IEA, Paris. Sagar, A. D., and Holdren, J. P. (2002). Assessing the global energy
International Energy Agency. (2000). ‘‘Energy Technology and innovation system: Some key issues. Energy Policy 30, 465–569.
Climate Change: A Call to Action.’’ IEA, Paris. Watanabe, C., Wakabayashi, K., and Miyazawa, T. (2000).
International Energy Agency. (2000). ‘‘Experience Curves for Industrial dynamism and the creation of a ‘‘virtuous cycle’’
Energy Technology Policy.’’ IEA, Paris. between R&D, market growth and price reduction: The case of
International Energy Agency. (2001). ‘‘Energy Labels and stan- photovoltaic power generation (PV) development in Japan.
dards.’’ IEA, Paris. Technovation 20, 299–312.
International Energy Agency. (n.d.). ‘‘IEA Energy Technology World Energy Council. (2001). Energy Technologies for the
R&D Statistics.’’ IEA, Paris. www.iea.org/stats/files/rd.htm. Twenty-First Century. WEC, London.
Temperature and Its Measurement
JOSEPH PRIEST
Miami University
Oxford, Ohio, United States

Kelvin temperature scale A temperature scale based on a


1. Temperature temperature of 273.16 K for the triple point of water;
2. Thermometry named for physicist and mathematician Lord Kelvin,
born William Thomson and knighted by Queen Victoria
3. Temperature Scales as the first Baron of Largs (1824-1907).
4. Range of Temperatures manometer A device for measuring pressure differences,
5. The International Temperature Scale of 1990 usually by the difference in height of two liquid columns.
6. Temperature Sensors optical pyrometer A device using Planck’s law and
measurements of thermal power in the range 0.4 to
0.7 mm, usually approximately 0.66 mm to infer the
temperature of the source.
Glossary Planck’s radiation law A mathematical relationship for-
mulated in 1900 by German physicist Max
absolute zero The lowest temperature on the Kelvin
Planck(1858–1947) to explain the spectral energy
temperature scale.
distribution of radiation emitted by a blackbody.
blackbody A perfect emitter and absorber of thermal
Rankine temperature scale A temperature scale based on a
radiation.
temperature of 491.691R for the triple point of water;
Celsius temperature scale A temperature scale based on 0
named for Scottish engineer William Rankine (1820–
and 1001C for the ice and steam points of water,
1872).
respectively; named for Swedish astronomer Anders
Celsius. resistance temperature detector (RTD) A sensor relating
emissivity The ratio of power radiated by a substance to temperature to the electrical resistance of a conductor.
the power radiated by a blackbody at the same Seebeck effect The voltage produced when there is a
temperature. temperature gradient along a conductor; named for
Fahrenheit temperature scale A temperature scale based on physicist Thomas Johann Seebeck (1770–1831).
32 and 2121F for the ice and steam points of water, temperature At the human level, a measure of the
respectively; named for German scientist Gabriel Daniel sensation of hot and cold; at the atomic level, it is a
Fahrenheit. measure of the average linear kinetic energy of an atom
infrared thermometer A device using Planck’s law and or a molecule in a substance.
measurements of thermal power in the range 0.7 to thermal energy The average kinetic energy associated with
80 mm to deduce the temperature of the source. the motion of atoms and/or molecules in a substance.
International Temperature Scale of 1990 (ITS-90) An thermal equilibrium When there is no change in the
internationally recognized standard adopted on January thermometric properties of either system.
1, 1990. Between 0.65 and 5 K, temperatures on the thermistor A temperature sensor employing the electrical
ITS-90 are defined in terms of the vapor–pressure resistance of a semiconductor as a thermometric
temperature relations of helium-3 and helium-4. Above property.
5 K, the ITS-90 assigns temperatures to sixteen fixed thermocouple A temperature sensor consisting of two
points (Table I). Between the fixed points, temperatures dissimilar wires bonded together at one end to form a
on the ITS-90 are obtained by interpolation using a junction; a voltage related to the temperature of the
helium gas thermometer in the range 3 K to 24.5561 K, junction is produced between the open ends of the two
a platinum resistance thermometer in the range wires.
13.8033 K to 1234.93 K, and an optical thermometer thermometer An instrument employing a thermometric
above 1234.93 K. property to measure temperature.
1 thermometric property A property of a system that
kelvin A unit of temperature defined as 273:16 of the triple
point temperature of water. changes with temperature.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 45


46 Temperature and Its Measurement

triple point temperature The single temperature at temperature indicates when two objects are in
which liquid, vapor, and solid coexist in thermal thermal equilibrium.
equilibrium. If a spoon and a fork are placed in a refrigerator,
Wien’s displacement law A mathematical relationship both will come to thermal equilibrium with the
formulated by German physicist Wilhelm Wien environment of the refrigerator, and we would say
(1864–1928) showing that the wavelength for max-
that each has the same temperature as the refrig-
imum radiative power of a blackbody is inversely
proportional to the Kelvin temperature.
erator. We would also find that if the spoon and fork
Zeroth law of thermodynamics A relationship indicating were placed in contact, they would be in thermal
that if two systems are separately in thermal equilibrium equilibrium and, therefore, at the same temperature.
with a third system, they must also be in thermal Although not surprising, this idea is profound and
equilibrium with each other. gives rise to the Zeroth law of thermodynamics: if
two systems are separately in thermal equilibrium
with a third system, they must also be in thermal
equilibrium with each other. One of these three
Temperature is a measure of the sensation of hot and
systems could be an instrument for measuring
cold. Inanimate objects that respond to the sensation
temperature, that is, a thermometer. If a thermo-
are used in a thermometer to assign a numerical
meter records a certain temperature when in
value to the sensation. Thermometers employing the
thermal equilibrium with one of the systems, we
common Celsius and Fahrenheit scales assign 01C
would expect the thermometer to record the same
and 321F to the freezing point of water, respectively,
temperature when in thermal equilibrium with the
and assign 1001C and 2121F to the boiling point of
third system.
water, respectively. Temperature changes are re-
corded identically on the Celsius and Kelvin scales
and on the Fahrenheit and Rankine scales, but the
zero value differs on the respective pairs of scales.
This article discusses the range of temperatures
2. THERMOMETRY
encountered in nature and the International Tem-
A property of a system that changes with tempera-
perature Scale of 1990 (ITS-90). It also describes a
ture is called a thermometric property. Examples of a
wide variety of temperature sensors along with their
thermometric property include the following:
operational temperature range.

*
Pressure of a gas
*
Volume of a liquid
1. TEMPERATURE *
Electrical resistance
*
Color
A person feels warm when standing near a campfire *
Electrical voltage
and feels cold when standing in front of an open *
Character of thermal radiation
refrigerator. Temperature is a way of recording the
extent of this sensation of hotness and coldness.
Inanimate things also respond to hotness and The algebraic equation chosen to relate tempera-
coldness. For example, the pressure of air in an ture to a thermometric property is arbitrary. How-
automobile tire decreases when the air cools, and the ever, the simplest way, and the one most generally
length of a railroad rail increases when the rail used, is a linear equation of the form T ¼ mx þ b,
warms. These inanimate changes are used to assign a where T is the temperature, x is the thermometric
numerical value to temperature. property, and m and b are experimentally determined
A metal spoon taken from a refrigerator is cold to constants. The constants m and b may be determined
the touch, and water drawn from a hot water tap by assigning numerical values to two temperatures
feels warm. If the spoon is placed in the water, the and recording the values of the thermometric
spoon warms while the water cools. Eventually, both property at these two temperatures. Typically, the
the spoon and the water feel the same to the touch, two temperatures are the freezing point of water and
and we say that thermal equilibrium is attained and the boiling point of water. These two temperatures
that the two have the same temperature. This are assigned 0 and 1001C on the Celsius scale,
definition of temperature does not depend on any respectively, and are assigned 32 and 2121F on the
particular temperature scale. The property of Fahrenheit scale, respectively.
Temperature and Its Measurement 47

3. TEMPERATURE SCALES temperatures as low as 38.71C. Mercury remains a


liquid for temperatures several hundred degrees
3.1 Celsius and Fahrenheit Scales Celsius above room temperature, but other factors
(e.g., softening of the glass housing) limit the highest
To illustrate the thermometer principle and the measurable temperature to approximately 3601C.
Celsius scale of temperature, consider the ‘‘liquid- The use of a different liquid, notably ethanol, can
in-glass’’ device depicted in Fig. 1. The thermometer extend the lower measurable temperature to ap-
is a glass tube with a reservoir for the liquid at one proximately 1151C. Because of the simplicity of
end and a capillary (narrow cylindrical channel) liquid-in-glass thermometers and the relatively large
feeding into the reservoir. Liquid is forced into the measurable temperature range, they have been
capillary when the temperature of the liquid in the widely used for roughly 300 years.
bulb increases. Suppose that the level of the liquid is Factors that limit the reproducibility and accuracy
determined by a centimeter scale attached to the side of liquid-in-glass thermometers include the following:
of the thermometer. If the level corresponds to 1.1 cm
when the bulb is at the freezing point of water (01C)
and corresponds to 10.3 cm when the bulb is at the *
Manufacturing reasonably identical thermometers
boiling point of water (1001C), we write *
Recording the precise level of the liquid
0 ¼ 1.1m þ b and 100 ¼ 10.3m þ b for the two *
Experiencing difficulty in reproducing the ice and
respective cases. Solutions to these two equations steam points of water
yield m ¼ 10.9 and b ¼ 12.0, and the equation
relating temperature to fluid height becomes A constant volume gas thermometer (Fig. 2) using
T ¼ 10.9x12.0. An unknown temperature is then the pressure of a gas as a thermometric property
determined by measuring the fluid level (x) and avoids most of these problems. The great virtue of
calculating the temperature (T) using the equation. In this thermometer is that for very low gas pressure,
practice, the 0 and 1001C temperatures are etched at the temperature deduced is independent of the gas
the fluid level for the freezing point and boiling point used.
of water, respectively. Then, the space between the 0 The three phases of water—vapor, liquid, and
and 1001C marks is graduated into 100 equal solid—exist with no change in any component at a
segments and an unknown temperature is read unique temperature called the triple point tempera-
directly from the position of the fluid level. If the ture. Gas in a container is then brought to thermal
thermometer were recording temperature on the equilibrium with its surroundings, and this is
Fahrenheit scale, the 0 and 1001C designations maintained at the triple point temperature. The
would be replaced with 32 and 2121F, respectively, pressure of the gas (Po) is then measured. By
and the space between the marks would be graduated definition, the triple point temperature is 273.16 kel-
into 180 equal segments. Conversion between the vins, symbolized as 273.16 K. When the gas is
two scales follows from the relation F ¼ 95C þ 32: brought to equilibrium with the surroundings at a
temperature other than the triple point, the fluid
reservoir of the manometer is raised or lowered so
3.2 Kelvin and Rankine Scales
that the gas volume remains constant and the gas
Mercury is very useful in a liquid-in-glass thermo- pressure (P) is measured. Assuming that for constant
meter because it is liquid at room temperature, does volume, pressure is proportional to temperature, the
not wet glass or cling to it, and has uniform volume ratio of two temperatures equals the ratio of the
expansion throughout its liquid range. Because corresponding pressures. Knowing the pressure and
mercury remains a liquid down to approximately temperature for the triple point and measuring the
401C, mercury-in-glass thermometers can record pressure for the unknown temperature, the tempera-

Cylindrical glass housing Capillary


0°C 100°C

Liquid
reservoir 0 1 2 3 4 5 6 7 8 9 10
Centimeter scale
FIGURE 1 A liquid-in-glass thermometer.
48 Temperature and Its Measurement

Reservoir for
manometer fluid

Flexible
tubing

Gas at
triple point T

Surroundings at
triple point T

FIGURE 2 Constant volume gas thermometer principle. The apparatus illustrated here for measuring gas pressure is called
a manometer. Gas pressure is related to the difference in fluid levels in the manometer. The volume of gas is held constant by
raising or lowering the reservoir for the manometer fluid. There is a variety of ways in which to measure the pressure and to
ensure constant gas volume.

ture is then computed from the relation temperature of the substance. At the level of atoms
P and molecules, it is appropriate to interpret tem-
T ¼ 273:16 : ð1Þ perature as a measure of the average linear kinetic
Po
energy of an atom or a molecule in a substance.
Temperatures deduced from Eq. (1) are expressed in
kelvins, and the scale is called the Kelvin tempera-
1
ture scale. One kelvin is defined as 273:16 of the triple
point temperature of water. A kelvin is equal to a 4. RANGE OF TEMPERATURES
Celsius degree, so that changes in temperature are
the same on both the Kelvin and Celsius scales. The Most humans would agree that a temperature of
freezing point of water on the Kelvin scale is 351C (951F) is quite hot and that 101C (141F) is
273.15 K, so that the conversion from kelvins to rather cold. Yet in 1913, humans recorded a
degrees Celsius becomes K ¼ C þ 273.15. The lowest temperature of 56.71C (1341F) in Death Valley,
temperature on the Kelvin scale is zero and is California, and a temperature of 89.41C (1291F)
referred to as absolute zero. The Rankine scale of in 1983 in Vostok, Antarctica. As large as these
temperature is developed in the same way as the temperature extremes are by human standards, they
Kelvin scale by taking the triple point of water to be pale in comparison with other earthbound and
491.691R. A Rankine degree is equal to a Fahrenheit extraterrestrial temperatures. Liquid nitrogen at a
degree. The freezing point of water is 491.671R, so temperature of 1961C (77 K) is routinely used in
that conversion between the two scales becomes cryosurgery to destroy cancerous tumors, magnets
R ¼ F þ 459.67. used in magnetic resonance imaging (MRI) are cooled
The random incessant motion of atoms and/or with liquid helium at a temperature of 2691C
molecules in a substance is called thermal motion. (4.2 K), and the temperature of the filament in an
The motion of an atom or molecule always has linear incandescent light bulb operates at approximately
components and in the case of molecules may include 25001C (2200 K). Low-temperature research labora-
vibration and rotation. The average kinetic energy tories have produced temperatures in the tens of
associated with the motion is called thermal energy. billionths of a kelvin. Extraterrestrial, we find a
The average linear kinetic energy of an atom or cosmic background temperature of 2.7 K (270.51C),
molecule is directly proportional to the Kelvin a surface temperature of approximately 57001C
Temperature and Its Measurement 49

(6000 K) for our sun, and an interior temperature of 6. TEMPERATURE SENSORS


approximately 15,000,000 K for the sun. Figure 3
depicts the range of temperatures encountered in 6.1 Resistance Temperature Detectors
nature.
6.1.1 Platinum Resistance Temperature Detector
The resistance to the flow of electric charge in a
conductor depends on temperature. For metals, the
5. THE INTERNATIONAL resistance increases as the temperature increases. The
algebraic relation between temperature and resis-
TEMPERATURE SCALE OF 1990
tance allows one to determine the temperature of the
metal from a measurement of its resistance. Thermo-
The International Temperature Scale of 1990 (ITS-
meters based on this principle are called resistance
90) is the internationally recognized standard.
temperature detectors (RTDs). Platinum is particu-
Between 0.65 and 5 K, temperatures on the ITS-90
larly useful for an RTD because it can be made very
are defined in terms of the vapor pressure tempera-
pure, is stable and does not oxidize easily, and has a
ture relations of helium-3 and helium-4. Above 5 K,
relatively high melting point of 17721C. In addition,
the ITS-90 assigns temperatures to 16 fixed points
its resistance varies smoothly—nearly linearly—over
(Table I). Between the fixed points, temperatures on
a wide range of temperatures. Properly calibrated, a
the ITS-90 are obtained by interpolation using a
platinum resistance thermometer can achieve repro-
helium gas thermometer in the range of 3 to
ducible readings accurate to less than a thousandth
24.5561 K, a platinum resistance thermometer in
of a Celsius degree.
the range of 13.8033 to 1234.93 K, and an optical
Figure 4 shows a platinum RTD constructed from
thermometer above 1234.93 K.
fine platinum wire approximately 0.1 mm in dia-
meter. Typically, the sensor has a resistance of
108 Cores of the most massive stars 100 ohms (O) at 01C and increases approximately
Solar core 0.39 O for each Celsius degree increase. A second,
more modern, and more widely used type of
106 platinum resistance temperature sensor is shown in
Fig. 5. The platinum is deposited as a very thin
narrow ribbon onto a ceramic base. Typical film
104
Surface of the sun

Surface of Earth TABLE I


102
International Temperature Scale Calibration Temperatures
Temperature (K)

Liquid helium boils at 1 atm pressure Hydrogen triple point 13.8033 K 259.34671C
1
Hydrogen vapor pressure
(B33 kPa) B17 K 256.151C
Hydrogen vapor pressure
−2
10 (B101 kPa) B20.3 K 252.851C
Neon triple point 24.5561 K 248.59391C
Helium dilution refrigerator
Oxygen triple point 54.3584 K 218.79161C
−4
10 Argon triple point 83.8058 K 189.34421C
Mercury triple point 234.3156 K 38.83441C
Water triple point 273.16 K 0.011C
−6
10 Gallium melting point 302.9146 K 29.76461C
Indium freezing point 429.7485 K 156.59851C
Tin freezing point 505.078 K 231.9281C
−8
10 Zinc freezing point 692.677 K 419.5271C
Low-temperature research Aluminum freezing point 933.473 K 660.3231C
Silver freezing point 1234.93 K 961.781C
10−10 Gold freezing point 1337.33 K 1064.181C
FIGURE 3 A representative few of the temperatures encoun- Copper freezing point 1357.77 K 1084.621C
tered in nature. Note that the scale is logarithmic.
50 Temperature and Its Measurement

of a semiconductor depends on temperature, but


unlike a metal, the resistance decreases as the
temperature increases and the relation between
Coil made of fine resistance and temperature is highly nonlinear. A
platinum wire Electrical sensor using such a semiconducting material is called
connections
a thermistor. Resistance (R) and Kelvin temperature
(T) for a thermistor are generally assumed to be
Protective
housing
related by R ¼ Roeb(1/T1/To), where Ro is the
resistance at temperature To and, depending on the
material, b ranges from 3500 to 4600 K. A platinum
FIGURE 4 A common type of resistance temperature detector wire having a resistance of 100 O at 01C will have
employing a fine platinum wire. The cylindrical package may be as
approximately 40% more resistance at 1001C. But
small as 3 mm in diameter.
the resistance of a semiconductor may change by a
factor of 50 in the same temperature interval.
Electrical Thermistors can be made in nearly any stable
connections geometric shape, with the largest overall dimension
being approximately 1 mm. Thermistors are rela-
tively cheap, their response time is short, and their
Zig-zag platinum
film pattern
intrinsic accuracy is good. The fact that they are
highly nonlinear is a disadvantage, as is the limited
temperature range, typically 100 to 1501C. Still,
thermistors find many uses in this temperature range,
Ceramic
for example, as the sensor in a nurse’s thermometer.
base
6.2 Thermocouples
FIGURE 5 A common type of resistance temperature detector In 1826, Thomas Seebeck discovered that a voltage is
employing a thin platinum film. The overall dimensions may be as produced when there is a temperature gradient along
small as 2  2  0.5 mm thick.
a conductor. This phenomenon is called the Seebeck
effect. The voltage produced is called the Seebeck
thickness ranges from 1 to 2 mm with a 10-mm thick voltage, and the variation of voltage with tempera-
protective coating. Precise resistances can be ob- ture is called the Seebeck coefficient. Two wires of
tained by trimming the length of the film. The different composition bonded at one end produce a
standard resistance is 100 O at 01C, but by control- thermocouple (Fig. 6). A voltage develops between
ling the dimensions of the film (especially the the unconnected ends and is related to the tempera-
thickness), a much higher resistance is achievable. ture, making a thermocouple useful as a temperature
A thin film platinum resistance temperature sensor sensor. At 251C, a thermocouple having one wire
can be bonded to a material to measure temperature made of pure copper and the other wire made of an
in a very local area. Because of the small overall size alloy of copper and nickel called Constantan
and good thermal contact, the sensor responds produces 40.6 microvolts (mV) for each Celsius
quickly to temperature changes, making it very degree change. The voltage produced by a thermo-
useful in temperature control applications. Depend- couple increases monotonically with temperature
ing on the construction, a platinum resistance and is nearly linear over wide ranges of temperature.
temperature sensor can measure temperatures in the Thermocouples are widely used in industry, even
range of 10 to 1200 K. though sensitive instruments are required to measure
the small voltages produced.
6.1.2 Thermistors Like an ordinary battery, there is a positive and
To a first approximation, a semiconductor is a negative polarity to the voltage produced by a
material having electrical properties between a thermocouple. When a meter is connected to
conductor (e.g., copper) and an insulator (e.g., glass). measure a thermocouple voltage, as shown in
Elemental silicon and germanium, as well as many Fig. 6, the thermocouple wires and meter connec-
oxides of metals such as nickel and copper, can have tions form two unwanted thermocouple junctions.
semiconducting properties. The electrical resistance These two unwanted thermocouple junctions are of
Temperature and Its Measurement 51

Sensitive
voltmeter V

A B B A

Wire A Wire B

Unknown
Water−ice temperature
mixture T
0°C

FIGURE 7 Customary manner of measuring temperature with


a thermocouple.

one of the thermocouples is removed from the ice


Bonded ends of bath and is at a different temperature, the voltage
the two wires read by the meter is not zero and the voltage relates
(junction) to the temperature difference of the measuring
FIGURE 6 Two different metallic wires bonded at their ends thermocouple and the ice bath. This voltage–
constituting a thermocouple. A voltage (V) develops between the temperature relationship may be in the form of a
open ends when the bond (junction) is heated. table in a book or may be available in a format
suitable for computer use. Because the voltage–
temperature relationship is nearly linear, the relation
different character because the wires have different between voltage and temperature can often be
composition. The voltages produced at the un- suitably represented by a quadratic equation of the
wanted thermocouple junctions add to the voltage form T ¼aV þ bV2, where a and b are determined
produced at the thermocouple junction. This pro- from data for a particular type of thermocouple. The
blem can be eliminated by using two thermocouples National Institute of Standards and Technology
and a reference temperature of 01C, as shown in (NIST) maintains a database for a variety of
Fig. 7. (Although a bath of water and ice is thermocouples. Parameters for functions describing
commonly used to produce the 01C reference, it the relation between voltage and temperature are
can be simulated using electronic techniques.) The included in the NIST database. Positive features of
thermocouple wires and the meter connections now thermocouples include the following:
form two identical thermocouple junctions whose
voltages cancel each other. The two junctions *
They are relatively inexpensive.
produce voltages of opposite polarity, so that when *
They are rugged and not easily broken.
the two junctions are at the temperature of the ice *
They are small enough to measure temperature at
bath, the voltage read by the meter is zero. When a point.
52 Temperature and Its Measurement

TABLE II
Characteristics of Commonly Used Thermocouples

Commercial Calibration range Sensitivity at


Composition A Composition B type (1C) 251C (lV/C1)

Copper Constantan (alloy of copper and T 270 to B400 41


nickel)
Iron Constantan J 210 to B1200 52
Chromel (alloy of nickel and Alumel (alloy of nickel and K 270 to B1350 41
chromium) aluminum)
Chromel Constantan E 270 to B1000 61
Platinum 87% platinum R 50 to B1750 6
13% rhodium

Source. National Institute of Standards and Technology (n.d.).

*
They operate over fairly wide temperature ranges. 25
*
They have relatively short response times.
20

Radiation (W/m )
3
7000 K
Negative aspects include the following:
15
*
The low-voltage output is masked by electronic
noise. 10
*
Their accuracy is usually limited to approximately 5
0.51C. 4000 K
*
They require a known temperature reference, 0
usually 01C, that is cumbersome unless done 0 0.5 1 1.5 2
electronically. Wavelength (µm)
*
Dealing with the nonlinearity is tedious if using FIGURE 8 Blackbody thermal radiation distributions for
calibration tables. temperatures of 4000 and 7000 K.

The characteristics of commonly used thermocouples measured in watts per square meter per wavelength
are presented in Table II. interval in meters as a function of wavelength (l) is
described by Planck’s radiation law:
6.3 Radiation Thermometers 2phc2 1
Rðl; TÞ ¼ 5 hc=lkT
; ð2Þ
A temperature sensor requiring contact with an l e 1
object (e.g., a thermocouple) cannot withstand a where h ¼ 6.63  1034 J s, c ¼ 3.00  108 m/s, and
temperature above approximately 2000 K. Thermo- k ¼ 1.38  1023 J/K.
meters measuring temperatures above that tempera- The intensity distributions for blackbodies at
ture are based on the character of electromagnetic temperatures of 7000 and 4000 K are shown in
radiation emitted by an object. All matter above a Fig. 8. Two features of blackbody radiation are of
temperature of 0 K emits electromagnetic radiation. particular importance. First, the energy associated
A radiator called a blackbody emits more radiation with each wavelength depends on the wavelength.
for all wavelength intervals than does any object Second, the temperature and the wavelength of
having the same area and at the same temperature. maximum radiation (lm), as noted by the position
The ratio of the intensity of radiation from an object of the peak in the spectrum, shifts to a longer
to the intensity of radiation from a blackbody at the wavelength as the temperature decreases. The wave-
same temperature is called the emissivity. By defini- length of maximum radiation and Kelvin temperature
tion, the emissivity of a blackbody is 1.0, whereas (T) are related by Wien’s displacement law:
that for any other object is always less than 1.0.
lm T ¼ 2898 mm kelvins: ð3Þ
Perfect blackbodies do not exist. However, they
can be approximated to a high degree of accuracy and For temperatures between approximately 4000 and
are very useful in thermometry. Blackbody radiation 7000 K, lm is between 0.4 and 0.7 mm that are visible.
Temperature and Its Measurement 53

For temperatures below approximately 4000 K, the energy absorbed into an electrical signal. The
radiation is mostly infrared. Two categories of temperature inferred from the electrical signal is
noncontact thermometers are in common use. One corrected for the emissivity of the source. Using
type, called optical pyrometer, uses Planck’s law and optical filters, infrared thermometers may employ a
measurements of thermal power in the range of 0.4 to very narrow range of wavelengths, whereas other
0.7 mm, usually approximately 0.66 mm, to infer the systems may use a very broad range of wavelengths.
temperature of the source. The second kind, called In either case, the energy absorbed is related to
infrared thermometer, uses Planck’s law and measure- temperature using Planck’s law. Broadband infrared
ments of thermal power in the range of 0.7 to 80 mm spectrometers are relatively inexpensive and easy to
to deduce the temperature of the source. use, but their accuracy suffers from the fact that
emissivity depends on wavelength, thereby making
6.3.1 Optical Pyrometer corrections difficult. Narrow-band infrared thermo-
A schematic diagram of an optical pyrometer is meters do not face this limitation because the
shown in Fig. 9. The operator sights the pyrometer on emissivity value does not vary appreciably over the
an object. The optical system allows viewing of both wavelengths used (Fig. 10).
the target and an image of the filament of a lamp. The Modern technology is continually improving the
operator adjusts the current in the filament, changing accuracy of infrared thermometers. For example,
its color, until it matches the color of the object. The fiber-optic sensors allow placement of the instrument
temperature is inferred from a calibration relating controls away from the heat of the object being
temperature to current in the filament. A second studied. Recent developments in infrared thermo-
design maintains a constant current in the filament meters have combined pulse laser technology with
and changes the brightness of light from the object by narrow-band, single-color infrared thermometers to
means of a rotatable, energy-absorbing optical automatically determine emissivity values and accu-
wedge. The object temperature is related to the rately correct for true target temperature. This
amount of energy absorbed by the wedge, which is a technology incorporates the use of a pulse laser that
function of its angular position. The optical pyrom- emits energy within the same narrow bandwidth that
eter principle can be extended into the infrared region the instrument measures the target thermal radiation.
of the electromagnetic spectrum using detectors The instrument’s infrared detector measures the
sensitive to infrared radiation. Typically, optical amount of laser energy reflected from the target,
pyrometers measure temperature to an accuracy of and the microprocessor control converts this addi-
1 to 2% of the full-scale range. tional energy into an accurate value to compensate
for emissivity. The instrument then displays true
6.3.2 Infrared Thermometer target temperatures, corrected for emissivity and
An infrared thermometer uses a lens system to focus accurate to within 73 K. Pulse laser technology is
radiation onto an infrared detector that converts the very effective with diffuse targets.

Focusing
lens Hot
Source of filament
radiation Eyepiece
lens

Filter

Variable
resistance

Voltage Ammeter
source
FIGURE 9 Schematic diagram of an optical pyrometer.
54 Temperature and Its Measurement

Hot Infrared
object Electronics
detector
Temperature
indicator
Focusing Filter
lens
FIGURE 10 Schematic diagram of an infrared thermometer.

6.4 Very Low-Temperature Methods low as 0.1 K. The use of ruthenium oxide in a similar
mode has pushed the lower limit of temperature
Measuring temperatures below a few kelvins requires
measurement to approximately 0.01 K.
sophisticated techniques. Three of these schemes A p–n junction diode is a sandwich of two
are called noise thermometry, paramagnetic thermo-
semiconducting materials having different electrical
metry, and semiconductor resistance and diode
conduction characteristics. When connected to a
thermometry.
voltage source, the current in a p–n junction diode
depends on temperature. Thermometers using this
6.4.1 Noise Thermometry
thermometric property in silicon and gallium–
Thermal agitation of electrons in a conductor gives
arsenide p–n junction diodes are useful for measuring
rise to a randomly varying voltage. The average of
temperatures in the range of 1 to 300 K.
the square of this voltage is directly proportional to
the Kelvin temperature. Properly calibrated, a
measurement of the voltage yields the Kelvin
temperature. Although the technique requires so- SEE ALSO THE
phisticated electronic instrumentation, it is one of the
few alternatives to gas thermometry for precise
FOLLOWING ARTICLES
determination of thermodynamic temperature. Noise
Combustion and Thermochemistry  Conservation of
thermometers are very useful for measuring tem-
Energy Concept, History of  Energy in the History
peratures below 1 K, but in principle they can
and Philosophy of Science  Forms and Measurement
measure temperatures in the range of a few milli-
of Energy  Heat Transfer  Thermodynamics, Laws
kelvins to above 1800 K.
of
6.4.2 Paramagnetic Thermometry
Many materials can be magnetized by placing them
in a magnetic field. The ratio of magnetization to the Further Reading
applied magnetic field is called the magnetic suscept- Childs, P. R. N., Greenwood, J. R., and Long, C. A. (2000).
ibility. For a class of materials called paramagnetic, Review of temperature measurement. Rev. Sci. Inst. 71, 2959–
the magnetic susceptibility is inversely proportional 2978.
Liptak, B. G. (1993). ‘‘Temperature Measurement.’’ CRC Press,
to the Kelvin temperature. The temperature of a Boca Raton, FL.
paramagnetic material, such as cerium magnesium McGee, T. D. (1988). ‘‘Principles of Methods of Temperature
nitrate, in intimate contact with some material can Measurement.’’ Wiley Interscience, New York.
be determined from a measurement of the magnetic Michalski, L., Eckersdorf, K., and McGhee, J. (1991). ‘‘Tempera-
susceptibility. The technique is useful for measuring ture Measurement.’’ John Wiley, New York.
National Institute of Standards and Technology. (n.d.). NIST ITS-
temperatures below 4 K. 90 thermocouple database. http://srdata.nist.gov/.
Recktenwald, G. (2001). Temperature measurements with thermo-
6.4.3 Semiconductor Resistance and couples. www.me.pdx.edu/Bgerry/class/me410epk/notes/ther-
Diode Thermometry mocouple.pdf.
The electrical resistance of a semiconductor depends Schooley, J. F. (1992). ‘‘Temperature: Its Measurement and
Control in Science and Industry.’’ American Institute of Physics,
sensitively on temperature for temperatures below College Park, MD.
approximately 100 K. Germanium and silicon have Serway, R. A., and Beichner, R. J. (2000). ‘‘Physics for Scientists
proven to be useful for measuring temperatures as and Engineers.’’ Brooks/Cole, Pacific Grove, CA.
Thermal Comfort
GIANFRANCO RIZZO and MARCO BECCALI
University of Palermo
Palermo, Italy
ANTONINO NUCARA
University ‘‘Mediterranea’’ of Reggio Calabria
Reggio Calabria, Italy

has been dealt with widely in scientific literature.


1. The Human Body’s Thermal Balance This article provides an overview of the concepts and
2. Methods for Evaluating Thermal Comfort methods relating to the definition of thermal comfort
3. Local Evaluation of Thermal Comfort in and the possible ways of assessing it. The ways of
Confined Environments controlling thermal conditions and ensuring that
4. Methods for Evaluating Thermal Stress Conditions built environments are suitable are discussed. Specific
5. Other Issues Regarding Thermal Comfort attention is given to moderate thermal environments,
in which thermal comfort conditions for people are
produced using natural or mechanical systems.
Glossary Indeed, these systems play a major role during the
process of designing built environments. Some
acceptable thermal environment An environment in which attention is also given to severe thermal environ-
at least 80% of the occupants would find conditions
ments (in which conditions of thermal stress should
thermally acceptable.
be applied). Taking these aspects into consideration,
equivalent temperature The air temperature of an imagin-
ary environment in which an occupant would feel the a description of some rational methods for evaluat-
same thermal sensation as in the actual environment. ing thermal comfort and thermal stress conditions is
global thermal comfort A condition of mind that expresses provided. These are essentially based on the human
satisfaction with the thermal environment, without body’s thermal balance equation, originally proposed
mental or physical stresses. by P. O. Fanger and now included in some Interna-
heat (cold) stress Increase (decrease) of body temperature tional Organization for Standardization Interna-
induced by sustained heat (cold) imbalance that cannot tional Standard Certificate requirements.
be fully compensated for by temperature regulation or
by the activation of thermoeffector activities or other
physiological regulatory systems.
local thermal discomfort Subjective dissatisfaction regard- 1. THE HUMAN BODY’S
ing the thermal environment, based on local conditions. THERMAL BALANCE
moderate thermal environment An environment in which
thermal comfort conditions can be achieved with
Through the use of its complex temperature regula-
ordinary active (HVAC) or passive devices/techniques.
tion mechanism, the human body is able to reach a
severe thermal environment An environment in which it is
not possible to reach comfort conditions and the condition of thermal equilibrium with the surround-
occupants’ health may be at risk. ing environment when the variation of internal
thermal load of the human body The difference between energy, S, at the body core level is equal to zero.
internal heat production and loss of heat to the actual The thermal exchange between a subject and the
environment for people considered to be in a condition environment is equal to the difference between
of comfort. metabolic heat production (apart from the so-called
mechanical power) and thermal losses due to
Thermal comfort in built environments is an every- respiration and exchanges of heat through the skin
day issue for architects and technicians and one that surface (nude and clothed areas). All these elements

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 55


56 Thermal Comfort

relating to the human body’s thermal balance are uncovered parts, and the air temperature, ta. Radia-
described in the following sections here. tion heat exchange depends on the difference
between the clothed surface temperature, tcl, and
1.1 Internal Heat Production the mean radiant temperature, t%r ; which is defined as
the uniform temperature of an imaginary black
Food and drink, when ingested, are subjected to enclosure in which an occupant would exchange
exoenergetic chemical reactions; these constitute the the same amount of heat by radiation as in a real
metabolic heat power, M (or the metabolic rate of the nonuniform enclosure. Both these heat exchanges
subject). Through these processes, most of the food’s depend on the thermal insulation of clothing, Icl.
potential chemical energy is transformed into ther- Accordingly, the clothed surface temperature can be
mal energy. expressed as a function of the clothing’s thermal
Part of this thermal energy is needed to maintain insulation, Icl, and of the mean skin temperature, tsk.
the human body’s core at a normal temperature and Conductive heat exchange, caused by contact with
to ensure that the body’s internal organs receive objects, is usually neglected due to its low entity.
everything that is necessary for their normal func- Finally, evaporative heat exchange through sweat-
tioning. This rate of energy (accounting for approxi- ing depends on the clothing’s evaporative resistance,
mately 43 W/m2 of human body surface) is called Re,T, on the skin’s wetness, w (defined as the
basal metabolism, and it varies depending on the equivalent fraction of the skin’s surface that can be
subject’s height and weight. Another part of heat considered fully wet), and on the difference between
production is necessary for the mechanical activities the water vapor pressure in the air and that in the
performed by the subject. Through normal activities, thin liquid film that covers the skin’s surface. All heat
part of the metabolic heat production is converted exchanges through the skin also depend on the size of
into mechanical power, W, which according to the body’s surface area.
thermodynamic conventions is assumed as positive
when it is released in the environment.
1.4 Balance Equation
1.2 Respiratory Losses By applying the first law of thermodynamics to the
During the activity of respiration, a certain amount human body, it is possible to assess its thermal
of air is inhaled. This air generally has a different balance by means of the following well-known
temperature and level of humidity with respect to equation:
the core. Moreover, a portion of the body’s inter- S ¼ ðM  WÞ  ðCres þ Eres þ C þ R þ EÞ:
nal heat is transferred, in proportion to the level All the terms of this equation, but the term due to the
of activity, to the external environment by means evaporation of the sweat, E, can be analytically
of convective (Cres) and evaporative (Eres) ex- expressed as a function of the physical and physiolo-
changes. Therefore, respiratory losses depend on gic parameters reported in Table I. As a consequence,
the level of activity performed by the subject and the human body’s thermal balance equation can be
the temperature and humidity of the air in the
environment.
TABLE I
1.3 Body Surface Losses Physical Parameters Involved in the Thermal Balance Equation
The external surface of the human body is generally Terms appearing in the Physical parameters
characterized by thermohygrometric conditions that thermal balance
are generally different from those of the surrounding equation M Icl ta var t%r pa tsk
environment. This induces thermal exchanges be-
Metabolic power, M |
tween the subject and environment, that is, dry heat
Mechanical power, W |
losses [by convection (C), radiation (R), and con-
Respiratory convective | |
duction (K)] and latent heat losses (due to the heat loss, Cres
evaporation of the sweat, E). Respiratory evaporative | |
Convective heat exchange depends on the relative heat loss, Eres
air velocity, var, and on the difference between Convective heat loss, C | | | |
the clothed surface temperatures, tcl, defined as the Radiation heat loss, R | | |
mean temperature of the clothed surface, including
Thermal Comfort 57

represented in the following form: TABLE II


American Society of Heating, Refrigerating and Air-Conditioning
S ¼ f ðM; Icl ; ta ; pa ; var ; t%r ; tsk ; EÞ; Engineers Thermal Sensation Scale

where metabolic rate, M, and thermal insulation Vote Sensation


of clothing, Icl, are closely related to the subject’s
activity and clothing. Although the four objective þ3 Hot
parameters (temperature, ta, partial vapor pressure, þ2 Warm
pa, air velocity, var, and mean radiant temperature, t%r ) þ1 Slightly warm
depend on the environment’s microclimatic condi- 0 Neutral
tions, while the subjective parameters (mean skin 1 Slightly cool
temperature, tsk, and evaporative heat losses through 2 Cool
the skin, E) depend on the human body’s thermo- 3 Cold
regulation mechanism.

The main physical parameter on which the PMV


2. METHODS FOR EVALUATING index evaluation relies is the thermal load of the
THERMAL COMFORT human body. This can be defined as the difference
between internal heat production and loss of heat to
For a practical assessment of a given environment’s the actual environment for a person hypothetically
internal thermal conditions, some helpful indexes are kept at the comfort condition. It is assumed that the
generally used. These can be divided into two main thermal sensation at a given level of activity can
categories: temperature indexes and sensation indexes. be expressed as a function of the human body’s
Temperature indexes express the thermal response thermal load.
of the subject in reference to so-called equivalent In addition, comfort conditions may be reached
temperatures, which are the temperatures of imagin- only if the mean skin temperature and the thermal
ary environments in which the occupants would feel exchange due to the evaporation of sweat assume
the same thermal sensation as in the real environ- particular values, which depend on the activity of the
ments. Sensation indexes, based on a thermal subject; in this way, the number of independent
sensation scale, predict the mean value of the votes variables characterizing the thermal balance equa-
expressed by a large group of people exposed to the tion is reduced from eight to six. The PMV index can
same microclimatic conditions. Parameters deriving then be functionally expressed as follows:
from the application of the human body’s thermal
balance equation are known as rational indexes, PMV ¼ f ðM; Icl ; ta ; pa ; var ; t%r Þ:
whereas the others are known as empirical indexes. This equation is quite difficult to solve, and it
requires the support of software since some iterative
techniques are also involved.
2.1 The Predicted Mean Vote Method
The evaluation of PMV, however, is made possible
The most widely applied index for the evaluation of through the use of tables that contain recalculated
indoor thermal conditions in moderate environments PMV values for several typical combinations of the
is the predicted mean vote (PMV). This rational input parameters. An example of such tables,
sensation index, originally introduced by P. O. referring to a humidity ratio of 50% and a metabolic
Fanger on the basis of a series of experimental rate of 58 W/m2, is shown in Table III.
studies, represents the mean value of the votes Parameters for these tables are represented by
expressed by a large group of people exposed to operative temperatures, which are defined as the
the same thermal conditions. These votes are linked uniform temperature of an imaginary black enclo-
to the environment on the basis of the American sure in which an occupant would exchange the same
Society of Heating, Refrigerating and Air-Condition- amount of heat by radiation and convection as in the
ing Engineers thermal sensation scale reported in real nonuniform environment. Operative tempera-
Table II. It thus provides information about any ture is often used in moderate environments instead
deviation from the comfort equation, that is, the of the air temperature and mean radiant tempera-
degree of thermal discomfort experienced by people ture. However, it remains a mathematical function of
in the assigned environment. this parameter.
58 Thermal Comfort

TABLE III
Example of a Table for Evaluating the PMVa

Thermal insulation
of clothing Relative air velocity (m/s)
Operative
Clo m21C/W temparature (1C) o0.10 0.10 0.15 0.20 0.30 0.40 0.50 1.00

0 0 26 1.62 1.62 1.96 2.34


27 1.00 1.00 1.36 1.69
28 0.39 0.42 0.76 1.05
29 0.21 0.13 0.15 0.39
30 0.80 0.68 0.45 0.26
31 1.39 1.25 1.08 0.94
32 1.96 1.83 1.71 1.61
33 2.50 2.41 2.34 2.29
0.25 0.039 24 1.52 1.52 1.80 2.06 2.47
25 1.05 1.05 1.33 1.57 1.94 2.24 2.48
26 0.58 0.61 0.87 1.08 1.41 1.67 1.89 2.66
27 0.12 0.17 0.40 0.58 0.87 1.10 1.29 1.97
28 0.34 0.27 0.07 0.09 0.34 0.53 0.70 1.28
29 0.80 0.71 0.54 0.41 0.20 0.04 0.10 0.58
30 1.25 1.15 1.02 0.91 0.74 0.61 0.50 0.11
31 1.71 1.61 1.51 1.43 1.30 1.20 1.12 0.83
0.50 0.078 23 1.10 1.10 1.33 1.51 1.78 1.99 2.16
24 0.72 0.74 0.95 1.11 1.36 1.55 1.70 2.22
25 0.34 0.38 0.56 0.71 0.94 1.11 1.25 1.71
26 0.04 0.01 0.18 0.31 0.51 0.66 0.79 1.19
27 0.42 0.35 0.20 0.09 0.08 0.22 0.33 0.68
28 0.80 0.72 0.59 0.49 0.34 0.23 0.14 0.17
29 1.17 1.08 0.98 0.90 0.77 0.68 0.60 0.34
30 1.54 1.45 1.37 1.30 1.20 1.13 1.06 0.86
0.75 0.116 21 1.11 1.11 1.30 1.44 1.66 1.82 1.95 2.36
22 0.79 0.81 0.98 1.11 1.31 1.46 1.58 1.95
23 0.47 0.50 0.66 0.78 0.96 1.09 1.20 1.55
24 0.15 0.19 0.33 0.44 0.61 0.73 0.83 1.14
25 0.17 0.12 0.01 0.11 0.26 0.37 0.46 0.74
26 0.49 0.43 0.31 0.23 0.09 0.00 0.08 0.33
27 0.81 0.74 0.64 0.56 0.45 0.36 0.29 0.08
28 1.12 1.05 0.96 0.90 0.80 0.73 0.67 0.48
1.00 0.155 20 0.85 0.87 1.02 1.13 1.29 1.41 1.51 1.81
21 0.57 0.60 0.74 0.84 0.99 1.11 1.19 1.47
22 0.30 0.33 0.46 0.55 0.69 0.80 0.88 1.13
23 0.02 0.07 0.18 0.27 0.39 0.49 0.56 0.79
24 0.26 0.20 0.10 0.02 0.09 0.18 0.25 0.46
25 0.53 0.48 0.38 0.31 0.21 0.13 0.07 0.12
26 0.81 0.75 0.66 0.60 0.51 0.44 0.39 0.22
27 1.08 1.02 0.95 0.89 0.81 0.75 0.71 0.56
1.25 0.194 16 1.37 1.37 1.51 1.62 1.78 1.89 1.98 2.26
18 0.89 0.91 1.04 1.14 1.28 1.38 1.46 1.70
20 0.42 0.46 0.57 0.65 0.77 0.86 0.93 1.14
22 0.07 0.02 0.07 0.14 0.25 0.32 0.38 0.56
24 0.56 0.50 0.43 0.37 0.28 0.22 0.17 0.02
continues
Thermal Comfort 59

Table III continued

Thermal insulation
of clothing Relative air velocity (m/s)
Operative
Clo m21C/W temparature (1C) o0.10 0.10 0.15 0.20 0.30 0.40 0.50 1.00

26 1.04 0.99 0.93 0.88 0.81 0.76 0.72 0.61


28 1.53 1.48 1.43 1.40 1.34 1.31 1.28 1.19
30 2.01 1.97 1.93 1.91 1.88 1.85 1.83 1.77
1.50 0.233 14 1.36 1.36 1.49 1.58 1.72 1.82 1.89 2.12
16 0.94 0.95 1.07 1.15 1.27 1.36 1.43 1.63
18 0.52 0.54 0.64 0.72 0.82 0.90 0.96 1.14
20 0.09 0.13 0.22 0.28 0.37 0.44 0.49 0.65
22 0.35 0.30 0.23 0.18 0.10 0.04 0.00 0.14
24 0.79 0.74 0.68 0.63 0.57 0.52 0.49 0.37
26 1.23 1.18 1.13 1.09 1.04 1.01 0.98 0.89
28 1.67 1.62 1.58 1.56 1.52 1.49 1.47 1.40

a
Metabolic rate, 58 W/m2; humidity ratio, 50%.

2.2 The Predicted Percentage of 100


Dissatisfied People
The PMV represents the mean value of a large group
PPD (%)

of voting participants. However, even though the 10


mean vote would signal the achievement of thermal
comfort conditions, some people may experience
cold or hot sensations with respect to the thermal
environment. In order to take these deviations from 1
the mean expected conditions into account, an −2.0 −1.5 −1.0 −0.5 0.0 0.5 1.0 1.5 2.0
additional index has been introduced, the predicted
PMV
percentage of dissatisfied (PPD). A dissatisfied person
is defined as a subject who, when exposed to a FIGURE 1 Predicted percentage of dissatisfied (PPD) as a
function of the predicted mean vote (PMV).
defined thermal load, would vote þ 3, þ 2, 2, or
3 on the previously defined thermal sensation scale. thermal conditions acceptable and are inclined to
This index assesses a quantitative prediction of the prefer different indoor temperatures than those
percentage of subjects who may declare themselves assumed by using the PMV index. These considera-
thermally dissatisfied with the indoor environment tions made it necessary for researchers to develop an
conditions. The PPD is therefore a function of the alternative approach to thermal comfort assessment.
PMV; the relationship linking these two indexes is Since people who are exposed to a given thermal
graphically shown in Fig. 1. load adapt to the changing environmental conditions,
an adaptive comfort method has been proposed.
According to this approach, a fixed reference value of
2.3 The Adaptive Method
indoor temperatures that can be used in each situation
The PMV and PPD indexes are fairly capable of does not exist. As a consequence, only optimal values
describing the thermal sensations of subjects in of the climatic conditions that the subjects would
indoor environments equipped with conditioning adapt to should be considered. The method refers to
and ventilation systems. The correspondence between the comfort temperature, which is considered as a
the votes provided by the subjects and the indexes, function of the outdoor climatic conditions.
however, are less obvious in naturally ventilated The difficulties in applying the adaptive comfort
environments in which mechanical equipment is not theory are inherent to the assessment of the analytical
present. It has been found that in such environments relationship between the outdoor and indoor climatic
the occupants generally consider a wider range of conditions. However, the major criticism of the
60 Thermal Comfort

method concerns the choice of the external tempera- 100


ture as the only parameter on which comfort would
depend. Thus, people’s level of activity, their clothing,
and typical microclimatic parameters are not con-

PD (%)
sidered, even though it has been shown that they play 10
a major role in the thermal sensation process.

3. LOCAL EVALUATION OF 1
THERMAL COMFORT IN 0 1 2 3 4 5 6 7 8
CONFINED ENVIRONMENTS t head −t ankle (°C)

FIGURE 2 Percentage of dissatisfied people (PD) as a function


The PMV and PPD indexes, which make it possible of vertical air temperature differences between head and ankle
to evaluate the comfort conditions of a subject in a levels.
confined environment, are useful only for so-called
global comfort evaluations. Unfortunately, even if a
100
subject experiences a sensation of thermal neutrality,
some parts of his or her body may be exposed to
conditions that cannot be considered acceptable. In

PD (%)
fact, the nonuniformity of values concerning envir-
10
onmental variables could make people experience
sensations of local discomfort.
The main causes of local discomfort are significant
vertical air temperature differences, abnormal floor
1
temperatures, significant radiant asymmetry, and air
5 10 15 20 25 30 35 40
drafts.
Floor temperature (°C)

FIGURE 3 Percentage of dissatisfied people (PD) as a function


3.1 Vertical Air Temperature Differences of floor temperature.

Often in indoor environments, air temperature is not


constant from the floor to the ceiling; it generally in Fig. 3, between floor temperature and the percen-
increases with height. If the temperature gradient is tage of dissatisfied people.
high, local discomfort conditions may occur even
though the body is thermally neutral from a global
standpoint. 3.3 Radiant Asymmetry
These local discomfort conditions are evaluated When a subject stands too close to a large surface that
from the percentage of dissatisfied people, expressed has a different temperature to that of the indoor air, he
as a function of the difference between the air or she may feel uncomfortable thermal sensations due
temperatures at head and ankle levels. Results of to the nonuniformity of thermal radiation in the
some experiments carried out with people in thermal environment. In order to take this phenomenon into
neutrality are shown in Fig. 2. account, the radiant temperature asymmetry para-
meter is used. This can be defined as the difference
between the plane radiant temperatures of the two
3.2 Floor Temperature
opposite sides of a small plane element. The plane
Thermal sensations resulting from cool or warm radiant temperature is the uniform temperature of an
floors are due to heat loss from the feet. This heat enclosure in which the incident of radiation flux on
loss depends on the floor’s surface temperature, its one side of a small plane element is the same as that in
conductivity, its constituent materials’ heat capacity, the existing environment.
and the type of covering worn on the feet. However, The thermal sensation induced by radiant tem-
for people wearing normal footwear, the floor’s perature asymmetry is different for warm or cool
material is of little significance. Field studies have surfaces and for vertical or horizontal surfaces. The
made it possible to determine the relationship, shown greatest sensations of discomfort are induced by
Thermal Comfort 61

100 4. METHODS FOR EVALUATING


THERMAL STRESS CONDITIONS
PD (%)

Warm
ceiling
Cold
wall
Cold
ceiling
4.1 Severe Hot Environments
10
In severe hot environments, thermoregulation me-
Warm chanisms are not able to guarantee the thermal
wall
neutrality of the human body. This factor creates the
1 need for heat storage and a consequent rise in the
0 5 10 15 20 25 body core temperature, which could reach unaccep-
Radiant temperature asymmetry (°C) table levels. In addition, the continuous activity of
sweating could lead to unbalances in the body’s
FIGURE 4 Percentage of dissatisfied people (PD) as a function water and mineral equilibrium.
of radiant temperature asymmetry.

4.1.1 The Required Sweat Rate Index


Thermal stress conditions in hot environments can
warm ceilings and by cold walls. Cold ceilings and be assessed analytically by means of the required
warm walls, on the other hand, have less influence on sweat rate, SWreq, which is a rational index represen-
discomfort. Also in this case, the percentage of ting the sweat rate that the human body should
dissatisfied people as a function of the radiant produce in order to maintain the thermal balance in
temperature asymmetry can be used (Fig. 4). equilibrium.
The required sweat rate is evaluated beginning
with the following equation
3.4 Drafts Ereq
SWreq ¼ ;
Since air movement in indoor environments often rreq
shows turbulent features, airflows could fluctuate where Ereq is the evaporation required to achieve
significantly in different areas and at different times. thermal equilibrium, and rreq is the evaporative
Generally, this is caused by drafts, one of the most efficiency at the required sweat rate. The required
annoying factors in indoor environments. evaporation is calculated from the thermal balance
A draft is defined as an undesired local cooling of equation based on the assumption that the internal
the body caused by air movement. Generally, the energy variation is equal to zero and the hypothesis
sensation of discomfort caused by drafts depends on that the mean skin temperature is a function of the
the airflow temperature (discomfort is less for higher microclimatic parameters, the level of activity, and
temperatures), the difference between its value and clothing. The resulting equation is as follows:
the value of the indoor air’s temperature (discomfort
increases as this difference increases), the area of the Ereq ¼ M  W  Eres  Cres  C  R:
body affected by the air flow (the head, neck, and Evaporative efficiency is calculated by means of the
ankles are the most sensitive zones), and the subject’s following algorithm:
activity (discomfort decreases with higher activity
levels). w2
rreq ¼ 1  ;
Draft rating, which is the percentage of people 2
dissatisfied due to draft, can be evaluated by the where the value of the skin wetness, w, depends on
following equation: physiological considerations.
The required sweat rate is then compared with the
maximum value achievable by a subject. Usually,
DR ¼ ð34  ta Þ  ðv  0:05Þ0:62 ð0:37  v  Tu þ 3:14Þ;
data are provided both for acclimatized and for
nonacclimatized subjects, either at work or at rest. If
where ta is the local temperature of the airflow, v is the resulting values for skin wetness and sweat rate
the local mean air velocity, and Tu is the local are greater than a maximum threshold value, they
turbulence intensity defined as the ratio between the may lead to unacceptable levels of heat storage and
standard deviation of the local air velocity and the water loss. In this case, allowable exposure times for
mean local air velocity. people are calculated.
62 Thermal Comfort

4.1.2 The Wet Bulb Globe Temperatures Index suitably protect a subject from cold environmental
Evaluation of thermal conditions in severe hot conditions.
environments can be calculated using a simple On the basis of the thermal balance equation and
empirical index, the wet bulb globe temperatures the hypothesis that dry heat exchanges are affected
(WBGT). This temperature index is in fact related to by the thermal insulation of the clothing and by the
the subject’s heat stress. skin-to-clothing surface temperature gradient, the
The evaluation of stress conditions using this IREQ index can be calculated using the following
index represents a compromise: The simplicity of its equations:
use does not in fact correspond to the precision 8
< IREQ ¼ tsk  tcl
provided by other rational indexes. M  W  Eres  Cres  E :
The WBGT index is expressed as a function of :
M  W  Eres  Cres  E ¼ R þ C
natural wet bulb temperature, tnw, of the globe
temperature, tg, and of the air temperature, ta. In By emphasizing its dependence on the parameters
particular, the natural wet bulb temperature is that characterize the thermal balance equation, the
measured using a thermometric sensor covered with IREQ index may be also expressed as follows:
a wetted wick and naturally ventilated, whereas the
IREQ ¼ f ðM; ta ; pa ; var ; t%r ; tsk ; EÞ:
globe temperature is the temperature indicated by a
sensor placed in the center of a globe with standard Thermal equilibrium can be achieved at different
characteristics. levels of thermoregulatory strain, depending on the
Thus, the equations used for the calculation of the values of the mean skin temperature and sweating.
WBGT index are Therefore, IREQ is defined at two different levels,
the minimum level (IREQmin) and the neutral
WBGT ¼ 0:7tnw þ 0:3tg ; required insulation level (IREQneutral). These repre-
which can be applied in indoor environments or sent the thermal insulation required to maintain the
outdoor environments without solar load, and body’s thermal balance at the so-called ‘‘subnormal’’
and ‘‘normal’’ levels of the mean body temperature,
WBGT ¼ 0:7tnw þ 0:2tg þ 0:1ta ; respectively.
The range between IREQmin and IREQneutral
to be applied in outdoor environments in the case of indexes can be regarded as a clothing zone regulator,
the presence of solar load. in which a subject can choose the appropriate level of
The WBGT value is then compared with reference protection. When insulation values are lower than
values supplied for five levels of metabolic rate, both those corresponding to IREQmin, there is a risk of
for acclimatized and nonacclimatized subjects. Also, progressive body cooling that may, however, be
when the WBGT exceeds the reference value, prevented by imposing a time limit for the subject’s
maximum exposure times for people are calculated. exposure.

4.2 Severe Cold Environments 4.2.2 Wind Chill and Chilling


Temperature Indexes
In severe cold environments, microclimatic condi- To evaluate the effects of exposition to severe cold
tions can bring about an undesirable process of conditions on uncovered parts of the human body,
cooling in the human body since its thermoregulation two parameters are used: the wind chill index (WCI)
mechanisms are not able to maintain the neutrality of and the chilling temperature (tch). The WCI is an
the body core. In extreme cases, the continued empirical index representing the heat flow exchanged
activity of shivering could cause the subject to die by the exposed parts of the body with the cold
from ventricular fibrillation. environment. It is a function of the air velocity, var,
and the air temperature, ta. It is expressed by
4.2.1 The Required Thermal Insulation Index pffiffiffiffiffiffi
WCI ¼ 1:16ð10:45 þ 10 var  var Þ  ð33  ta Þ:
The required thermal insulation index (IREQ) is a
rational index representing the thermal insulation of Often, technicians refer to the chilling tempera-
a subject’s clothes and which is able to maintain heat ture, which is a temperature index representing the
balance under specified requirements for the physio- air temperature of an environment with a value of air
logical strain. This index was defined based on the velocity equal to 1.8 m/s generating the same cooling
consideration that a suitable outfit of clothes could power as in the actual environmental conditions. The
Thermal Comfort 63

chilling temperature is evaluated as a function of the High-efficiency equipment (variable-speed


WCI by means of the following equation: pumps, variable air-volume systems, radiant heating
WCI and cooling, heat recovery systems, and smart
tch ¼ 33  : control systems)
25:5
Use of renewable energy sources (sun, wind, and
The values of the WCI or the chilling temperature, cold and heat from the ground or from water)
calculated in the assigned environment, are then Building shading, orientation, insulation, and
compared with target values representing the effect thermal inertia
of exposing uncovered parts of the body to cold.

5.2 Categories of Thermal Environment


5. OTHER ISSUES REGARDING
THERMAL COMFORT The International Organization for Standardization
Standard 7730 introduces the concept of thermal
5.1 Energy Saving and Comfort comfort categories. Three different comfort tasks (A–
C) are defined on the basis of PPD thresholds related
Energy design for buildings, the goal of which is to either to global comfort or to local discomfort issues.
establish comfort conditions for the occupants, The higher the PPD value, the greater the range of
involves many activities that center around technical variation allowed for the microclimatic parameter.
choices regarding the building’s envelope and the This will help building designers to tailor their work
characteristics of its HVAC system. The possibility of to different levels of expected performances, accord-
creating indoor comfort conditions is in fact closely ing to a sort of quality scale based on three steps (A–
connected to system design and conduction and to C comfort categories). Table IV shows the PPD
building design and construction. values corresponding to each category.
All these factors will affect the energy demand
required to maintain comfort conditions, along with 5.3 Non-Steady-State
the ‘‘quality’’ of the indoor comfort. It is worth Thermal Environments
noting that the optimization of these design para-
meters will generally improve either the amount of The PMV–PPD method may be applied only in
energy saved or the quality of the comfort. stationary environments, in which the physical
In industrialized countries, energy consumption quantities used to describe the subjects’ exposure
for indoor comfort accounts for approximately 40% do not depend on time. However, this assumption
of the total final energy consumption, and a signi- could only be considered realistic in environments
ficant amount of energy could be saved by ‘‘energy equipped with a well-dimensioned HVAC system.
-conscious’’ building design. Possible measures include Nevertheless, in most cases non-steady-state
thermal conditions often occur. They are nor-
High-efficiency energy-conversion devices (heat mally classified in three categories: temperature
pumps, condensation boilers, and cogeneration cycles (temperature changes with assigned ampli-
systems) tude and frequencies), temperature drift or ramps

TABLE IV
Catagories of Thermal Environment with Ranges of the Relative Indicatorsa

Global comfort Local discomfort

Percentage of Percentage of
Predicted Percentage of dissatisfied due to Percentage of dissatisfied due
percentage of Predicted mean dissatisfied due vertical air dissatisfied due to to radiant
Category dissatisfied vote to draft temperature difference warm or cool floor asymmetry

A o6 0.2– þ 0.2 o10 o3 o10 o5


B o10 0.5– þ 0.5 o20 o5 o10 o5
C o15 0.7– þ 0.7 o30 o10 o15 o10

a
Metabolic rate, 58 W/m2; humidity ratio, 50%.
64 Thermal Comfort

(monotonic, steady, noncyclic operative tempera-


ture changes, where drift refers to passive tempera-
ture change and ramps refers to actively controlled − 0.5
temperature changes), and transients (sudden
changes in the thermal conditions due to dramatic
− 0.4
changes in temperature, humidity, activity, or
clothing). However, even when a non-steady-state
condition occurs, the relationships established
for steady state may still be used in specific
situations. For example, they may be used if the
peak-to-peak variation of the temperature cycles is − 0.3
less than 11C, if the rates of temperature change for
drift or ramps are lower than 21C per hour, and in
the case of transients after increases in operative
temperature. On the contrary, in case of decreasing
of the operative temperature, the PMV–PPD method
may not be used since it would overestimate FIGURE 5 Typical example of iso-PMV maps in an environ-
ment.
high values; in this situation, the time required to
achieve a new steady-state condition will depend on
the initial conditions. Energy Use, Status and Trends Refrigeration and
Air-Conditioning Temperature and Its Measure-
5.4 Iso-PMV Maps ment Thermal Energy Storage Thermoregulation
An environment may be considered homogeneous
from a thermal standpoint if the microclimatic
Further Reading
parameters around the subject can be considered
uniform at a given time. This condition can be easily Fanger, P. O. (1970). ‘‘Thermal Comfort.’’ Danish Technical Press,
Copenhagen, Denmark.
reached for air temperature, air velocity, and air International Organization for Standardization (1989a). Hot
humidity, but it occurs more rarely for radiant environments—Analytical determination and interpretation of
exchanges. thermal stress using calculation of required sweat rate, ISO
When an environment’s microclimate parameters Standard 7933. International Organization for Standardization,
are too heterogeneous, the comfort indexes can be Geneva.
International Organization for Standardization (1989b). Hot
evaluated in several locations. Moreover, taking into
environments—Estimation of the heat stress on working man,
account the partial results obtained, the mean value based on the WBGT-index (wet bulb globe temperature), ISO
has to be assessed. Standard 7243. International Organization for Standardization,
Nevertheless, even if this type of analysis leads to Geneva.
a mean value that is used for the whole environment, International Organization for Standardization (1990). Determi-
nation of metabolic heat production, ISO Standard 8996.
it does not provide useful information about the local
International Organization for Standardization, Geneva.
variation of parameters that may occur in the International Organization for Standardization (1993). Evaluation
environment. of cold environments—Determination of required clothing
In this case, it is good practice to utilize iso-PMV or insulation (IREQ), ISO Technical Report 11079. International
iso-PPD representations, which make it possible to Organization for Standardization, Geneva.
International Organization for Standardization (1994). Moderate
evaluate the local variation of the thermal conditions.
thermal environments—Determination of the PMV and PPD
In this way, it is also possible to identify the zones in indices and specification of the conditions for thermal comfort,
which thermal comfort conditions are not reached. An ISO Standard 7730. International Organization for Standardi-
example of this representation is shown in Fig. 5. zation, Geneva.
International Organization for Standardization (1995). Ergo-
nomics of the thermal environment—Estimation of the thermal
insulation and evaporative resistance of a clothing ensemble,
SEE ALSO THE ISO Standard 9920. International Organization for Standardi-
zation, Geneva.
FOLLOWING ARTICLES International Organization for Standardization (1998). Ergo-
nomics of the thermal environment—Instruments for measuring
Commercial Sector and Energy Use District physical quantities, ISO Standard 7726. International Organi-
Heating and Cooling Human Energetics Industrial zation for Standardization, Geneva.
Thermal Energy Storage
IBRAHIM DINCER
University of Ontario Institute of Technology
Oshawa, Ontario, Canada

phase-change material (PCM) A substance that undergoes


1. TES and Energy Savings changes of state while absorbing or rejecting thermal
energy, normally at a constant temperature.
2. TES and Environmental Impact
thermal storage device Equipment that stores cooling
3. TES and Sustainable Development capacity using sensible and/or latent heat. May consist
4. TES Methods solely of a storage means or be packaged with one or
5. Technical and Operational Aspects of TES Systems more components of a mechanical refrigeration package.
6. TES for Cooling Capacity thermal storage equipment Any one of, or a combination
7. Illustrative Examples of, thermal storage devices and/or generators, which
may include various other components of a mechanical
8. Concluding Remarks
refrigeration package.
ton-hour A quantity of thermal energy typically used to
Glossary describe the capacity of a thermal storage device, in
tons, absorbed or rejected in 1 h (3.517 kW).
ambient air The air in the space surrounding a thermal
energy storage device, or outside air.
ambient heat load The thermal load imposed on a storage Thermal energy storage (TES) generally involves a
device due to heat gain. temporary storage of high- or low–temperature
build period The operating period of a thermal storage thermal energy for later use. Examples of TES are
generator during which ice is produced. the storage of solar energy for overnight heating, of
charge fluid The heat transfer fluid used to remove heat summer heat for winter use, of winter ice for space
from a thermal storage device or generator during the cooling in summer, and of heat or coolness generated
charge or build period, or to add heat to a heat storage. electrically during off-peak hours for use during
charge period The period of time during which energy subsequent peak demand hours. In this respect, TES
(heat) is removed from a cold storage or added to a heat appears to be an excellent candidate to offset this
storage.
mismatch of availability and demand and is con-
charge rate The rate at which energy (heat) is removed
sidered an advanced energy technology. Therefore,
from or added to a storage device during the charge
period. during the past decade TES has attracted the greatest
discharge fluid The heat transfer fluid used to add heat to a interest for a wide range of thermal applications,
thermal storage device. such as space heating, hot water, cooling, and air–
discharge period The period of time when energy (heat) is conditioning. Why are these established TES tech-
added to a storage device. nologies not used more than they are? The answer is
discharge rate The rate at which energy (heat) is added to a that TES finds application possibilities if there are
storage device during the discharge period. some circumstances that require TES as a solution,
latent heat of fusion The change in energy accompanying such as a mismatch between energy available and
the conversion of a unit mass of a solid to a liquid at its demand, discontinuity in energy supply, and different
melting point, at constant pressure and temperature.
electricity rates for electricity consumption during
melt period That period of a test during which the ice
produced by a thermal storage generator is melted to
peak and off-peak hours. If such a case(s) exists, it is
determine its quality. either encouraged by various mechanisms (e.g.,
period An interval of time during which a storage process incentives) or mandatorily done by regulations. Of
occurs; often a period such as the total duty cycle of a course, TES systems and applications bring some
thermal storage system is divided for the purpose of additional costs. However, payback time is quite
analysis and evaluation into 1 h time segments. reasonable due to high energy and environmental

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 65


66 Thermal Energy Storage

costs. TES technology has been used in various forms storing energy at a given time for later use and can be
and specific applications. Some of the more common applied to TES for either heating or cooling capacity.
applications have been the use of sensible heat The primary objective of most TES systems, which
(water, molten salt) or latent heat (ice, phase-change is to alter energy-use patterns so that financial
material) storage for heating and cooling applica- savings occur, can be achieved in several ways:
tions. The effectiveness of sensible heat storage
depends on the specific heat of the storage material
and, if volume is important, on its density. Sensible
1.1 Utilization of Waste or Surplus
storage systems commonly use rocks or water as the Energy
storage medium and the thermal energy is stored by The consumption of purchased energy can be
increasing the storage-medium temperature. Latent reduced by storing waste or surplus thermal energy
heat storage systems store energy in phase-change available at certain times for use at other times.
materials, with the thermal energy stored when the Useful waste or surplus thermal energy is available
material changes phase, usually from a solid to a from many sources. Some examples include the
liquid. The specific heat of solidification/fusion or following: (1) hot or cold water drained to a sewer;
vaporization and the temperature at which the phase (2) hot flue gases; (3) exhaust air streams; (4) hot or
change occurs are important in terms of design. Both cold gases or waste gases; (5) heat collected from
sensible TES and latent TES also may occur in the solar panels; (6) ground source thermal energy; (7)
same storage material. The main goal of this article is heat rejected from the condenser of refrigeration and
to introduce the fundamental aspects of TES systems air-conditioning equipment; and (8) the cooling
and discuss their energy savings, environmental effect from the evaporator of a heat pump.
impacts, and technical and operational aspects and
to highlight their importance with some illustrative
and practical examples. 1.2 Reduction of Demand Charges
The demand of purchased electrical energy can be
reduced by storing electrically produced thermal
1. TES AND ENERGY SAVINGS energy during off-peak periods to meet the thermal
loads that occur during high-demand periods. There
TES systems are an important element of many has been an increasing interest in the reduction of
energy-saving programs in a variety of sectors: peak demand or transfer of energy loads from high-
residential, commercial, industrial, and utility as to low-consumption periods. For example, an
well as the transportation sector. TES can be electric chiller can be used to charge a chilled cold
employed to reduce energy consumption or to TES system at night to reduce the electrical demand
transfer an energy load from one period to another. peaks usually experienced during the day. Figure 1
The consumption reduction can be achieved by shows examples of a daily load profile for a building,
storing excess thermal energy that would normally with and without cool storage. Figure 1A represents
be released as waste, such as heat produced by equip- the case with no storage and Fig. 1B shows a full-
ment and appliances, by lighting, and even by storage case. In the latter case, the TES provides
occupants. Energy-load transfer can be achieved by enough storage capacity to meet the peak (i.e., 9:00

A B
Building load (kW)

Building load (kW)

1500 Total 1500

1000 COOLING
1000

500 500 Cooling


Noncooling Noncooling
0 0
12A.M. 4 8 12P.M. 4 8 12A.M. 12A.M. 4 8 12P.M. 4 8 12A.M.
Time of day Time of day
FIGURE 1 Daily load profiles of a building energy load: (A) no storage and (B) full storage. Modified from Dincer et al.
(1997b).
Thermal Energy Storage 67

A.M. to 9:00 P.M.) cooling load, shifting the entire significant. For example, TES systems have been
electrical demand for cooling to off-peak hours when shown to reduce CO2 emissions in the United
there is little cooling load. This particular application Kingdom by 14 to 46% by shifting electric load to
achieves maximal benefits in terms of demand charge off-peak periods, whereas an Electric Power Re-
reduction and use of favorable off-peak rates, both of search Institute (EPRI)-cosponsored analysis found
which act to lower operating costs. that TES could reduce CO2 emissions by 7%
compared to conventional electric cooling technolo-
gies. Also, using California Energy Commission data
1.3 Deferring Equipment Purchases indicating that existing gas plants produce approxi-
mately 0.06 kg of NOx and 15 kg of CO2 per
The capacity of heating and cooling equipment is
293,100 kWh of fuel burned, and assuming that
normally selected to match the part of the design-day
TES installations save an average of 6% of the total
load when the requirements for heating and cooling
cooling electricity needs, TES could possibly elim-
are close to maximum. These peak design loads
inate annual emissions of approximately 560 tons of
occur for only short periods of time, resulting in
excess capacity on average days. The use of TES can NOx and 260,000 tons of CO2 statewide.
Establishing concrete methods for promoting TES
defer the need to purchase additional equipment for
technologies requires analysis and clarification about
heating, cooling, or air-conditioning applications and
how to combine environmental objectives, social and
reduce equipment sizing in new facilities. The
economic systems, and technical developments to
relevant equipment is operated when thermal loads
attain effective solutions. It is important to create
are low to charge the TES and energy is withdrawn
and employ tools that encourage technological
from storage to help meet the thermal loads that
development and diffusion and to align government
exceed equipment capacity.
policies in areas such as energy and environmental
standards and government purchasing.

2. TES AND ENVIRONMENTAL


IMPACT 3. TES AND SUSTAINABLE
DEVELOPMENT
TES systems can contribute significantly to meeting
society’s desire for more efficient, environmentally A secure supply of energy resources is generally
benign energy use, particularly in the areas of building agreed to be a necessary but not sufficient require-
heating and cooling systems and electric power ment for development within a society. Furthermore,
generation. By reducing energy consumption, the sustainable development demands a sustainable
utilization of TES systems results in two significant supply of energy resources. The implications of these
environmental benefits: the conservation of fossil fuels statements are numerous and depend on how
through efficiency increases and/or fuel substitution, ‘‘sustainable’’ is defined. One important implication
and reductions in emissions of pollutants such as of these statements is that sustainable development
CO2, SO2, NOx, and chlorofluorocarbons (CFCs). within a society requires a supply of energy resources
TES can impact air emissions at building sites by that, in the long term, is readily and sustainably
reducing (1) the amount of ozone-depleting CFC and available at reasonable cost and can be utilized for all
hydrochlorofluorocarbon (HCFC) refrigerants in required tasks without causing negative societal
chillers and (2) the amount of combustion emissions impacts. Supplies of energy resources such as fossil
from fuel-fired heating and cooling equipment. TES fuels (coal, oil, and natural gas) and uranium are
helps reduce CFC use in two main ways. First, since generally acknowledged to be finite; other energy
cooling systems with TES require less chiller capacity sources, such as sunlight, wind, and falling water, are
than conventional systems, they use fewer or smaller generally considered renewable and therefore sus-
chillers with less refrigerant. Second, using TES can tainable over the relatively long-term. Wastes (con-
offset the lost cooling capacity that sometimes can vertible to useful energy forms through, for example,
occur when existing chillers are converted to more waste-to-energy incineration facilities) and biomass
benign refrigerants, making building operators more fuels are also usually viewed as sustainable energy
willing to switch refrigerants. sources. A second implication of the initial state-
The potential aggregate air-emission reductions at ments in this section is that sustainable development
power plants due to TES have been shown to be requires that energy resources be used as efficiently as
68 Thermal Energy Storage

possible. In this way, society maximizes the benefits it TABLE I


derives from utilizing its energy resources, while Available Media for Sensible and Latent TES Systems
minimizing the negative impacts (such as environ-
mental damage) associated with their use. This Sensible Latent
implication acknowledges that all energy resources
Short–term Long–term (Annual) Short–term
are, to some degree, finite, so that greater efficiency
in utilization allows such resources to contribute to Rock beds Rock beds Inorganic materials
development over a longer period of time, i.e., to Earth beds Earth beds Organic materials
make development more sustainable. Even for energy Water tanks Large water tanks Fatty acids
sources that may eventually become inexpensive and Aquifiers Aromatics
widely available, increases in energy efficiency will Solar ponds
likely remain to be sought to reduce the resource
requirements (energy, material, etc.) to create and
maintain systems and devices to harvest the energy
and to reduce the associated environmental impacts. oil, rock beds, bricks, sand, or soil. The amount of
The first implication, clearly being essential to energy input to TES by a sensible heat device is
sustainable development, has been and continues to proportional to the difference between the final and
be widely discussed. The second implication, which initial temperatures of storage and the mass of the
relates to the importance and role of energy efficiency storage medium and its heat capacity. Each medium
in achieving sustainable development, is somewhat has its own advantages and disadvantages. For
less discussed and understood. example, water has approximately twice the specific
Consequently, sustainable development demands a heat of rock and soil. The high heat capacity of water
sustainable supply of energy resources that, in the often makes water tanks a logical choice for TES
long-term, is readily and sustainably available at systems that operate in a temperature range needed
reasonable cost and can be utilized for all required for building heating or cooling. The relatively low
tasks without causing negative societal impacts. TES heat capacity of rocks and ceramics is somewhat
systems can contribute significantly to meeting socie- offset by the large temperature changes possible with
ty’s desire for more efficient, environmentally benign these materials and their relatively high density.
energy use and for sustainable development of the A sensible TES consists of a storage medium, a
society, particularly in the areas of building heating container, and input/output devices. Containers must
and cooling systems and electric power generation. By both retain the storage material and prevent losses of
reducing energy consumption, the utilization of TES thermal energy. Thermal stratification, the existence
systems results in two significant benefits: (1) the of a thermal gradient across storage, is desirable.
conservation of fossil fuels through efficiency increases Maintaining stratification is much simpler in solid
and/or fuel substitution and (2) reductions in emis- storage media than in fluids.
sions of such pollutants as CO2, SO2, NOx, and CFCs. Sensible TES materials undergo no change in
phase over the temperature range encountered in the
storage process. The amount of heat stored in a mass
4. TES METHODS of material can be expressed as
Q ¼ mcp DT or Q ¼ rcp VDT;
TES can aid in the efficient use and provision of
thermal energy whenever there is a mismatch where cp is the specific heat of the storage material,
between energy generation and use. Various subsets DT is the temperature change, V is the volume of
of TES processes have been investigated and devel- storage material, and r is the density of the material.
oped for building heating and cooling systems, Note that the ability to store sensible heat for a given
industrial applications, and utility and space power material depends strongly on the value of the
systems. Some of the media available for sensible and quantity rcp. Water has a high value and is
the latent TES systems are presented in Table I. inexpensive but, being liquid, must be contained in
a better quality container than a solid.
Some common TES materials and their properties
4.1 Sensible TES
are presented in Table II. To be useful in TES
In sensible TES, energy is stored by changing the applications, the material normally must be inexpen-
temperature of a storage medium, such as water, air, sive and have a good thermal capacity. Another
Thermal Energy Storage 69

TABLE II *
A containment for the storage substance.
Thermal Capacities at 201C of Some Common TES Materials *
A heat-exchange surface for transferring heat
from the heat source to the storage substance
Volumetric and from the latter to the heat sink, e.g., from a
Density Specific heat thermal capacity solar collector to the latent TES substance to the
Material (kg/m3) (J/kgK) (106J/m3K)
load loop.
Clay 1458 879 1.28
Brick 1800 837 1.51 Latent TES is a promising storage technique since it
Sandstone 2200 712 1.57 provides high-energy storage density, second only to
Wood 700 2390 1.67 chemical energy storage, and can store and release heat
Concrete 2000 880 1.76 at a constant temperature, corresponding to the phase
Glass 2710 837 2.27 transition temperature of the heat-storage medium.
Aluminium 2710 896 2.43 An important material category capable of storing
Iron 7900 452 3.57 energy through phase change is paraffin waxes. These
Steel 7840 465 3.68 have the advantage of very high stability over repeated
Gravelly earth 2050 1840 3.77 cycles of latent TES operation without degradation.
Magnetite 5177 752 3.89 The most important criteria to be met by the
Water 988 4182 4.17 storage material for a latent TES in which the material
undergoes a solid–liquid or a solid–solid phase
Source: Adapted from Norton (1992). transition are as follows: high transition enthalpy
per unit mass, the ability to fully reverse the transition,
adequate transition temperature, chemical stability,
important parameter in sensible TES is the rate at compatibility with the container (if present), limited
which heat can be released and extracted. volume change with the transition, nontoxicity, and
low cost, in relation to the foreseen application.

4.2 Latent TES 4.2.1 Phase-Change Materials


The heat transfer that occurs when a substance When a material melts or vaporizes, it absorbs heat;
changes from one phase to another is called the latent when it changes to a solid (crystallizes) or to a liquid
heat. The latent heat change usually is much higher (condenses), it releases this heat. This phase change is
than the sensible heat change for a given medium, used for storing heat in PCMs. Typical PCMs are
which is related to its specific heat. When water turns water/ice, salt hydrates, and certain polymers. Since
to steam, the latent heat change is on the order of energy densities for latent TES exceed those for
2 MJ/kg. Most practical systems using phase-change sensible TES, smaller and lighter storage devices and
energy storage involve solutions of salts in water. lower storage losses normally result. Like ice and
Several problems are associated with such systems, water, eutectic salts have been used as storage media
including the following: for many decades. Perhaps the oldest application of a
PCM for TES was the use of seat warmers for British
*
Supercooling of the phase-change material (PCM) railroad cars in the late 1800 s. During cold winter
may take place, rather than crystallization with days, metal or rubber bags were filled with sodium
heat release. This problem can be avoided partially thiosulfate pentahydrate, a PCM that melts and freezes
by adding small crystals as nucleating agents. at 44.41C, and these were used to warm the seats.
*
It is difficult to build a heat exchanger capable of Other early applications of PCMs included ‘‘eutectic
dealing with the agglomeration of varying sizes of plates’’ used for cold storage in trucking and railroad
crystals that float in the liquid. transportation applications. Another important appli-
*
The system operation cannot completely reversed. cation of PCMs was in association with space
Any latent heat TES system must possess at least the technology, with National Aeronautics and Space
following three components: Administration sponsoring a project on PCM applica-
tions for thermal control of electronic packages.
*
A heat storage substance that undergoes a phase A large number of organic compounds suitable for
transition within the desired operating use as storage media for heating, ventilation, and air-
temperature range and wherein the bulk of the conditioning applications have been investigated. The
heat added is stored as latent heat. most promising candidates seem to be the normal
70 Thermal Energy Storage

paraffins. Their solid–liquid transitions (fusions) meet to promote heterogeneous nucleation in a salt
satisfactorily seven important criteria for PCMs. For hydrate is seen to reduce the supercooling of most
example, the heat of fusion has a mean value of 35– salt hydrates to a considerable extent.
40 kcal/kg, there are no problems in the reversing the In the employment of PCMs as heat storage
phase change, and the transition points vary con- materials in TES systems, certain desirable thermo-
siderably with the number of carbon atoms in the dynamic, kinetic, chemical, technical and economic
chains. Also, the normal paraffins are chemically characteristics are essential:
inert, nontoxic, and available at reasonably low cost.
The change of volume with the transition, which is on 4.2.1.1 Thermodynamic Criteria
the order of 10%, could represent a minor problem. *
A melting point at the desired operating
The zeolites are naturally occurring minerals.
temperature;
Their high heat of adsorption and their ability to *
A high latent heat of fusion per unit mass, so that
hydrate and dehydrate while maintaining structural
less material stores a given amount of energy;
stability have been found to be useful in various *
A high density, so that less volume is occupied by
thermal storage and solar refrigeration systems. This
the material;
hygroscopic property, coupled with the rapid *
A high specific heat, so that significant sensible
exothermic reaction that occurs when zeolites are
TES can also occur;
taken from a dehydrated to a hydrated form (when *
A high thermal conductivity, so that only small
the heat of adsorption is released), makes natural
temperature differences are needed for charging
zeolites an effective storage material for solar and
and discharging the storage;
waste heat energy. *
Congruent melting; i.e., the material should melt
Application of PCMs in the temperature range 0–
completely, so that the liquid and solid phases are
1201C is of interest for a variety of low-temperature
homogenous (this avoids the difference in
applications, such as direct space heating, domestic
densities between solid and liquid that causes
hot water production, heat-pump-assisted space
segregation, resulting in changes in the chemical
heating, greenhouse heating, and solar cooling. The
composition of the material); and
development of dependable TES systems for these and *
Small volume changes during phase transition, so
other applications requires a good understanding of
that a simple containment and heat exchanger can
heat-of-fusion storage materials and heat exchangers.
be used.
Knowledge of the melting and freezing character-
istics of PCMs, of their ability to undergo thermal
4.2.1.2 Kinetic Criterion
cycling, and of their compatibility with construction
materials is essential for assessing the short- and *
Little or no supercooling during freezing; i.e., the
long-term performance of a latent TES. Commercial melt should crystallize at its freezing point. This
paraffins are characterized by two phase transitions criterion can be achieved through a high rate of
(solid–liquid and solid–solid) that occur over a large nucleation and growth rate of the crystals.
temperature range depending on the paraffin in- Supercooling may be suppressed by introducing
volved. n-Paraffins are usually preferred in compar- nucleating agent or a cold trigger in the storage
ison to their iso-counterparts, as the desired solid-to- material.
liquid phase transition is generally restricted to a
narrow temperature range. Fatty acids are organic 4.2.1.3 Chemical Criteria
materials with excellent melting and freezing char- *
Chemical stability;
acteristics and may have a good future potential, if *
No susceptibility chemical decomposition, so that
their costs can be reduced. Inorganic salt hydrates,
a long operation life is possible;
on the other hand, must be carefully examined for *
Noncorrosive behavior to construction materials;
congruent, ‘‘semicongruent,’’ or incongruent melting
and
substances with the aid of phase diagrams. Incon- *
Nontoxic, nonflammable, and nonexplosive
gruent melting in a salt hydrate may be ‘‘modified’’ to
characteristics.
overcome decomposition by adding suspension
media, or extra water, or other substances that shift
4.2.1.4 Technical Criteria
the peritectic point. The use of salt hydrates in
hermetically sealed containers is normally recom- *
Simplicity;
mended. Also, the employment of metallic surfaces *
Applicability;
Thermal Energy Storage 71

*
Compatibility; and 5.3 Feasibility of TES
*
Reliability.
A variety of factors are known to influence drama-
tically the selection, implementation, and operation
4.2.1.5 Economic Criteria of a TES system. Therefore, it is necessary to carry
*
Commercial availability, and out a comprehensive feasibility that takes into
*
Low cost. consideration all parameters that impact the cost
and other benefits of considered TES systems.
However, it is not always possible to conduct all
the steps in a feasibility study for an application and,
5. TECHNICAL AND OPERATIONAL in such instances, as many items as possible should
ASPECTS OF TES SYSTEMS be considered and studied accordingly. In such TES
feasibility studies, a checklist can be helpful in
This section presents certain technical and opera- ensuring that significant issues related to the project
tional aspects of TES systems and their conse- are addressed and details regarding the evaluation,
quences. selection, implementation, and operation of the
system are assessed correctly. Fig. 3 provides a
checklist that can be beneficial to the TES industry
5.1 Basic Principle of TES
and analysts involved in TES projects. A checklist
The basic principle is the same in all TES applica- completed in the preliminary stages of the project
tions. Energy is supplied to a storage system for guides technical staff.
removal and use at a later time. What mainly varies
is the scale of the storage and the storage method
used. Seasonal storage requires immense storage 5.4 Integration of TES
capacity. One seasonal TES method involves storing When considering the integration of TES into an
heat in underground aquifers. Another suggested existing thermal facility, an additional checklist
method is circulating warmed air into underground (Fig. 4) can assist in conducting the feasibility study
caverns packed with solids to store sensible heat. The for the TES system and its incorporation into the
domestic version of this concept is storing heat in hot facility. For a facility under design, the information
rocks in a cellar. At the opposite end of the storage- required is generally the same as in Fig. 4, except that
duration spectrum is the storage of heat on an hourly the database must be developed or estimated due to
or daily basis. The previously mentioned use of tiles the lack of actual operating data.
to store solar radiation is a typical example, which is
often applied in passive solar design.
6. TES FOR COOLING CAPACITY
5.2 TES Processes
Cooling capacity can be stored by either chilling or
A complete storage process involves at least three freezing water (or other materials, such as glycol and
steps: charging, storing, and discharging. A simple eutectic salts). Cold TES (CTES) is an innovative way
storage cycle can be illustrated as in Fig. 2, in which of storing nighttime off-peak energy for daytime
the three steps are shown as distinct stages. In peak use. In many locations, the demand for
practical systems, some of the steps may occur electrical power peaks during the summer. Air-
simultaneously (e.g., charging and storing) and each conditioning is the main reason, in some areas
step may occur more than once in each storage cycle. accounting for as much as one-half of the power

input output
Ql,1 Ql,2 Ql,3
output input

FIGURE 2 The three stages in a simple heat storage process: charging period (left), storing period (center), and discharging
period (right), where the terms of Ql are heat losses during these three periods. Reprinted from Dincer and Rosen (2002), r
John Wiley & Sons Limited, with permission.
72 Thermal Energy Storage

Checklist for Evaluating a General TES Project


Please check ( ) items that are available or known.
( ) 1. Management objectives
( ) 2. Economic objectives
( ) 3. Financial parameter
( ) 4. Available utility incentives
( ) 5. Status of TES system (a) New ( ) (b) Existing ( )
( ) 6. Net heating or cooling storage capacity
( ) 7. Utility rates and associated energy charges
( ) 8. Loading type of TES system (a) Full ( ) (b) Partial ( )
( ) 9. Best possible TES system options
( ) 10. Anticipated operating strategies for each TES system option
( ) 11. Space availability for TES system (e.g., tank)
( ) 12. Type of TES system (a) Open ( ) (b) Closed ( )
( ) 13. General implementation logistics of TES system under consideration
( ) 13.1. Status of TES system
( ) 13.2. TES system location
( ) 13.3. Structural impact
( ) 13.4. Heat exchanger requirements
( ) 13.5. Piping arrangement
( ) 13.6. Automatic control requirements
( ) 13.7. New electrical service requirements
( ) 13.8. Other

Signature:
Project Leader:

Date:
Project Title and Number:
FIGURE 3 Checklist for evaluating the feasibility of a TES project. Adapted from Dincer (1999).

demand during the hot midday hours when electri- where an existing tank is available; where limited on-
city is most expensive. Since, at night, utilities have site electric power is available; where back-up
electrical generating capacity to spare, electricity cooling capacity is desirable; and where cold-air
generated during this ‘‘off-peak’’ time is much distribution is desirable or advantageous.
cheaper. In essence, one can air-condition during It is difficult to generalize about when cool storage
the day using electricity produced at night. CTES has systems will be cost-effective, but if one or more of
become one of the primary means of addressing the the above criteria are satisfied, a detailed analysis
electrical power imbalance between high daytime may prove worthwhile.
demand and high nighttime abundance. If properly
designed, installed, operated, and maintained, CTES
6.1 Operational Aspects of CTES
systems can be used to shift peak cooling loads to off-
peak periods, thereby, evenly distributing the de- Several strategies are available for charging and
mand for electricity and avoiding shortages usually discharging a storage to meet cooling demand during
encountered during peak periods. peak hours. The strategies are full storage and partial
CTES systems are most likely to be cost-effective storage.
in situations such as the following: where a facility’s
maximum cooling load is much greater than the 6.1.1 Full-Storage CTES
average load; where the utility rate structure has high A full-storage strategy shifts the entire peak-cooling
demand charges, high ratchet charges, or a high load to off-peak hours (Fig. 5a). The system is
differential between on- and off-peak energy rates; typically designed so that on the days that are
where an existing cooling system is being expanded; anticipated to be the hottest the system operates at
Thermal Energy Storage 73

Checklist for Integrating TES into an Existing Thermal Facility

Please check ( ) items that are available or known.


Database
( ) 1. Utility's incentives
( ) 2. Facility occupancy hours
( ) 3. Facility operating requirements
( ) 4. Existing physical constraints
( ) 5. Facility peak-day loads and monthly average requirements
( ) 6. Historic energy consumption rates

Analysis
( ) 1. Best possible TES system options
( ) 2. General implementation logistics of each TES system under consideration
( ) 3. Plant's yearly energy consumption with or without a TES system
( ) 4. Size utilization factor for TES
( ) 5. Projected operating cost reduction for each TES system under consideration

Conclusion
( ) 1. Financial analysis
( ) 2. System implementation recommendation
( ) 3. Other
Signature:
Project Leader:
Date:
Project Title and Number:
FIGURE 4 Checklist for integrating TES into an existing thermal facility. Adapted from Dincer (1999).

A B C
Load
Chiller on B Chiller meets load directly
A Storage meets load C Chiller charging storage Reduced on-peak demand
Tons
Tons
Tons

C A
C A
A C C
C B C
B B B
24-hour period 24-hour period 24-hour period
FIGURE 5 Operating strategies. (a) Full storage, (b) partial-storage load leveling, and (c) partial-storage demand-limiting.
Reprinted from Dincer and Rosen (2002), r John Wiley & Sons Limited, with permission.

full capacity during all nonpeak hours in order to 6.1.2 Partial-Storage CTES
charge storage. This strategy is most attractive when In a partial-storage method, the chiller operates to
peak demand charges are high or the peak period is meet part of the peak-period cooling load and the
short. For example, a school or business whose rest is met by drawing from storage. The chiller is
electrical demand drops dramatically after 5:00 P.M. sized at a smaller capacity than the design load.
in an electric utility territory where peak energy and Partial-storage systems may operate as load-leveling
demand charges apply between 1 P.M. and 9:00 P.M. or demand-limiting operations. In a load-leveling
usually can economically apply a full CTES. Cooling system (Fig. 5b), the chiller is sized to run at its full
during the 4 h period between 1:00 P.M. and 5:00 capacity for 24 h on the hottest days. The strategy is
P.M. can be full-shifted, i.e., can be met with a most effective when the peak-cooling load is much
relatively small and cost-effective CTES system and higher than the average load. In a demand-limiting
without oversizing the chiller equipment. system, the chiller runs at reduced capacity during
74 Thermal Energy Storage

peak hours and is often controlled to limit the area of existing machine rooms. Ice systems use
facility’s peak demand charge (Fig. 5c). Demand smaller tanks and offer the potential for the use of
savings and equipment costs are higher than they low-temperature air systems, but require more
would be for a load-leveling system and lower than complex chiller systems. Ice CTES systems use the
for a full-storage system. latent heat of fusion of water (335 kJ/kg) to store
Partial storage is more often the most economic cooling capacity. To store energy at the temperature
option and, therefore, represents the majority of of ice requires refrigeration equipment that provides
thermal storage installations. Although partial sto- charging fluids at temperatures below the normal
rage does not shift as much load (on a design day) as operating range of conventional air-conditioning
a full-storage system, partial-storage systems can equipment. Special ice-making equipment or stan-
have lower initial costs, particularly if the design dard chillers modified for low-temperature service
incorporates smaller equipment by using low-tem- are used. The low chilled-water-supply temperatures
perature water and cold-air distribution systems. available from ice storage allow the use of cool-air
distribution, the benefits of which include the ability
to use smaller fans and ducts and the introduction of
6.2 CTES Storage Media Selection and less humid air into occupied spaces.
Characteristics
The main CTES storage media include chilled water, 6.2.3 Eutectic Salts
ice, and eutectic salts. Ice systems offer the densest Eutectic salts can use existing chillers but usually
storage capacity but have the most complex charge operate at warmer temperatures than ice or chilled-
and discharge equipment. Water systems offer the water systems. Eutectic salts use a combination of
lowest storage density and are the least complex. inorganic salts, water, and other elements to create a
Eutectic salts have intermediate characteristics. Some mixture that freezes at a desired temperature. The
details on each storage medium follow: material is encapsulated in plastic containers that are
stacked in a storage tank through which water is
6.2.1 Chilled Water circulated. The most commonly used mixture for
Chilled-water systems require the largest storage thermal storage freezes at 8.31C, which allows the
tanks, but can easily interface with existing chiller use of standard chilling equipment to charge storage,
systems. Chilled-water CTES systems use the sensible but leads to higher discharge temperatures. These
heat capacity of water to store cooling capacity. They temperatures, in turn, limit the operating strategies
operate at temperature ranges (3.3–5.51C) compa- that may be applied. For example, eutectic salts may
tible with standard chiller systems and are most be used in full-storage operation only if dehumidifi-
economical for systems greater than 2000 ton-h in cation requirements are low.
capacity. The most important advantage of water
thermal storage is the fact that water is a well-
understood and familiar medium. No danger is 7. ILLUSTRATIVE EXAMPLES
associated with handling water as a TES material.
Basically, heating and cooling applications require This section discusses some illustrative case studies to
only a moderate temperature range (5–451C). Water highlight the practical importance of TES systems
can be used as a storage medium for both cooling and show how they are performing. Further in-
and heating, allowing the same TES material to be formation on these case studies and some other
used throughout the year. The relatively high thermal practical examples can be found elsewhere:
capacity of water is also attractive for TES applica-
tions. These advantages give water CTES economic
advantages over other air-conditioning systems, 7.1 Alitalia’s Headquarters Building,
including those using ice CTES systems. Rome, Italy
In June 1991, Alitalia, Italy’s largest airline company,
6.2.2 Ice officially opened its new headquarters building in the
Ice CTES systems can be economically advantageous southwest area of Rome. With a total plan area of
and require less space than water CTES systems. This 130,000 m2, this building contains 55,000 m2 of
space advantage often allows heating and cooling office space, 72,000 m2 of service and technical
capacity to be enlarged within the often restricted rooms, and 26 conference rooms, surrounded by a
Thermal Energy Storage 75

large parking area for more than 3000 cars. For the cooling medium for TES while remaining fluid
air-conditioning and computer-cooling needs of the enough to pump. It flows like conventional chilled
entire complex, ice-chiller thermal storage coils were water but provides five to six times the cooling
selected to meet a total storage capacity of capacity.
65,000 kWh. This makes Alitalia the largest ice The installed system consists of a 88 kW remote
storage installation in Europe and one of the largest condensing slurry–ice machine and an associated
in the world. Due to the magnitude of this project, 10 m3 ice storage tank to satisfy a peak load of
the designers opted to install thermal storage coils in 180 kW (Fig. 6). The ice machine is designed to
two concrete tanks, each 34 m long by 12 m wide. operate until the tank is full or during rapid cooling
During the night, the central refrigeration system periods in order to introduce ice into the cooling
builds a complete charge of ice on the coils over a circuit. The stored energy over off-peak/low-load
12 h off-peak period. During the daytime, the ice is periods is later utilized to satisfy the short and sharp
melted to provide the buildings’ base cooling peak loads. Hence, the installed refrigeration ma-
requirements, thereby minimizing the peak demand. chinery is one-third of the equivalent capacity of a
The refrigeration system is used during the day to conventional direct cooling system. Harvested fresh
provide any extra required cooling capacity up- vegetables are subjected to rapid cooling within the
stream of the ice thermal storage coils. This results in cold storage facility, whereby the energy stored
higher refrigeration system efficiency and lower during off-peak periods is recovered by circulating
operating costs. Unlike other types of thermal solution within the air-spray heat exchanger in order
storage units, the ice chiller with consistent low- to provide 0–11C air off temperatures during the
temperature supply can be located downstream from rapid cooling periods.
the chillers for highest overall system efficiency. In
addition to the thermal storage coils, four large
7.2.1 Technical Benefits
industrial fluid coolers and six heat exchangers were
also provided for this European TES project. *
Cost-effective installation: Smaller pipework and
Detailed information can be found in the 1999 a flexible storage tank coupled with smaller pump
publication by Baltimore Aircoil. sizes result in lower initial installation cost.
*
Reduced running cost: Reduced refrigeration
machinery results in reduced maximum demand
7.2 A Slurry–Ice Rapid Cooling System,
and availability charges, and coupled with
Boston, United States
nighttime low ambient temperatures and off-peak
Slurry–ice is a crystallized water-based ice solu- electricity prices, offers unmatched overall
tion that can be pumped and offers a secondary running cost savings.

REMOTE
AIR COOLED
SLURRY-
SLURRY-ICE CONDENSING
TANK PACKAGE

CHILLED WATE R
SYSTEM PROCESS
PUMP HEAT EXCHANGER

HEAT
EXCHANGER
CIRCULATION
PUMP

PACKAGED
SLURRY-
SLURRY-ICE
MACHINE

FIGURE 6 A typical slurry–ice TES system. Reprinted from Environmental Process Systems (2003), with permission.
76 Thermal Energy Storage

*
Quick response: Fine ice crystals offer unmatched Technical data
thermal efficiency. Hence, large peak loads can be * Daily cooling energy 44,000 kWh
handled without affecting the system-leaving consumption
* Maximum cooling demand 4000 kW
temperatures. * Cooling energy stored 10,000 kWh
*
Flexible system: Any future capacity or change in * Storage temperature 10.41C
operational patterns can be easily handled * Storage type STL-N10-200 (see Fig. 7)
without the need for additional refrigeration * Nodules type SN. 10
machinery.
* Number of tanks 2
* Tank diameter 3m
*
Full stand-by capability: The stored energy can be * Tank height 14 m
used to operate the process in case of breakdown
or regular maintenance shutdowns.
*
Green solution: Reduced refrigeration machinery 7.3.1 Characteristics
leads to reduced refrigerant volume. To improve system efficiency and to reduce elec-
trical cost, it was proposed to install a Cristopia
Further information can be obtained from the
STL-N10-200 TES system to shift electrical con-
2003 publication by Environmental Process Systems.
sumption to off-peak periods and to reduce the
peak-period electrical demand. To achieve this end,
7.3 Harp Brewery, Dundalk, Ireland a STL-N10-200 was specified, storing 10,000 kWh
at 101C during the nighttime off-peak tariff
Harp Brewery in Dundalk, Ireland (Fig. 7) produces period. The STL also reduces daytime chiller
1,000,000 hl of lager per year and consumes power by 1000 kWh. The STL-N10-200 is composed
12,000,000 kWh of electricity (4,000,000 kWh for of two 100 m3 vertical tanks filled with SN.10
the refrigerant plant). In 1992, Harp decided to (77 mm diameter) nodules. The nodules are
modernize its refrigeration plant. The existing filled with a PCM, allowing thermal storage at
system consisted of a wide range of process-cooling 101C.
loads satisfied by two circuits, a high-temperature
circuit at 81C and a low-temperature circuit at 7.3.2 Technical Advantages
121C. During the design stage, it was decided
to install a Cristopia TES System (STL) on the *
Smaller chiller capacity;
high-temperature circuit. The STL reduces the *
Stable flow temperature;
instantaneous peak refrigeration demand by as *
Electrical supply reduced by 1000 kWh;
much as 45%, by daily shifting 10,000 kWh from *
Refrigerant efficiency improved;
day to night. The STL has reduced the maxi- *
Servicing simplified;
mum demand by 1 MW and the cooling consump- *
Back-up at disposal; and
tion by 16%. *
Smaller cooling towers.

FIGURE 7 (A) Two STL-N10-100 systems and (B) Harp Brewery in Dundalk, Ireland. Reprinted from Cristopia (2001a),
with permission.
Thermal Energy Storage 77

7.3.3 Financial Advantages Technical data


*
The system with STL costs less than a traditional
* Main alternate current system type Air-handling unit
* Building volume 1,350,000 m
system with chillers; * Daily cooling energy consumption 163,000 kWh3
*
Savings on maintenance costs; * Maximum cooling demand 12,500 kW
*
Electrical supply reduced by 1000 kWe; and * Chiller capacity
*
Savings on demand charge and energy costs. —Direct mode 8100 kW (6/121C)
—Charge mode 4400 kW(6/21C)
* Energy stored 31,750 kWh
7.3.4 Environmental Advantages * Volume 549 m3
*
Refrigerant charge reduced (leading to ozone * Storage type STL-00-550
layer protection); and (see Fig. 8B)
*
Emission of CO2, SO2, and N2O reduced * Number of tanks 3
(avoiding contributions to the greenhouse effect
* Tank diameter 4m
* Tank height 18 m
and other environmental impacts).
Further information on this project can be 7.4.1 Characteristics
obtained from the 2001a publication by Cristopia The STL is used to reduce 50% of the peak cooling
Energy Systems. demand. The storage is charged between 10:00 P.M.
and 7:00 A.M. when electricity rates are low. Since
1985, significant operating cost savings have been
7.4 Museum of Sciences and Industry, La
achieved.
Villette, France
At the site of the old Paris slaughterhouse in La
Villette Park, France, a modern leisure center was 7.4.2 Technical Advantages
built in 1983 that included (1) a sciences and *
Smaller chiller capacity;
industry museum, (2) an audiovisual center, and *
Smaller heat rejection plant;
(3) the GEODE 3-D cinema. The center (Fig. 8A) is *
Reduced maintenance;
one of the largest science and technology centers in *
System efficiency and reliability increased; and
the world and one of the most innovative *
Increased plant lifetime expectancy.
(150,000 m2 of displays, shows, and exhibitions).
A cooling and heating plant supplies air-condition-
ing to a distribution network. This plant includes an 7.4.3 Environmental Advantages
STL-00-550 chiller (storing 31 MWh) and three *
Refrigerant charge reduced; and
2700 kW chillers. *
Emission of CO2, SO2, and N2O reduced.

A B

FIGURE 8 (A) The modern leisure center in La Villette Park, France, and (B) the TES tanks. Reprinted from Cristopia
(2001b), with permission.
78 Thermal Energy Storage

Further information on this project can be facilitate large–scale energy substitutions economic-
obtained from the 2001b publication by Cristopia ally. A coordinated set of actions is needed in several
Energy Systems. sectors of energy systems in order to realize the
maximum benefits of storage.

8. CONCLUDING REMARKS
SEE ALSO THE
TES is considered an advanced energy technology. FOLLOWING ARTICLES
The use of TES systems has been attracting increas-
ing interest in several thermal applications, e.g., Cogeneration  Geothermal Direct Use  Geothermal
active and passive solar heating, water heating, Power Generation  Ground-Source Heat Pumps 
cooling, and air–conditioning. TES often is the most Heat Transfer  Refrigeration and Air-Conditioning 
economical storage technology for building heating, Solar Ponds  Solar Thermal Energy, Industrial Heat
cooling, and air–conditioning applications. Applications  Solar Thermal Power Generation 
In general, TES can reduce the time or rate Storage of Energy, Overview  Temperature and Its
mismatch between energy supply and energy demand, Measurement  Thermal Comfort
thereby playing a vital role in improved energy
management. TES use can lead to savings of premium
Further Reading
fuels and make a system more cost-effective by reduc-
ing waste energy. TES can improve the performance of Abhat, A. (1989). Low temperature latent heat thermal energy
thermal systems by smoothing loads and increasing storage: Heat storage materials. Solar Energy 30, 313–332.
Baltimore Aircoil (1999). ‘‘Ice Keeps Alitalia Cool, Application
reliability. Therefore, TES systems are becoming Leaflet No.’’ MN-92-10. Baltimore Aircoil, Baltimore, MD.
increasingly important in many utility systems. Beggs, C. (1991). The economics of ice thermal storage. Building
The selection of TES systems depends mainly on Res. Inform. 19, 342–355.
the storage period required (e.g., diurnal or seaso- California Energy Commission. (1996). ‘‘Source Energy and
nal), economic viability, operating conditions, etc. Environmental Impacts of Thermal Energy Storage, Technical
Report No. P500-95-005.’’ California Energy Commission,
Some specific parameters that influence the viability Sacramento, CA.
of a TES system include facility thermal loads, Cristopia Energy Systems. (2001a). ‘‘Harp Guinness Subsidiary
thermal and electrical load profiles, availability of (Ireland).’’ Cristopia Energy Systems, Vence, France. Available
waste or excess thermal energy, electrical costs and at http://www.cristopia.com.
Cristopia Energy Systems. (2001b). ‘‘Museum of Sciences and
rate structures, type of thermal generating equip-
Industry: ‘La Villette’ (France).’’ Cristopia Energy Systems,
ment, and building type and occupancy. France. Available at http://www.cristopia.com.
The economic justification for TES systems Dincer, I. (1999). Evaluation and selection of thermal energy
usually requires that annual capital and operating storage systems for solar thermal applications. Int. J. Energy
costs be less than the costs for primary generating Res. 23, 1017–1028.
equipment supplying the same service loads and Dincer, I., and Rosen, M. A. (2002). ‘‘Thermal Energy Storage
Systems and Applications.’’ Wiley, London.
periods. Substantial energy savings can be realized by Dincer, I., Dost, S., and Li, X. (1997a). Performance analyses of
taking advantage of TES to facilitate using waste sensible heat storage systems for thermal applications. Int. J.
energy and surplus heat, reducing electrical demand Energy Res. 21, 1157–1171.
charges, and avoiding heating, cooling, or air- Dincer, I., Dost, S., and Li, X. (1997b). Thermal energy storage
conditioning equipment purchases. applications from an energy saving perspective. Int. J. Global
Energy Issues 9, 351–364.
TES can help correct the mismatch between Environmental Process Systems. (2003). ‘‘Thermal Energy Storage
supply and demand of energy and can contribute Systems.’’ Environmental Process Systems, Berkshire, UK.
significantly to meeting society’s needs for more Available at http://www.epsltd.co.uk.
efficient, environmentally benign energy use. TES Norton, B. (1992). ‘‘Solar Energy Thermal Technology.’’ Springer-
Verlag, London.
plays an important role in energy conservation and
Reindl, D. T. (1994). ‘‘Characterizing the Marginal Basis Source
can yield savings of premium fuels. Energy Emissions Associated with Comfort Cooling Systems,’’
TES has enormous potential to make the use of Report No. TSARC 94-1. Thermal Storage Applications
thermal energy equipment more effective and to Research Center, Madison, Wisconsin.
Thermal Pollution
VICTOR S. KENNEDY
University of Maryland Center for Environmental Science
Cambridge, Maryland, United States

calefaction. Where heated water provides a benefit,


1. What is Thermal Pollution? such as in enhancing the aquaculture of plants and
2. Thermal Discharges from Steam-Electric Power Plants animals, some have referred to that as thermal
3. Temperature as an Environmental Factor enrichment.
4. Ocean Thermal Energy Conversion
5. Cold Water Pollution

Glossary
1. WHAT IS THERMAL POLLUTION?
acclimation temperature The temperature that an organ-
ism has become used to by a period of constant Temperature changes can range from small to large
exposure over time.
and can cause negative or positive effects on
biocide A substance like an herbicide or insecticide that
organisms. Temperature in a water body can increase
kills living organisms. Chlorine and ozone have been
used as biocides to prevent fouling of water pipes in as the result of humans clearing vegetation from
power plants. stream banks, thereby removing natural shading of
electricity units Gigawatt ¼ 1 billion watts; megawatt ¼ the stream; of runoff of warmed water from heated
1000 kilowatts or 1 million watts; megawatt-hour ¼ land surfaces; and of disposal of heated effluents
a unit of energy equivalent to 1 megawatt of power from industrial activity. Temperature in a water body
expended for 1 hour of time. can decrease as a result of inflow of cooler water
larvae The early life history stages of aquatic animals such from dams or of industrial activity. This article
as fish or shellfish. Many types float in the water column focuses on temperature increases, primarily as a
as zooplankton (see Plankton). byproduct of electricity generation by steam-electric
plankton Animals and plants (usually microscopic in size)
power plants, but the effects of less common
that float in aquatic systems and form part of the
temperature decreases will be considered briefly.
system’s food web. They can be categorized as
bacterioplankton (bacteria or microbes), phytoplankton Studies of the effects of thermal discharges from
(plants), and zooplankton (animals). steam-electric power plants began in the 1950s in the
thermal efficiency Useful energy output divided by total United States and the United Kingdom, accelerating
energy input; for a steam-electric power plant, it is the in number for about two decades thereafter. Addi-
proportion of the total energy that the facility consumes tional studies were undertaken in Europe and the
in relation to the amount of electric energy produced. USSR from the 1960s onward. The number of studies
worldwide began declining in the 1980s.
This article depends mostly on the results of those
For the purpose of this article, thermal pollution studies. It begins with a discussion of thermal
refers to a deleterious change (increase or decrease) discharges from steam-electric power plants, then
in the temperature of a water body as a result of examines temperature as a controlling factor in
human activities. However, some have declared that nature, and follows with descriptions of efforts over
the term is biased in that it imputes negative effects the years to estimate its influence on organisms in
to all thermal changes caused by humans. They have relation to heated discharges. It concludes with a
suggested that, in relation to increased temperature, brief examination of the less common problem of
more neutral terms might be thermal addition or cold-water discharge from dams.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 79


80 Thermal Pollution

2. THERMAL DISCHARGES FROM cooled remains large because of the overall increase
STEAM-ELECTRIC POWER PLANTS in the number of power plants.

2.1 Sources of Heating of Water Bodies 2.2 Cooling Systems


The areal extent of heating of water bodies caused by A variety of systems are used to reduce the heat of the
removal of vegetation from stream banks or by coolant. Open-cycle or once-through cooling systems
runoff from warm surfaces is minimal compared to pump water from the water body they are located
the extent of heating caused by industrial activity. beside and can require tens of thousands of liters per
The largest user of water for industrial cooling is the megawatt-hour, releasing the heated effluent back
steam-electric generating industry, so thermal dis- into the water body as a surface discharge so that the
charges (effluents) from that industry will be the heat can transfer to the atmosphere. Some heated
major focus of this article. effluents may be pumped directly into the water body
Steam-electric power plants burn fossil fuels (coal, (receiving water), whereas others may be released
petroleum, gas), combustible wastes, or biomass, or into a discharge or cooling canal to allow for some
depend on nuclear fission to heat water in pressur- cooling to take place before the effluent flows back
ized boilers to produce steam that is used to spin into the water body. This is perhaps the simplest
turbines that power electricity generators. Large design, but the amount of heated effluent involved
quantities of additional water (coolant) are pumped means that large power plants (500 megawatts and
from a water body through a multitude of small- above) must be located on very large lakes or on an
diameter condenser tubes that function to condense estuarine or marine coast so the heated effluent has
the steam to water after it has passed through the minimal effect on the receiving water as a whole. The
turbines, whereupon it is recirculated into the entry of the discharge into the receiving water creates
boilers. The coolant gains heat in the process. If a a mixing zone wherein the plume of heated water is
power plant has a thermal efficiency of about 35% cooled by the colder receiving water. Local hydro-
(nuclear power plants are less efficient than non- graphy influences the behavior of the plume (e.g.,
nuclear power plants), then about 65% of the heat movement of the plume by winds or currents) and
produced by the power plant has to be disposed of. the speed of cooling.
The heat in the coolant is reduced by releasing the Closed-cycle or recirculating cooling systems
coolant into the atmosphere or by returning it to a may incorporate ponds in which heated discharges
water body, usually the one from which it was cool sufficiently before being reused. Or they may use
originally extracted. The differences between the vertical cooling towers in which the effluent either
temperature of the cooling water pumped into the falls from a height so that evaporative cooling
steam-electric power plant and its temperature as it occurs in air (wet cooling) or passes through a
exits the station (DT) can cover a wide range of radiator in which cooling occurs with no direct
values from about 51C to 251C. contact of the effluent with air (dry cooling; this
Steam-electric power plants in industrialized reduces evaporative loss of water). Closed-cycle
countries have increased in size from an average of systems use hundreds of liters of cooling water per
about 35 megawatts in the 1950s to as much as 1000 megawatt-hour, and thus can be located on smaller
megawatts for fossil-fuel-powered plants and 1400 water bodies than is the case for open-cycle cooling
megawatts for nuclear-powered plants in recent systems.
decades. This has increased the demand for water
for steam and for cooling activities. For example, a
2.3 Growth in Electricity Use
1000 megawatt nuclear power plant with an open-
cycle cooling system (discussed later) may use up to 5 The World Energy Council has reported that
billion liters of coolant per day. Toward the end of electricity represented 25% of energy use by indus-
the 20th century, thermal power plants in the United trial nations in the 1970s, growing to 37% by 2000.
States and the United Kingdom used about 80 to The council estimates that electricity will eventually
90% of all the water used in those countries for grow to be 50% of such energy use. The Electric
industrial cooling. Subsequent efforts have been Power Research Institute estimates that world
made to conserve and reuse cooling water, but the population growth and economic development will
amount of water in industrial countries that is heated require an additional 10,000 gigawatts of electricity
during steam-electric generation and that must be generating capacity over the next 50 years. This will
Thermal Pollution 81

increase the amount of water that is heated to form temperature raises the metabolism of ‘‘cold-blooded’’
steam to drive turbines, the amount of coolant aquatic animals, it also lowers the oxygen carrying
needed for condensing the steam, and the amount capacity of water. Thus, at a time when the metabolic
of coolant that is returned to the environment. need for oxygen is increasing, the amount of
available oxygen is decreasing, often causing stress
or mortality to organisms in warming water (see the
striped bass example described later).
3. TEMPERATURE AS AN Predicting the effects of temperature change on a
ENVIRONMENTAL FACTOR particular species requires that the species’ biology
in relation to temperature, including the other
Temperature has been called an environmental factors that influence the temperature effects
master factor because of its importance in the (Fig. 1), be well understood. The complexity of
biology of every organism. Most aquatic organisms these interactions poses a challenge because of our
are adapted to live within a specific temperature limited knowledge of this complexity with regard to
range, outside of which temperatures become stress- most organisms. Especially, we know little about the
ful and ultimately lethal. Within the temperature smallest components of aquatic ecosystems—mi-
range (i.e., at sublethal levels), temperature can affect crobes, phytoplankton, and zooplankton—that play
an organism’s metabolism, growth, and behavior, as significant roles in energy flow and nutrient flux
well as reproductive timing and rates of egg and within ecosystems. This lack of information makes it
larval development. It also influences geographic very difficult to predict the effects of increased
distributions of species, including distributions of temperature on an ecosystem, even if we have some
freshwater and marine fauna. information on the effects of temperature on some
Temperature effects can be influenced by many species in the ecosystem.
other environmental factors (Fig. 1). For example, as Finally, predicting the effects of thermal effluents
will be demonstrated below, research has shown for from power plants can be made more difficult
some aquatic animals that age, size, life-cycle stage because biocides and other contaminants may be
(egg, larva, juvenile, adult), or ambient oxygen included in the coolant water. For example, if a
conditions can affect the animal’s temperature biocide such as chlorine is used to reduce settlement
tolerances. Other studies have shown that diet, of organisms in and subsequent blockage of con-
environmental salinity, or the presence of parasites denser tubes (fouling), it may stress organisms in the
can influence some animals’ temperature tolerances. vicinity of the thermal plume and cause higher
The interaction of temperature and dissolved oxygen mortalities or other biological changes than might
can be very important, in that, whereas increased occur from temperature alone.

CO2, (H+) O2 Other gases


Genetic adaptation
(geographic variation) Pressure
Light,
Chemicals solar radiation

Photoperiod
Predators Water
Diel cycles
circadian rhythms
Behavior
(innate and Circannian cycles
ORGANISM
learned) Seasonal changes

Hormones
Competition
Salinity Sex
Age and size
Temperature
Life-cycle stage
Gravity,
geomagnetism, Metabolites
rotational forces Diet Parasites

FIGURE 1 Various factors that can affect the thermal tolerances of organisms. From Hutchison (1976).
82 Thermal Pollution

3.1 Effects of Temperature on the Biology invertebrate, the opossum shrimp Neomysis amer-
of Organisms icana, individuals of which were acclimated in the
laboratory to temperatures ranging from winter
3.1.1 Lethal Effects values of 11C to summer values of 301C before
Temperature extremes (both high and low) can be being placed in water baths holding water at the
lethal. Many species are sensitive to temperatures acclimation temperature or above. The sigmoid
just a few degrees higher than those they usually curves describing mortality over the test tempera-
experience in nature. Indeed, in short-term (mea- tures are steep, reflecting the slight differences
sured in days) temperature-tolerance experiments on between those temperatures at which mortality is
estuarine invertebrates in the laboratory, a tempera- limited and those that cause high mortality (see
ture increase of 11C can raise mortalities from 0% or previous paragraph). In general, as acclimation
slightly above at the lower temperature to about temperatures increase, so do the LC50 values at
100% at the increased temperature. This is signifi- each acclimation temperature. Thus, a temperature
cant in terms of thermal pollution because tempera- such as 181C that would cause 100% mortality in
ture increases from heated-water discharges winter obviously is not lethal to opossum shrimp that
inevitably are greater than 11C, as mentioned earlier. have become acclimated to summer temperatures of
An initial effort to predict the effects of heated 251C to 301C. This generalization applies to other
water discharge on a species often involves labora- aquatic organisms exposed to temperature increases
tory experiments in which individuals of that species in similar laboratory experiments and means that, up
are placed in a series of water baths at high to a point, heated-water discharge temperatures from
temperatures to determine the mortalities in each steam-electric power plants may be more of a threat
bath over a period of time (usually 24 to 72 hours). to survival of organisms in winter than the same
These relatively short-term experiments use indivi- temperatures might be in summer.
duals that are acclimated to the temperatures LC50 values can provide a reasonable estimate of
prevailing in their environment at the time of the the relative ability of different species to tolerate
experiments (e.g., in temperate regions, they will be temperature increases. For example, seven species of
acclimated to low temperatures in winter and high invertebrates that are found together in Chesapeake
temperatures in summer). The results of the experi- Bay in the United States have LC50s that differ by
ments are expressed in terms of LC50—that is, the about 101C even though they were acclimated to the
temperature that will result in 50% of the individuals same temperature (151C) (Fig. 3). Consequently,
in a species dying within the time period of the test. rules regarding temperature discharge need to
As an example, Figure 2 presents data on the account for the most thermally sensitive species, in
percentage of mortalities suffered by an estuarine this case the opossum shrimp.

Acclimation temperatures 2 1. Neomysis americana 4. Gammarus fasciatus 6. Rhithropanopeus harrisii


2. Crangon septemspinosa 5. Gammarus mucronatus 7. Chrysaora quinquecirrha
100 1. = 1°C 3. Monoculodes sp. A.
2. = 5°C 100
Percentage mortality

3. = 10°C N = 2707
Percentage mortality

3 4
80 4. = 15°C
1 4
5. = 25°C 5 6 80 2 3
5
6. = 30°C 1 6 7
60 N = 1800 60
40
40
20
20
0
0 5 10 15 20 25 30 35 40 0
18 20 22 24 26 28 30 32 34 36
Test temperatures (°C)
Test temperatures (˚C)
FIGURE 2 Curves of the mortalities of individuals of the
estuarine opossum shrimp Neomysis americana acclimated to FIGURE 3 Comparative mortality curves for seven species of
temperatures of 11C to 301C. The horizontal line represents the estuarine invertebrates from Chesapeake Bay acclimated to about
LC50 value for each acclimation temperature. Modified from 15oC. Modified from Fig. 3 in J. A. Mihursky and V. S. Kennedy
Fig. 2 in J. A. Mihursky and V. S. Kennedy (1967), Water (1967), Water temperature criteria to protect aquatic life.
temperature criteria to protect aquatic life. American Fisheries American Fisheries Society, Special Publication No. 4, 20–32,
Society, Special Publication No. 4, 20–32, with permission. with permission.
Thermal Pollution 83

It is necessary to determine the tolerance of a (newly settled and young Mya arenaria and small
species over its natural thermal range in order to set Macoma balthica) are slightly more tolerant than the
temperature discharge rules that will apply over the adults.
course of a year. This has been done for a number of These results make sense biologically. The young-
clam species that live buried in the sediments on the est stages live on or near the sediment surface of the
bottom of Chesapeake Bay (Fig. 4). Here, one estuarine bottom where temperatures tend to be
species, the gem clam Gemma gemma, is the most higher than they are deeper within the sediments
tolerant of temperature over its natural thermal where the larger animals dwell. Also, Mya arenaria
range. Three other species that live in the same in Chesapeake Bay is living near the southern extent
bottom habitat as Gemma gemma (the Baltic of its distributional range on the western Atlantic
macoma Macoma balthica, the coot clam Mulinia coast, which may explain its greater thermal
lateralis, and the soft-shell clam Mya arenaria) have sensitivity compared to the other three species that
lower temperature tolerances. The youngest stages range further south into warmer regions. Similarly,

Lima scabra
+ Gemma gemma
Small Macoma balthica
40
Large Macoma balthica
+ +
+ +
+ +
35

30
Lethal temperature (˚C)

25
Placopecten magellanicus

Young Mya arenaria - Newly set


Mya arenaria
Adult Mya arenaria
35 Mulinia lateralis

30

25
Construction
line

0
5 10 15 20 25 30
Acclimation temperature (˚C)

FIGURE 4 Lethal temperatures (LC50) for six species of bivalves, including newly settled, small or young, and large or
adult individuals of some species. Gemma gemma, Macoma balthica, Mulinia lateralis, and Mya arenaria are clams that live
buried in Chesapeake Bay sediment. Lima scabra lives in warm Atlantic waters, whereas Placopecten magellanicus lives in cold
Atlantic waters. The construction line represents where the acclimation and lethal temperatures are identical. From Fig. 2 in V.
S. Kennedy and J. A. Mihursky (1971), Upper temperature tolerances of some estuarine bivalves. Chesapeake Sci. 12(4), 193–
204. Permission granted by the Estuarine Research Federation.
84 Thermal Pollution

the Atlantic Ocean scallop Placopecten magellanicus (dashed lines) in relation to the thermal tolerances of
does not experience temperatures anywhere close to the four estuarine species depicted in Fig. 4. Gemma
those experienced by the Chesapeake Bay species, gemma has a lethal thermal tolerance that is
which may explain its relatively low tolerances. On sufficiently higher than the regulated discharge
the other hand, the rough fileclam Lima scabra lives temperatures so that there should be no or limited
in warm Atlantic waters, which is reflected in its effect of the discharge on the survival of the clams
temperature tolerances. even in summer (however, there is no information on
Generalizing from these results, heated-water how the heated-water discharges might affect growth
discharges into marine coastal waters where Placo- or reproduction in this species; see the next
pecten magellanicus might be living would have to be paragraph). On the other hand, adult Mya arenaria
much cooler than similar discharges into Chesapeake (especially) and large Macoma balthica have lethal
Bay or the coastal habitat of Lima scabra. Within thermal tolerances that are very close to the upper
Chesapeake Bay, temperatures that can be tolerated temperature limit of allowable discharge in summer
by Gemma gemma would be too high to be tolerated in Maryland.
by the other clams, so the susceptibility of the less Regulations elsewhere are also region specific as
heat-tolerant Mya arenaria to higher temperatures well as species specific. For example, in British
should drive regulations governing thermal dis- Columbia, Canada, the maximum daily temperature
charges (based on these experimental data alone). of streams inhabited by temperature-sensitive bull
Based on these and other research results, the state trout Salvelinus confluentus or Dolly Varden Salve-
of Maryland promulgated regulations governing linus malma are not allowed to exceed 151C and the
discharge temperatures from power plants. Figure 5 maximum temperature during spawning cannot
plots the allowed seasonal increase above ambient exceed 101C, whereas streams harboring species of
temperature of heated discharges in Chesapeake Bay Pacific salmon are not allowed to be warmed more

30
Mya arenaria Macoma balthica

Young Small
20
Adult 518 Large 531
482 514

10
Temperature (˚C)

Gemma gemma Mulinia lateralis


30
658 520

20

10

0
10 20 30 0 10 20 30
Ambient or acclimation temperature (˚C)

FIGURE 5 Temperature tolerance triangles of four species of estuarine bivalves from Chesapeake Bay, Maryland (solid
lines developed by subtracting an LC50 value from its corresponding acclimation temperature), in relation to Maryland’s
thermal discharge regulations for tidal waters (dashed lines show how many degrees above ambient temperature a discharge
can be). Numbers refer to the areas of the triangles in square degrees Centigrade. From Fig. 3 in V. S. Kennedy and J. A.
Mihursky (1971), Upper temperature tolerances of some estuarine bivalves. Chesapeake Sci. 12(4), 193–204. Permission
granted by the Estuarine Research Federation.
Thermal Pollution 85

than 11C beyond the optimum temperature range for Mercenaria mercenaria
each life history phase of the most sensitive salmon Straight-hinge larvae
species present.
Warm temperatures over coral reefs can cause 100

Mortality (%)
coral bleaching, a breakdown in the symbiotic 80
relationship between the coral animal and the 60
unicellular algae that live within coral tissues. The 40
algae (called zooxanthellae) photosynthetically pro- 20
duce food materials that the coral can use, and they 0
are in turn sustained by the coral’s waste products
that serve as nutrients. Under warmer climatic 0 )
36 ( °C

0
conditions, coral animals have expelled the zoox- ure

18

0
rat

12
anthellae, leaving the animals pale to colorless. The e

60
Mi mp

30
symbiotic relationship is thus suspended and the host nu Te

10
tes

5
1
is weakened until environmental conditions improve
and normal zooxanthellae density is regained. FIGURE 6 Temperature tolerances over time for the straight-
Thermal discharges can have similar effects on coral hinge larval stage of the estuarine hard clam Mercenaria
mercenaria. From Kennedy et al. (1974).
reefs in their vicinity, so power plant discharges in
the tropics are directed away from coral reefs.
larvae were exposed to temperatures above about
Thermal discharges are not the only aspect of
381C, the higher their mortality. Although differing
steam-electric generation that can have a lethal effect
in detail, these relationships hold for fertilized eggs
on organisms. The water that is pumped into the
and other larval stages of the hard clam, as well as
power station to serve as coolant harbors entrained
for fertilized eggs and larvae of other species of
microscopic organisms (bacterioplankton, phyto-
estuarine bivalves that have been studied.
plankton, and zooplankton, including fish and
Based on these and other findings, the lesson for
invertebrate larvae in breeding seasons). This coolant
regulators is that passage of coolant through
experiences very rapid increases in temperature as it
condenser systems should be as rapid as possible if
passes through the condensers. Such temperatures
mortalities of entrained organisms are to be mini-
will usually be much higher than those experienced
mized. A variety of estimators have been developed
by organisms exposed to the thermal effluent from
to enable regulators to predict the actual exposure
the power station, so mortalities are usually higher
times that can be allowed in order to minimize
for entrained organisms (the threat from higher
mortality.
temperature is exacerbated by pressure changes or
mechanical stress as the organisms are pumped
through the condenser system, as well as by any 3.1.2 Sublethal Effects
biocides like chlorine that are used to keep fouling of Research into thermal tolerances has determined
the system’s tubes to a minimum). that lethal temperatures usually are higher (or lower
Experiments that have been performed to focus on in the case of cold conditions) than are temperatures
the relationship between temperature increase and that influence activity and growth, which in turn are
residence time within a condenser system have higher (or lower) than temperatures that affect
shown, unsurprisingly, that mortalities of entrained reproduction. This information has been used to
organisms can increase depending not only on the build a schematic representation of the effects of
increase in temperature but also on the length of high and low temperatures on Pacific salmon
exposure to increased temperature. Such experiments (Fig. 7). In terms of survival, the egg and hatchling
have been performed on the fertilized eggs and larvae stages are less tolerant of warm temperatures than
of a number of estuarine bivalves. Figure 6 shows the are older stages. In turn, thermal tolerances vary
results on such an experiment on an early larval stage with season as explained above for the opossum
of the estuarine hard clam Mercenaria mercenaria. shrimp, with tolerances to warm temperatures be-
The larvae were subjected to a variety of tempera- ing higher in summer than winter (thus the undula-
tures from 181C to 431C for periods of time that tion in the upper line on the figure). Warm
ranged from 1 to 360 minutes. As temperature temperatures that inhibit growth and reproduction
increased from about 361C, so did mortalities. In are, in turn, lower than those that cause mortality. A
addition, after about 10 minutes, the longer the similar scenario can be developed for freshwater
86 Thermal Pollution

80
25

70
20

Temperature (°F)

Temperature (°C)
60
15

Reproduction
Growth
Survival
50
10

40 5

30 0

0 1 2 3 4 Age, years
Egg-hatch- Yearling Grilse Maturing-adult- Stage
emerge-migrate spawning

FIGURE 7 Temperature tolerances (measured and hypothetical) that affect different life cycle stages of Pacific salmon over
the seasons during 4 years of life. Lethal temperatures (survival) are higher or lower than are the temperatures that inhibit
growth, which in turn are higher or lower than the temperatures that inhibit reproduction (spawning). From Brett (1960).

carp and brown trout (Fig. 8) in which the tempera- Eggs


Lethal
Lethal

ture ranges that affect optimal growth are narrower Feeding


than those influencing feeding and different from Growth Carp
optimum
those affecting egg development, with the ranges Stress Stress
that cause stress extending beyond these other ?
ranges. In terms of differences between species, carp
are more tolerant of higher temperatures than are Eggs
Lethal
Lethal

brown trout. Feeding


Laboratory studies have shown that organisms Brown trout
Growth optimum
under stress pay a metabolic cost in the form of a Stress Stress
continued expenditure of energy. These findings
mean that a thermal discharge that is sublethal may
nevertheless have deleterious effects on growth and 0 10 20 30 41
reproduction. Stunted animals may be more suscep- Temperature (°C)
tible to predation and may be delayed in maturing FIGURE 8 Effects of temperature on egg development, feeding,
and reproducing. And if a species cannot reproduce, growth, and survival of freshwater carp Cyprinus carpio and
eventually its population might disappear from the brown trout Salmo trutta. From J. M. Elliott (1980), Some aspects
heated locale unless other individuals of that species of thermal stress in freshwater teleosts. In ‘‘Stress and Fish’’ (A. D.
Pickering, Ed.), pp. 209–245. Academic Press, New York, with
move into the locale when temperatures are not permission.
deleterious. Clearly, these considerations are more
important for immobile organisms (e.g., fish eggs laid
among gravel in streams, oysters, barnacles, under- 3.1.3 Beneficial Effects
water grasses) that are unable to leave the vicinity of Heated-water discharges may be a beneficial resource
the heated discharge than they are for mobile in human endeavors, and the high temperatures of
organisms (e.g., fish, some invertebrates) that can power-station discharges can be ameliorated by
avoid the deleterious conditions. Thus, regulations diverting the discharge through a system in which
governing thermal discharges may need to be focused the heat can be put to productive use. For example,
more on organisms that cannot avoid the discharge such discharges have been used to heat buildings or
than on those that can. to warm greenhouses and other facilities in which
Thermal Pollution 87

commercial plants and animals are cultured. How- 3.3 Effects of Temperature on
ever, there is no guarantee that the discharges will Species Interactions
not be shut off for unexpected reasons such as
unscheduled maintenance or decreased electricity Temperatures do not have to be lethal to influence
demand, so these eventualities have to be considered changes in species interactions (e.g., predator-prey or
by users of the thermal resource. parasite-host relationships, or competition among
organisms for resources) in ecosystems. Changes in
local distribution patterns as noted earlier would
change the mix of predators, prey, parasites, and
3.2 Effects of Temperature on competitors in a thermally influenced ecosystem in
Abundances and Distributions ways that are not yet understood but that could alter
of Organisms the functions of the ecosystem and the productivity
Temperature changes as small as 11C can have of resident organisms. However, in relation to
important effects on the abundance and distribution thermal pollution, these alterations will be limited
of species, as happened in Monterey Bay, California. to the vicinity of the thermal discharge and will have
There, local temperatures increased by about that no regional effect outside the mixing zone.
amount between the early 1930s and the late 1990s
as a result of a climate-warming event (not associated
3.4 Effects of Temperature on
with industrial discharges). The abundances of
Oxygen Concentrations
intertidal species with southern (warmer water)
distributions became higher than in the early 1930s Oxygen-dependent (aerobic) aquatic organisms ex-
and the abundances of northern (cooler water) tract the oxygen necessary for their metabolic
species declined. Thus, although higher temperatures demands from the water in which they live.
might not result in extinction of a species throughout Temperature influences the amount of oxygen that
its geographic range, the species may be eliminated water can hold, with warmer water holding less
from part of its range. However, with regard to oxygen than does cooler water. Thus, as warmer
industrial heated discharges, such discharges are of temperatures cause an increase in the metabolism of
limited regional scope and are under governmental aerobic organisms, there is less oxygen available to
regulation. Thus, it would be unusual for thermal support their metabolism. This can be lethal, or can
discharges to affect the distributions of organisms stress an organism, perhaps rendering it unable to
beyond the vicinity of the thermal discharge itself. feed or to escape being fed upon by a predator more
Mobile organisms can respond to temperature by tolerant of low-oxygen conditions, or making it more
avoiding it or becoming attracted to it. This will vary susceptible to disease.
seasonally, depending on the organism’s thermal Interactions between higher temperatures and
tolerance or its thermal preference. In winter it is depleted oxygen could constrict the available habitat
common to find mobile organisms like some inverte- for certain aquatic species. For example, the habitat
brates, fish, turtles, and mammals like manatees of striped bass may be ‘‘squeezed’’ in the vicinity of a
congregating in the discharge region of a power thermal discharge. In late spring through autumn in
station if there is enough food available to meet their western Atlantic coastal and estuarine waters un-
metabolic needs. Waterfowl may be able to take affected by humans, the upper layers that are the
advantage of ice-free conditions caused by discharges habitat of juvenile striped bass are usually warmer
to feed in aquatic systems that ordinarily would be than the deeper waters inhabited by older fish
ice covered and inaccessible. However, if the (Fig. 9). The squeeze can occur if a thermal discharge
discharge is halted abruptly by maintenance needs warms the surface waters so that the depth of warm
of the utility or for some other reason, ‘‘cold- water increases, leaving less cool water for the older
blooded’’ animals like invertebrates, fish, and turtles stages. The warmer conditions will also speed up the
may be at risk. The water body will soon revert to decay of organisms sinking into the depths, thereby
ambient winter temperatures, which may lead to cold increasing the amount of oxygen-depleted (anoxic)
shock and mortality of those organisms that have bottom waters that the fish will avoid. Thus, the
become adapted to higher temperatures while living suitable habitat for the older stages will be squeezed
in the thermal effluent and thus more susceptible to between the increased volume of warmer upper
cold than they would have been if they had been waters and the anoxic bottom waters. However,
acclimated naturally to winter temperatures. striped bass are mobile and can swim to cooler
88 Thermal Pollution

Native estuaries and coastal waters

Cool offshore
waters Estuaries Warm shallows

Warm surface water Juveniles

Abundant Abundant
t
offshore prey al gradien
long therm small food
ispers ed a Protection
P o p u l a ti o n d from predators
Abundant
estuarine
prey
Adults Adolescents

Small anoxic zone

Human-impacted waters

Juveniles
Warm surface waters
.(>25°C) Cool,
Adolescents? oxygenated
underflow Cool inflow (spring,
Thermocline stream, tailwater,
wastewater discharge, etc.)

Anoxic deep water


(no fish) Crowding
poor nutrition
Adults disease
fishing mortality
reproductive decline
toxicant exposure

FIGURE 9 Distributions of striped bass in relation to normal (upper panel) and warmed temperature conditions. From C.
C. Coutant (1987), Thermal preference: When does an asset become a liability? Environmental Biology of Fishes 18, 161–172,
with kind permission of Kluwer Academic Publishers.

habitat elsewhere along the coast, so it is unlikely vapor spinning a turbine that powers a generator.
that a thermal discharge will affect a biologically Cold seawater is pumped from depth through a
significant amount of habitat. condenser that condenses the working fluid vapor
back into a liquid that is then recycled through the
system. An open-cycle OTEC system vaporizes warm
4. OCEAN THERMAL surface water itself (the working fluid) in a near
ENERGY CONVERSION vacuum at the temperature of the surface water to
spin a low-pressure turbine. Again, cold deep water
An alternate system of generating electricity is the condenses the vapor to water (freshwater, as the
Ocean Thermal Energy Conversion (OTEC) system, seawater has lost its salt upon vaporization). In the
which has been employed in tropical ocean waters. It process of cooling the vapor, the cold seawater is
takes advantage of the difference in temperatures warmed to a temperature intermediate between its
between solar-heated surface water (usually at 241C original temperature and that of the surface. Thus,
to 301C) and cooler, subsurface water at up to the heated effluent is returned to the ocean at a depth
1000 m depth (41C to 81C). A closed-cycle OTEC (e.g., 60 m) to reduce temperature anomalies that
system uses heat from the warm seawater to vaporize would have adverse effects on organisms such as
a working fluid (e.g., ammonia), with the expanding described earlier.
Thermal Pollution 89

5. COLD WATER POLLUTION Energy: History and Overview  Electricity, Environ-


mental Impacts of  Entrainment and Impingement
An uncommon form of thermal pollution involves of Organisms in Power Plant Cooling  Ocean,
the release of cool or cold water from storage Energy Flows in  Ocean Thermal Energy
reservoirs into warmer water, thereby lowering the
temperature of the receiving water bodies. Australia
is one country in which this occurs. There, water is
released from dams for irrigation in summer and
Further Reading
autumn when river temperatures are high. If the
water is released from a low point in the dam wall, Brett, J. R. (1960). Thermal requirements of fish–three decades of
then the coolest water in the dam is what is released study, 1940–1970. In ‘‘Biological Problems in Water Pollution’’
(C. M. Tarzwell, Ed.), pp. 110–117. U.S. Department of Health,
(in summer, the dam’s surface water is warmed by the Education, and Welfare. Robert A. Taft Sanitary Engineering
sun and the lighter warm water floats on the denser Center, Cincinnati, OH.
cooler water). This water can be more than 101C Coutant, C. C. (1987). Thermal preference: when does an asset
cooler than the water in the receiving water body. become a liability? Environ. Biol. Fishes 18, 161–172.
Elliott, J. M. (1980). Some aspects of thermal stress in freshwater
The deleterious effects of cold-water pollution can be
teleosts. In ‘‘Stress and Fish’’ (A. D. Pickering, Ed.), pp. 209–
detected in Australian rivers from 50 to 400 km from 245. Academic Press, New York.
the release point. Godfriaux, B. L., Eble, A. F., Farmanfarmaian, A., Guerra, C. R.,
The results of cold-water pollution can be similar and Stephens, C. A. (eds.). (1979). ‘‘Power Plant Waste Heat
to those of warm-water pollution in that organisms Utilization in Aquaculture.’’ Allanheld, Osmun & Co., Mon-
may die, or their physiology may be altered, and their tclair, NJ.
Hutchison, V. H. (1976). Factors influencing thermal tolerances of
communities may be disrupted. Temperatures may be individual organisms. In ‘‘Thermal Ecology II’’ (G. W. Esch and
so cold as to be lethal for a species, and sublethal R. W. McFarlane, Eds.), pp. 10–26. United States Energy
effects include the lowering of body temperatures, Research and Development Administration, Springfield, VA.
thus slowing growth and retarding reproduction (see Kennedy, V. S., and Mihursky, J. A. (1971). Upper temperature
Figs. 7 and 8 ), as well as influencing the ability to tolerances of some estuarine bivalves. Chesapeake Sci. 12,
193–204.
avoid more cold-tolerant predators. Cold-water Kennedy, V. S., Roosenburg, W. H., Castagna, M., and Mihursky,
pollution can be prevented by adding warmer J. A. (1974). Mercenaria mercenaria (Mollusca: Bivalvia):
tempering water to the cold water as it is being Temperature-time relationships for survival of embryos and
released or by taking the water for release from near larvae. Fishery Bull. 72, 1160–1166.
Krenkel, P. A., and Parker, F. L. (1969). ‘‘Biological Aspects of
the surface of the dam where it is warmer.
Thermal Pollution.’’ Vanderbilt University Press, Nashville, TN.
Langford, T. E. L. (1990). ‘‘Ecological Effects of Thermal
Discharges.’’ Elsevier Applied Science, London and New York.
SEE ALSO THE Mihursky, J. A., and Kennedy, V. S. (1967). Water temperature
FOLLOWING ARTICLES criteria to protect aquatic life. American Fisheries Society,
Special Publication No. 4, 20–32.
Schubel, J. R., and Marcy, B. C., Jr. (eds.). (1978). ‘‘Power Plant
Air Pollution from Energy Production and Use  Air Entrainment: A Biological Assessment.’’ Academic Press,
Pollution, Health Effects of  Ecosystems and New York.
Thermodynamics and
Economics, Overview
ROBERT U. AYRES
Center for the Management of Environmental Resources
Fontainebleau, France

humans, both the mass and energy content of


1. Work and Power materials and energy flows are conserved indepen-
2. Energy (Exergy) Conversion to Useful Work dently. This means that the mass and energy of inputs
3. The Economy as a Materials Processor (including water and air) are exactly the same as the
4. Further Implications of the First Law mass and energy content of outputs, including waste
of Thermodynamics products. What has changed is the availability of the
5. Further Implications of the Second Law energy in the inputs (solar insolation or fuel) for
of Thermodynamics doing potentially useful work.

Glossary 1. WORK AND POWER


exergy The maximum amount of useful work that can be
extracted from a material as it approaches thermo- Work is usually defined as a force operating over a
dynamic equilibrium with its surroundings by reversible distance, and this is scarcely helpful if force is
processes; the second law of thermodynamics implies undefined. To avoid infinite regress, the best explana-
that it is never possible to use all available or potentially tion may be historical. Work was originally con-
useful work for practical purposes.
ceptualized during the 18th century in terms of a
power The time rate at which work is performed,
measured in horsepower, watts, or Btu per hour.
horse pulling a plow or a pump raising water against
thermodynamics The science that studies the nature and the force of gravity. Since the discovery of the
transformation of energy. The word thermodynamics pendulum, it has been realized that raising a bucket
stems from the Greek words therme (heat) and dynamis of water or going up a hill converts kinetic energy
(power). into potential energy (of gravitation) and that
work The energy transfer associated with a force acting gravitational potential can be converted back into
through a distance. kinetic energy by reversing the process. In the absence
of frictional losses, the two forms of energy are
equivalent. (Of course, frictional heat becomes
The word energy is widely misused, and for the sake unavailable.) Work is also performed when a force
of precision, it is useful to introduce a different term, acting on a mass increases its velocity and, hence, its
exergy, which is less familiar but more precise. kinetic energy, which is essentially mechanical exergy.
Energy is a conserved quantity (the first law of A piston compressing a gas does work by
thermodynamics), meaning that it can only change increasing the pressure of the gas, just as a gas
form or quality (e.g., temperature) but can never be expanding against a piston can do work by turning a
created or destroyed. Energy and mass are inter- wheel. Adding heat to a compressible fluid in a fixed
convertible (according to Einstein’s formula, volume (i.e., increasing its temperature) increases its
E ¼ mc2), although nuclear reactions convert only pressure. This fact makes it possible to convert heat
infinitesimal amounts of mass into energy, whereas into work. However, it turns out that whereas kinetic
there are no practical processes for converting energy and potential energy are interconvertible without
back into mass. For all other processes of concern to loss (in principle), this is not true of heat and

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 91


92 Thermodynamics and Economics, Overview

pressure. The theory of heat engines, beginning with Potentially useful work or availability is quantifi-
the idealized engine devised by Sadi Carnot in 1816 able. By general agreement among physical scientists,
and subsequently extended to other engines (e.g., this quantity is now denoted as exergy. The physical
Rankine, Stirling), is all about converting ‘‘thermal concept underlying the term exergy also goes back to
energy’’ in the form of heat into ‘‘kinetic energy’’ Gibbs, although it has been reintroduced and
capable of doing useful work. elaborated several times under a variety of names,
Later still, it was realized (independently) by including availability, available work, and essergy.
Michael Faraday and Joseph Henry that electric The fundamentals of the theory can be found in a
and magnetic fields also constitute forms of potential number of modern texts on thermodynamics. The
energy analogous to the gravitational field and that formal definition of exergy is the maximum amount
kinetic energy and electromagnetic field energy are of useful work that can be extracted from a material
interconvertible through the phenomenon of mag- as it approaches thermodynamic equilibrium with its
netic induction. It follows that changes in electro- surroundings by reversible processes. The second law
magnetic potential, known as voltage, can also of thermodynamics implies that it is never possible to
generate a force and do work. Similarly, kinetic use all available or potentially useful work for
energy of motion, such as when a conductor moves practical purposes. There is always some waste or
through a magnetic field, can generate a voltage and loss of exergy in every process. Lost exergy corre-
a current. Normally, there are frictional losses in sponds to increasing entropy.
both processes (known as electrical resistance), but in There are four components of exergy, each with a
their absence, the two forms of energy (kinetic and corresponding type of work. The first component is
electromagnetic potential) are essentially equivalent. kinetic energy associated with relative motion.
Finally, during the late 19th century, the notion of Mechanical work associated with motion is exem-
potential energy was generalized to chemical reactions plified by the action of a water wheel or windmill.
by J. Willard Gibbs. Combustion is a process that The second component is potential field exergy,
converts chemical energy—strictly, chemical potential which is associated with gravitational or electro-
energy—into kinetic energy (motion) and electromag- magnetic field differentials. Work must be done on a
netic radiation at the molecular level. This heat energy mass escape from a gravitational field or, on a
can, in turn, perform physical work by means of a charged particle, to overcome an electrical field. The
heat engine, as mentioned previously. But there are third component is thermal exergy (from pressure or
also chemical processes that generate electrical temperature differentials), where a heat engine
potentials directly without producing (much) heat, exemplifies the conversion to work. Finally, the
as in storage batteries. Similarly, there are chemical fourth component, chemical exergy, arises from
and electrochemical processes that convert heat, differences in chemical composition. Exergy is only
chemical potential, and/or electromagnetic potentials nonzero when the system under consideration is
into chemical potential, albeit with some entropic distinguishable from its surroundings—the environ-
losses. Obvious examples are carbothermic reduction ment—in one or more of these four dimensions.
(smelting) (e.g., of iron) and electrolytic reduction The first three components of exergy described in
(e.g., of aluminum). Such processes can also be the preceding paragraph are analyzed in depth for
considered as examples of doing (chemical) work. engineering purposes, especially optimization of
It is convenient at this point to introduce the mechanical, electrical, and chemical engineering
notion of ‘‘quasi-work’’ not involving kinetic energy systems, respectively. The term ‘‘thermo-economics’’
of motion. This refers to driving an endothermic has been coined to cover this realm of intellectual
chemical process (e.g., metal smelting) or moving activity. However, for purposes of economic analysis
heat from one place to another across some thermal on a macro scale, a considerable simplification is
barrier (e.g., space heating, water heating). Electri- possible. In considering mass flows into and out of
city can be regarded as ‘‘pure’’ work because it can economic (i.e., industrial) processes, the first three
perform either mechanical or chemical work with components of exergy can be safely neglected. Only
very high efficiency, that is, with very small frictional the fourth category, chemical exergy, is important. To
losses. It is also convenient to distinguish primary calculate the chemical exergy of a mass flow stream,
and secondary work, where the latter is work done it is only necessary to have data on the chemical
by electrical devices or machines. In all of these cases, composition of that stream (together with thermo-
the physical units of work are the same as the units of dynamic characteristics of the components) vis-à-vis
energy or exergy. the environmental sink into which it (eventually)
Thermodynamics and Economics, Overview 93

flows. Obviously, to calculate chemical exergy, the longer. Inanimate sources of work exceeded animal
appropriate environmental reference state must also work in the United States for the first time in 1870.
be characterized quite precisely. However, not until the 20th century did the
contribution from fossil fuel combustion and heat
engines using fossil fuels outstrip the contribution
from biomass (agriculture and forests), and this was
2. ENERGY (EXERGY) CONVERSION the case only for industrial countries. In many
TO USEFUL WORK developing countries, the contribution of agricultural
and forest products to primary exergy flows and
Reverting to the broader theme, one can say that useful work is still dominant.
work is whatever increases the kinetic or potential For purposes of empirical estimation, it is helpful
(including chemical) exergy of a subsystem (within a to distinguish between two categories of fuel use. The
larger system where energy is always conserved by first category is fuel used to do mechanical work,
definition). Electricity can perform either mechanical meaning fuel driving so-called ‘‘prime movers,’’
or chemical work with very high efficiency, that is, including all kinds of internal and external combus-
with very small frictional losses. Hence, electric tion engines, from steam turbines to jet engines.
power can be regarded as (nearly) ‘‘pure’’ work and (Electric motors are not included in this category
is so regarded hereafter. In physical terms, power is because electricity is essentially equivalent to me-
defined as work performed per unit of time. Before chanical work, as noted previously. Electric power is
the industrial revolution, there were only four generated mostly by a prime mover of some other
sources of mechanical power of any economic sort.) The second category is fuel used to generate
significance: human labor, animal labor, water power heat as such, either for industry (e.g., process heat,
(near flowing streams), and wind power. (The advent chemical energy) or for space heat and other uses
of steam power during the early 18th century led to (e.g., hot water for washing, cooking heat for
the first quantification of power in terms of residential and/or commercial users). Historical
equivalent ‘‘horsepower’’ by James Watt.) statistics have never been compiled by official
It is helpful to distinguish primary and secondary government agencies to distinguish between these
work. Primary work is done by the first stage of two categories of fuel use, but detailed estimates for
energy conversion, for example, by means of a heat the 1900–1998 period have been compiled and
engine or hydraulic turbine. Secondary work is work published for the United States.
done by electrical devices or machines. It is also It is possible to estimate human and animal
useful to consider the notion of quasi-work done by contributions to mechanical work crudely on the
driving an endothermic chemical process or moving basis of food or feed intake multiplied by a biological
heat energy from one place to another across some conversion efficiency adjusted for the fraction of time
thermal barrier. In all of these cases, the physical spent doing physical (muscle) work. However,
units of work are the same as the units of energy or because human labor is treated independently in
exergy Electricity can also be converted into heat economic analysis, and because human muscle
with very high (100%) efficiency. However, for low- power is no longer an important component of
temperature heat, there is an apparent contradiction human labor in the industrial world as compared
arising from the fact that resistive heating for low- with eye–hand coordination and brain work, this
temperature heat is likely to be less efficient than the article neglects it hereafter. (The magnitudes would
use of (electric) heat pumps. For this reason (among be trivial in any case.) However, work done by
others), it is convenient to use the term ‘‘second law animals, especially on farms, was still important at
of efficiency’’ introduced by the well-known summer the beginning of the 20th century and remained
study sponsored by the American Physical Society. significant until midcentury, when trucks and trac-
Prior to the 18th century, essentially the only tors displaced horses and mules. Recent estimates by
source of chemical work (needed mainly for iron and several authors converge on 4% efficiency or 25 units
copper smelting, ceramics and glass manufacturing, of feed per unit of work. Higher precision is probably
and cement, quicklime, and plaster of Paris produc- unnecessary for the quantitative estimates in the U.S.
tion) was heat from charcoal-fired furnaces. Coal case because the magnitude of animal work is
had entirely replaced charcoal in England before relatively small compared with inanimate power
1800 due to prior deforestation. In the United States, sources. In any case, animal conversion efficiency
the substitution process took roughly a century does not change over time.
94 Thermodynamics and Economics, Overview

TABLE I
Average Exergy Efficiency of Performing Work (Percentages)

Electric power Other mechanical


generation and work (e.g., auto High-temperature Medium-temperature Low-temperature
Year distribution transport) industrial heat (steel) industrial heat (steam) space heat

1900 3.8 3 7 5 0.25


1910 5.7 4.4
1920 9.2 7
1930 17.3 8
1940 20.8 9
1950 24.3 9
1960 31.3 9
1970 32.5 8 20 14 2
1980 32.9 10.5
1990 33.3 13.9 25 20 3

Of course, this is not true of other types of energy to value. It also allows the interpretation of
conversion systems. Again, official historical time technological progress on a macro level in terms of
series do not exist except in the case of electric power the efficiency of conversion of exergy inputs-to-
generation, but crude estimates have been prepared service ( ¼ work) outputs.
for the U.S. case, as shown in Table I. From an evolutionary perspective, the economic
system can be viewed as an open system that extracts
and converts raw materials into products and useful
services. The economy consists of a sequence of
3. THE ECONOMY AS processing stages: extraction, conversion, production
A MATERIALS PROCESSOR of finished goods and services, and final consumption
(and disposal of wastes). Most of the nonstructural
The economy has been interpreted as a self-organized materials are discarded in degraded form. These
system, far from thermodynamic equilibrium. It conversion processes correspond to exergy flows,
converts low-entropy, low-information materials subject to constraints (including the laws of thermo-
into high-entropy wastes and high-information pro- dynamics). The objective of economic activity can be
ducts and services. Put another way, the economy interpreted as a constrained value maximization
creates useful order from natural disorder and problem (or as a cost minimization problem). Value
embodies this useful order (mostly) in material form, is conventionally defined in terms of preferences for
using large quantities of exergy from biomass (i.e., consumption goods or services.
the sun) or from fossil fuels. The simplest model representation of the economy
Energy (exergy) flux is transformed into an consists of a single sector producing a single all-
intermediate service (‘‘useful work’’), driving ma- purpose product that is both a capital good and a
chines and substituting for human and animal labor. consumption good. This simplification is widely
By driving down the cost of other products and, thus, accepted in undergraduate textbooks, despite its lack
increasing demand and production, this long-term of realism, because two- or three-sector models are
substitution has been the dominant driver of econom- far more difficult to analyze mathematically yet not
ic growth during the past two centuries. In this much more realistic. For example, one might
context, exergy or exergy services (useful work) can consider a model of two sectors with a single
be regarded as a factor of production, playing a role intermediate product. The first sector would include
complementary to capital services and labor services. extraction and primary processing (e.g., to finished
This interpretation explains the close observed materials). The second sector would include manu-
correlation between exergy input and economic facturing and service activities. Obviously, three or
output without any necessary implication that energy more sectors would add a little more to the realism of
(exergy) content of physical products is proportional the scheme, but the mathematics for a three-sector
Thermodynamics and Economics, Overview 95

model is nearly impenetrable. Of course, the more considered:


stages in the sequence, the more necessary it is to
take into account feedbacks (e.g., from finished UR ¼ fR R ð3aÞ
goods to extraction of primary processing sectors).
The N-sector version would be an input–output UE ¼ fE R ð3bÞ
model of the Leontief type in which the sequential
structure tends to be obscured. where R is a measure of the total exergy content of
An adequate description of a materials processing all natural resource flows entering the economic
system must include materials and energy flows as system and E is a measure of the commercial fuels
well as money flows. These flows and conversion (coal, petroleum, and gas as well as hydro power and
processes are governed by the laws of thermody- nuclear heat). The efficiency measures fR and fE are
namics as well as by accounting balances. At each defined as total useful work output divided by exergy
stage, and until the final one, mass flows are split by input. The more general definition fR takes into
technological means into ‘‘useful’’ and waste cate- account animal work (and biomass inputs), whereas
gories. Value (and information) is added to the useful the narrower definition considers only fossil fuels.
flows, reducing their entropy content and increasing Multiplying historical resource (exergy) inputs by the
their exergy content per unit of mass (thanks to estimated efficiencies, and summing over fuels and
exogenous inputs of exergy), whereas the high- types, one obtains the results shown in Fig. 1.
entropy wastes are returned to the environment.
From a very macroscopic perspective, the output
of the economic system—viewed as a materials/ Exergy conversion efficiency ratio τ 0.30 - Using R and UR
exergy converter—can be decomposed into a product Using E and UE
0.25 -
of successive conversion stages with corresponding
efficiencies, viz. 0.20 -
IO1 IO1 GDP
GDP ¼ R     :::  ; 0.15 -
R IO2 IOn
¼ R  f1  f2  ::: g ð1Þ 0.10 -

where f1 is the conversion efficiency of the resource 0.05 -


(exergy) inflow R into the first-level intermediate
0- -

-
-

-
-

-
product, f2 is the conversion efficiency to the second- 1910 1920 1930 1940 1950 1960 1970 1980 1990
level intermediate product, and so forth. The term g
Year
is just the ratio of output to the last intermediate
product. The necessary feedbacks are implicitly FIGURE 1 Exergy conversion efficiency for two definitions of
work and exergy, United States, 1900–1998.
taken into account in the efficiency definitions.
As a first approximation, it is convenient to
assume a two-stage system with a single intermediate 40 - - 2.5
Primary work (left scale)
product, U. This intermediate product can conveni-
Primary work exergy/GDP ratio
Primary work/GDP ratio (right scale)
ently be identified as exergy services or useful work. 35 -
Primary work exergy (eJ)

- 2.0
Then, 30 -

Y ¼ Rfg ¼ Ug; ð2Þ 25 - - 1.5


where f is the overall technical efficiency of conver- 20 -
sion of ‘‘raw’’ exergy inputs R to useful work output 15 -
- 1.0
U.
10 -
If we define g ¼ Y=U then equation (1) is an - 0.5
identity, not a theory or model. However, the right- 5 -
hand side of Eq. (1) might be interpreted as an 0 - 0
1910 -

1920 -

1950 -

1970 -

1990 -
1960 -

2000 -
1930 -

1940 -

1980 -

aggregate production function provided that g is a


suitable homogenous function of order zero whose
arguments are labor L, capital K, and resource Year
(exergy) flows R or useful work U. Effectively, there FIGURE 2 Primary work and primary work/GDP ratio, United
are two definitions of useful work U to be States, 1900–1998.
96 Thermodynamics and Economics, Overview

The useful work (left axis) and work/GDP ratio ability must depend, to a large extent, on demater-
(right axis) are also shown for the more general case ialization and ‘‘decoupling’’ of economic welfare
(fR) in Fig. 2. The useful work/gross domestic from the natural resource base.
product (GDP) ratio exhibits a pronounced inverted The mass balance condition provides powerful
‘‘U’’ shape, with a clearly defined peak around the tools for estimating process wastes and losses for
time of the Arab oil boycott and the so-called industrial processes, or even whole industries, where
‘‘energy crisis’’ during 1973–1974. these cannot be determined directly. Even where other
data are available, the mass balance condition offers a
means of verification and interpolation to fill in gaps.
4. FURTHER IMPLICATIONS The popular notion of perfect recycling (by
OF THE FIRST LAW industrial analogues of decay organisms) with ‘‘zero
OF THERMODYNAMICS emissions’’ can be ruled out. It violates the first law of
thermodynamics. In fact, the notion that ecosystems
The first law of thermodynamics (conservation of are perfect recyclers is false. The biosphere recycles
mass) implies that mass outputs from any process carbon and nitrogen with fairly high efficiency,
equal mass inputs. However, useful outputs are almost although coal and petroleum are actually trans-
invariably a fraction of total inputs—sometimes a formed biological wastes. Other elements needed by
small fraction (as in the case of refining low-grade living systems, including phosphorus, sulfur, calcium,
ores). In some cases, the output mass is entirely was- and iron, are not recycled biologically at all. Chalk,
ted, as with combustion processes. Thus, wastes are iron ores, and phosphate rock all are biological
an unavoidable by-product of physical production. wastes. The ways in which materials are extracted,
On the other hand, the law of mass conservation transformed, and used in the real industrial economy,
is far from trivial. The so-called ‘‘mass balance and the environmental implications, are the sub-
principle’’ states that mass inputs must equal mass stance of the new field of industrial ecology.
outputs for every process (or process step) and that
this must be true separately for each chemical
element. All resources extracted from the environ- 5. FURTHER IMPLICATIONS
ment must eventually become unwanted wastes and OF THE SECOND LAW
pollutants. Waste emissions are not exceptional OF THERMODYNAMICS
phenomena that can be neglected or treated as
exceptions. The standard multisector economic Many economists, as well as most physical scientists,
model of commodities produced from other com- assume that the relationship between economics and
modities is misleading. the second (entropy) law of thermodynamics con-
It follows, too, that virtually all products are cerns resource depletion and scarcity. In this belief.
really joint products except that wastes have no they are, in a sense, disciples of the late Nicolas
positive market value. On the contrary, in most Georgescu-Roegen, who famously said, ‘‘The entro-
cases, they have a negative value. A producer of py law is the taproot of economic scarcity’’ and many
wastes will need a ‘‘sink’’ for disposal. Options for other words to that effect. As noted at the beginning
free disposal are becoming rarer. Producers must of this article, the economy is a system that extracts
increasingly pay to have waste residuals removed and low-entropy resources from the environment and
treated, safely disposed of, or recycled. Therefore, rejects high-entropy wastes back into the environ-
the implication that there exists a price-determined ment. Although solar energy was the original source
equilibrium between supply and demand (of com- of fossil fuels that accumulated in the earth’s crust
modities) must be modified fundamentally. during the Carboniferous Era several hundred
This means, among other things, that ‘‘external- million years ago, humans are dissipating those
ities’’ (market failures) associated with production resources at a rate thousands or even millions of
and consumption of materials are actually pervasive times faster than the resources were created.
and that they tend to grow in importance as the An aspect of the depletion argument concerns
economy itself grows. Materials recycling can help recycling. One consequence of the second law of
(indeed it must), but recycling is energy (exergy) thermodynamics is that recycling can never be 100%
intensive and imperfect (thanks to the second law of efficient. At first sight, this would imply that scarce
thermodynamics), so it cannot fully compensate for a materials such as platinum must actually disappear
declining natural resource base. Long-term sustain- from the surface of the earth, and this is not the case.
Thermodynamics and Economics, Overview 97

What is true is that as the quality of the resource base Ayres, R. U. (1999). The second law, the fourth law, recycling, and
declines toward the average in the earth’s crust, the limits to growth. Ecol. Econ. 29, 473–484.
Ayres, R. U., and Kneese, A. V. (1989). Externalities: Economics
amount of exergy required to extract and reconcen- and thermodynamics. In ‘‘Economy and Ecology: Towards
trate it increases to a maximum. In a finite planetary Sustainable Development’’ (F. Archibugi and P. Nijkamp, Eds.),
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Economics: Digest of Ten Great Classics’’ (L. D. Abbott, Ed.),
pians’’ (who do not) remains unresolved. It is, in any pp. 191–270. Doubleday, New York.
case, beyond the scope of this article. Mayumi, K. (1993). Georgescu-Roegen’s fourth law of thermo-
dynamics: The modern energetic dogma and ecological salva-
tion. In ‘‘Trends in Ecological Physical Chemistry’’ (L. Bonati, U.
Consentino, M. Lagsagni, G. Moro, D. Pitea, and A. Schiraldi,
SEE ALSO THE Eds.), pp. 351–363. Elsevier, Amsterdam, Netherlands.
FOLLOWING ARTICLES Meadows, D. H., Meadows, D. L., Randers, J., and Behrens,
W. W., III (1972). ‘‘The Limits to Growth: A Report for the
Club of Rome’s Project on the Predicament of Mankind.’’
Aggregation of Energy  Economic Systems and Universe Books, New York.
Energy, Conceptual Overview  Economic Thought, Prigogine, I. (1976). Order through fluctuation: self-organization
History of Energy in  Emergy Analysis and and social system. In ‘‘Evolution and Consciousness’’
Environmental Accounting  Entropy and the Eco- (E. Jantsch and C. H. Waddington, Eds.), pp. 95–133.
nomic Process  Exergy Analysis of Energy Systems  Addison–Wesley, Reading, MA.
Smith, V. K., and Krutilla, J. (eds.). (1979). ‘‘Scarcity and Growth
Exergy: Reference States and Balance Conditions  Revisited.’’ Johns Hopkins University Press, Baltimore, MD.
Marx, Energy, and Social Metabolism  Net Energy Sraffa, P. (1960). ‘‘Production of Commodities by Means of
Analysis: Concepts and Methods  Physics and Commodities: Prelude to a Critique of Economic theory.’’
Economics of Energy, Conceptual Overview  Cambridge University Press, Cambridge, UK.
Thermodynamics, Laws of Szargut, J., Morris, D. R., and Steward, F. R. (1988). ‘‘Exergy
Analysis of Thermal, Chemical, and Metallurgical Processes.’’
Hemisphere Publishing, New York.
von Neumann, J. (1945). A model of general economic equili-
Further Reading
brium. Rev. Econ. Stud. 13, 1–9.
Ayres, R. U. (1994). ‘‘Information, Entropy, and Progress.’’ Walras, L. (1874). ‘‘Elements d’economie politique pure.’’ Corbaz,
American Institute of Physics, New York. Lausanne, Switzerland.
Ayres, R. U. (1998). Eco-thermodynamics: Economics and the Yergin, D. (1991). ‘‘The Prize: The Epic Quest for Oil, Money, and
second law. Ecol. Econ. 26, 189–209. Power.’’ Simon & Schuster, New York.
Thermodynamic Sciences,
History of
KEITH HUTCHISON
University of Melbourne
Melbourne, Australia

Mayer, Julius Robert (1814–1878) German physician.


1. The Carnot Memoir of 1824 One of the main discoverers of energy conservation.
Rankine, William James Macquorn (1820–1872) Scottish
2. Thomson’s Early Enthusiasm for Carnot (Late 1840s)
engineer who developed a strange kinetic thermody-
3. The Clash with Energy Conservation namics around 1850. He introduced entropy into
4. Clausius Resolves Part of the Clash (1850) thermodynamics but denied dissipation. He made the
5. Rankine’s Vortex Hypothesis (1850) subject accessible to engineers.
6. Thomson Reconciles Dissipation with Regnault, Henri Victor (1810–1878) French physicist
Energy Conservation who, in the mid-19th century, carried out a detailed
7. Interpreting the Second Law and authoritative study of the thermal properties of
steam and other gases.
8. The Phenomenological Style of Thermodynamics
Thomson, James (1822–1892) British engineer, brother of
William.
Thomson, William, later Baron Kelvin of Largs (1824–
1907) British physicist/engineer who took up the
Carnot theory in the late 1840s. Later introduced
Glossary Carnot’s dissipation into thermodynamics.
Boltzmann, Ludwig (1844–1906) Austrian physicist who
sought (initially) a purely mechanical reduction of the
second law but later argued it was only a statistical The fact that thermal energy cannot be fully
truth. transformed into mechanical work has far-reaching
Carnot, Nicolas Léonard Sadi (1796–1832) French mili-
consequences. Thermodynamics is the science that
tary engineer, author of the 1824 ‘‘Reflections,’’ which
posed the problems (and articulated the core reasoning)
develops these consequences. It emerged in the
that later generated the discipline of thermodynamics. approximately 30 years that followed Sadi Carnot’s
Clapyeron, Benoit-Pierre Émile (1799–1864) French en- amazingly fertile 1824 study of the efficiency of
gineer who published an account of Carnot’s theory in steam engines when the key ideas in that study were
1834. reconciled (in the early 1850s) with the principle of
Clausius, Julius Rudolf Emmanuel (1822–1888) German energy conservation (as consolidated in the late
physicist who created the discipline of thermodynamics 1840s). This article is a survey of the thermodyna-
by reconciling the core of Carnot’s memoir with the mical thinking of those three decades.
energy conservation of Joule, Helmholtz, Mayer, et al.
Helmholtz, Hermann von (1821–1894) German physicist/
physiologist. One of the main discoverers of energy
conservation, notably in his 1847 memoir, ‘‘On the 1. THE CARNOT MEMOIR OF 1824
Conservation of Force.’’
Joule, James Prescott (1818–1889) British physicist. One 1.1 The Puzzle of Steam Engine Efficiency
of the main discoverers of energy conservation. He gave
it much experimental support in the 1840s. In England, around the end of the 18th century there
Maxwell, James Clerk (1831–1879) British physicist. One was an extraordinary increase in the efficiency with
of several to argue that the second law was only a which coal could be converted into useful work. This
statistical truth. was made possible by a series of improvements, both

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 99


100 Thermodynamic Sciences, History of

major and minor, in the design of steam engines, the are astonishing in their sophistication. A good
most notable of which were those introduced by James example of this is the so-called column-of-water
Watt (the separate condenser, double action, and engine, whose appearance and action are both very
expansive working), together with a growing tendency similar to those of a high-pressure steam engine and
to use increasingly higher steam pressures. Progress so unlike the crude water wheel we might unreflect-
was so rapid—from 1775 to 1825 there was a 10-fold ingly imagine to be the typical product of the age.
increase in efficiency—that the question came to be Such an engine (and many other water engines)
asked as to whether the motive power of heat is could be run backwards to act as a pump, and in the
unbounded, whether the possible improvements in ideal situation in which all friction and similar
steam engines have an assignable limit—a limit that imperfections were absent, the machine would
the nature of things will not allow to be passed by any produce exactly as much work in consequence of
means whatever—or ‘‘whether, on the contrary, these the descent of a unit of water from its supply
improvements may be carried on indefinitely’’. reservoir to its exhaust as would be required to pump
that same unit of water from the exhaust back to the
supply with the engine running backwards. Such
1.2 Carnot’s Key Insight: Cold Is Needed could be called a (perfectly) reversible water engine.
to Produce Work Furthermore, no water engine could be more
efficient that a reversible one. If another engine were
The challenge of answering this question was taken
to be capable of producing more work than a
up by a young French Army engineer, Sadi Carnot,
reversible one, it could be coupled to a reversible
who in 1824 published a masterly memoir on the
engine, with the latter used as a pump, consuming
subject, ‘‘Reflections on the Motive Power of Heat.’’
only part of the work of the former while supplying
In order to produce work by thermal means, Carnot
its total fuel (i.e., water flows). Therefore, the
asserted (recalling Watt’s separate condenser), it is
combination would be producing work without
not sufficient to have a source of heat: It is also
making any demands on its environment and without
necessary to have a ‘‘source’’ of cold—that is, a
suffering any net internal change. Such perpetual
supply of some substance at a low temperature that
motion, it was concluded in the 18th century, was
can be used to absorb the ‘‘exhaust’’ heat that (he
impossible. So there is a clear limit to the efficiency of
proposed) every thermal engine necessarily produces.
a water engine, and this limit depends on the height
He theorized that if the temperature of these two
of the intake and exhaust reservoirs. Furthermore,
sources is fixed, there is a maximum to the amount of
the limit is the actual amount of work produced by a
work that may be derived by the extraction of unit
reversible engine acting over the same drop.
quantity of heat from the hot source. This maximum,
All these theories had been developed by the
he indicated, is the amount of work done by any
beginning of the 19th century, and they are import-
thermal engine working reversibly between the two
ant here because what Carnot did to solve his
temperatures in question. Furthermore, Carnot was
problem was to borrow (and enhance) the reasoning
able to calculate a few rough estimates of his
of the water engineers and reapply it to heat engines.
maxima: He could not do more because he lacked
the necessary empirical data.

1.4 Heat Conservation and


1.3 Water Engines and Reversibility Caloric Theory
The reasoning Carnot used to support his conclu- There is however one vital precondition that must be
sions is particularly important in that it was the satisfied so that the analogy between heat and water
persuasiveness of his arguments that was later to engines is complete enough for the arguments evolved
ensure their survival in the face of experimental for water engines to retain their validity when applied
evidence that directly contradicted the theory of heat to heat engines: No heat must be consumed during the
he had used. To appreciate this reasoning, it is production of work by heat engines. Just as a water
helpful to consider the development of the theoretical engine works by lowering a fixed quantity of water
understanding of water power, a close rival to steam from a high reservoir to a low one, so too must it be
in the 18th century. This century was one of rapid assumed that a heat engine operates by ‘‘lowering’’ an
progress in the harnessing of the power of falling invariable quantity of heat from a region of high
water, and some of the designs produced by engineers temperature to a region of low temperature. Under
Thermodynamic Sciences, History of 101

this assumption (now known to be false), one can French engineer, Clapyeron, who in 1834 published a
argue for heat engines just as has already been done summary of the original, rephrasing much of the
for water engines, and the analogy is so close that analysis in more mathematical form (including the PV
there is no point in repeating the argument here. diagrams so common in thermodynamics today).
To Carnot, this crucial assumption of heat Clapyeron did make one important conceptual
conservation was a natural one to make and he addition, however. He supplied something missing
adopted it explicitly. It was inherent in the caloric from the Carnot memoir—a reversible design for an
theory, then the most widely accepted explanation of ideal steam engine. (Despite the context that moti-
the nature of heat and especially favored in France. vated his study, Carnot had not been able to solve this
According to this theory, heat was (or behaved like) small riddle.) In any case, through Clapyeron’s
an indestructible fluid (‘‘caloric’’), whose flows in and revision, the theory came to the attention of the
out of bodies accounted for their various thermal young British physicist–engineer William Thomson
properties. Therefore, by adopting the caloric theory, (later Lord Kelvin) and the German physicist
and by borrowing the beginnings of a line of Clausius, both of whom were strongly attracted to it.
reasoning from his predecessors in hydraulic engineer-
ing, Carnot was able to devise a remarkably convin-
cing solution to the problem he had set himself—a
solution that had some interesting consequences. 2. THOMSON’S EARLY
It enables one to impose, seemingly a priori, a ENTHUSIASM FOR CARNOT
variety of restrictions on the thermophysical proper- (LATE 1840S)
ties of all substances and hence to deduce some of
their physical characteristics from a knowledge of Thomson saw that the Carnot theory could be used to
apparently quite different ones. The most startling define a temperature scale with the long sought-after
early example of this was the deduction by James property of being independent of the physical
Thomson (using Carnot’s reasoning approximately 25 characteristics of any narrow class of substances,
years after Carnot had set it down) of the hitherto and he published such a definition of ‘‘absolute
unsuspected fact that since water expands on freezing, temperature’’ in 1847. The principle behind it is
the melting point of ice must decrease as the pressure simple: Unit temperature interval is defined as that
exerted on it increases. Or else, the Carnot logic temperature interval through which the reversible
demands, a perpetual motion machine is possible. The descent of unit quantity of heat produces unit quantity
power of such reasoning was to prove most attractive of work. Carnot’s logic shows that this depends on
to some of Carnot’s later followers. It eventually nothing more than the two temperatures, exactly as
became a standard feature of thermodynamics. required. Furthermore, Thomson, in this and a later
paper, systematically extended some of Carnot’s rough
calculations (using data recently obtained by Re-
1.5 Irreversibility and Dissipation
gnault) to establish the numerical connection between
Furthermore, the Carnot theory implies that whenever such an abstract scale and the practical scales in
heat descends from a region of high temperature to everyday use. (It turned out to be approximate
one of low temperature without being used to coincidence.) In doing so, Thomson was also able to
produce the maximum possible work—whenever heat improve Carnot’s estimates so far as to tabulate
descends irreversibly (e.g., as it does in simple heat systematically the quantity of work that unit quantity
conduction)—there takes place concomitantly some of heat could produce in descending reversibly from
sort of destruction of work capability: The universe is the higher to the lower of any pair of temperatures
less capable of doing work after the descent than it chosen from the range covered by his data, 0–2301C.
was before the descent. Irreversibility, in other words, A few years later, Thomson was able to verify his
implies permanent waste. Carnot did not stress this brother’s prediction (mentioned previously) that the
consequence of his analysis, but this key thermo- freezing point of water is depressed by pressure, a
dynamic idea was taken up by his followers. totally unexpected consequence of Carnot’s theory.
At first, followers were few and far between It is not difficult to understand why Thomson
because Carnot’s discussion was very abstract and found the analysis attractive. Apart from the inherent
had little in common with the physics and theoretical elegance of its reasoning, it (i) led to an effectively
engineering of his contemporaries. The first person to complete solution to the problem of evaluating the
make something substantial out of it was another motive power of heat; (ii) provided a basis for
102 Thermodynamic Sciences, History of

absolute thermometry; and (iii) showed itself capable 1850, he published a major paper, ‘‘On the Motive
of discovering new phenomena, well beyond the Power of Heat, and on the Laws which Can Be
imagination of its creator. Deduced from It for the Theory of Heat,’’ in which
he discovered the new science of thermodynamics by
showing ‘‘that [Joule et al.’s] theorem of the
3. THE CLASH WITH equivalence of heat and work, and Carnot’s theorem,
ENERGY CONSERVATION are not mutually exclusive, but that, by a small
modification of the latter, which does not affect its
Yet it was wrong, as Thomson was slowly and principal part, they can be brought into accordance.’’
reluctantly forced to admit. His personal mentor was What was Clausius’s approach? Above all, he
Joule, but Joule was only one of a small group of men accepted unequivocally the new energy principle and
(Mayer and Helmholtz were the other principals) who, attempted to salvage as much of the Carnot theory as
in the 1840s, gradually persuaded the scientific world possible. In fact, he found that he could salvage so
to give up the belief that heat was conserved and to much that what was lost might reasonably be
replace that axiom with the principle of energy described as inessential. In particular, he perceived
conservation, later known as the first law of thermo- that although the Carnot theory was correct in
dynamics. This new doctrine spread remarkably fast, demanding a descent of heat when work was
and by 1850 it was widely accepted that heat and produced thermally, it was wrong in assuming
work were interconvertible. Thus, heat did not behave nothing but a descent: Clausius saw that in reality
at all like the fluid caloric, and this fact utterly both a descent and a destruction took place.
undermined Carnot’s argumentation. Carnot had been Furthermore, Clausius saw that the axiom of heat
suspicious of the caloric theory in the 1824 memoir but conservation was not really inherent in Carnot’s
still managed to put it to good use. His posthumous conclusions but was merely used as a tool to establish
papers show that he soon came to the conclusion that them. Clausius realized that if this axiom were
heat could be transformed into work and that he even replaced by a different one, then new arguments
managed to estimate the conversion factor. might be devised to justify much the same conclu-
Joule objected to the Carnot theory on two sions as Carnot had deduced from the false premise.
grounds and urged its abandonment. First, it regarded Clausius was able to do this, the most important
the essence of the process whereby work is generated example being his new deduction that a reversible
thermally as descent of heat, whereas Joule saw it as a engine is one of maximal efficiency.
destruction. Second (and apparently more important Carnot argued that if a reversible engine absorb-
for Joule and colleagues), it demanded the annihila- ing heat at one temperature and releasing it at
tion of motive power whenever an irreversible another is not the most efficient of all engines
(thermal) process took place. To Joule, the universe absorbing and releasing heat at the same tempera-
was equipped with a fixed quantity of motive power, ture, then a perpetual motion would be possible.
and no natural process could cause either an increase Clausius could only establish that if the reversible
or a decrease in this total: The most that could engine were not the most efficient, then a heat pump
happen was that it could alter its form. would be theoretically constructible capable of
Thomson was one of the first to appreciate the pumping heat from a region of low temperature to
force of Joule’s evidence, but he could not accept a region of high temperature without consuming any
Joule’s recommendation to abandon Carnot. Thom- mechanical work (later called a perpetual motion of
son knew that no matter how correct Joule seemed to the second type). Such a pump he declared to be
be, there was still a lot of truth in Carnot’s theory. impossible because heat ‘‘always shows a tendency to
The conflict between these two theories was a equalize temperature differences and therefore to
paradox for Thomson, and he looked to further pass from hotter to colder bodies.’’
experiment to resolve it. The conclusion that the reversible engine is that of
greatest efficiency remains unchanged. Only the
argument justifying the conclusion has been altered,
4. CLAUSIUS RESOLVES PART OF and even then, the new argument retains the spirit of
THE CLASH (1850) the old. Carnot’s premise that heat is conserved is
replaced by the premise just quoted. This is the first
In fact, the paradox was soluble without further published version of what is now called the second
experiment, as Clausius was soon to reveal. In May law of thermodynamics.
Thermodynamic Sciences, History of 103

Clausius also showed that his new approach was might lead to some sort of theory of the convertibility
just as fertile as that of Carnot, and that it led to of heat and work.
similar interrelations between the physical character-
istics of substances. In particular, Clausius showed
that the new theory also requires that the freezing 5.1 Rankine Introduces the
point of water be lowered by pressure or else one of Entropy-Function
the heat pumps forbidden by the second law would It is remarkable that Rankine’s vortex hypothesis did
be constructible. The new theory also revealed not lead to some sort of theory, but (despite its
unsuspected facts: Clausius deduced from it the complete and justifiable rejection by modern science)
apparently paradoxical result that saturated steam it led to a variety of results identical to the correct
has a negative specific heat (i.e., as steam expands thermodynamic ones. Nor did Rankine use his model
under conditions of saturation it absorbs heat, to provide an alternative derivation of such results
whereas its temperature decreases). after they had been discovered by someone else: He
himself used the model to make discoveries. The
negative specific heat of saturated stream is one
5. RANKINE’S VORTEX
example. Another is Rankine’s discovery of the
HYPOTHESIS (1850) existence of entropy (an achievement often falsely
attributed to Clausius). By a devious path (which is
Clausius was not the first to publish the result just ignored here), the vortex theory led Rankine to
mentioned. Three months before Clausius’s publica- conclude that many materials will possess a state
tion, the Scottish engineer Rankine (later a colleague function, typically S(P, V) satisfying the fundamental
of William Thomson’s at the University of Glasgow) equation dH ¼ T  dS, where T is absolute
had come to the same conclusion in one of two temperature, and dH is the heat absorbed by the
abstruse papers outlining a complicated mechanical material during some infinitesimal change. It can
theory of heat. Rankine’s papers, read in February easily be seen from this equation that S is the entropy,
1850, are the very first to base a significant theory of although in 1854 Rankine called it the thermody-
the transformability of heat into work on energy namic function. He introduced it as some sort of
conservation. However, they are not seen as founding thermodynamical potential (a function that enabled
the science of thermodynamics because they contain him to perform important calculations) but had
virtually nothing recognizable as phenomenological absolutely no idea of its connection with Carnot’s
thermodynamics. important notion that irreversible thermal processes
In contrast, they deal with the internal mechanics were wasteful. He did not realize that dH is only
of a characteristic vortex model of the atom, which equal to T  dS for reversible changes and at one
Rankine had proposed to explain the thermal and point even announced that his thermodynamic
radiant properties of matter. According to this model function was conserved.
(later transformed into the Bohr atom), macroscopic
matter is imagined as composed of atoms (or
molecules; the distinction is irrelevant), assumed for
mathematical conveniences to be spherical, with each 6. THOMSON RECONCILES
consisting of a nucleus surrounded by a swirling gas- DISSIPATION WITH
like atmosphere. Each portion of this subatomic ENERGY CONSERVATION
atmosphere rotates in a small circle about the radius
connecting it to the nucleus. Centrifugal effects are In his 1850 paper, Clausius gave little attention to
induced by the swirling, and upon elastic transmis- Carnot’s notion of dissipation, but this was soon
sion to the exterior of the substance in question and rescued by William Thomson. Approximately 1 year
modification by interatomic actions at a distance, after Rankine’s early papers, and approximately 10
they generate the external pressure exerted. Hence, months after Clausius’s breakthrough, Thomson
Rankine was able to establish relationships between published his own solution to the paradox that had
the external pressure and the kinetic energy of previously confronted him in the first of a long series
subatomic thermal motions. The latter he regarded of papers titled ‘‘On the Dynamical Theory.y’’ In
as simply the heat ‘‘contained’’ within the substance, essence, Thomson’s solution is identical to that of
and the former is what does external work. There- Clausius, although Thomson recognized more clearly
fore, it is not too difficult to accept that such a model than Clausius that a distinct new law had been
104 Thermodynamic Sciences, History of

discovered: He declared that ‘‘it is impossible, by ‘‘transformation’’) to parallel the word energy.
means of inanimate material agency, to derive Together, these two magnitudes seemed to summarize
mechanical effect from any portion of matter by the whole of this new branch of physics.
cooling it below the temperature of the coldest of the
surrounding objects.’’ (The restriction here reflects
Thomson’s suspicion that biological processes were
exempt from the second law.) 7. INTERPRETING THE
Thomson published quite extensively on the SECOND LAW
subject during the next few years, concentrating on
the rectification of his earlier work on the Carnot With these statements articulated, the foundations of
theory. He modified the old definition of absolute the subject were complete. However, an obvious
temperature into that now used today, simply to question remained: How were the newly discovered
retain the convenient coincidence with everyday laws of thermodynamics to be understood? With the
thermometers. Oddly, this purely pragmatic decision first law, there was little problem. When heat
had the effect of giving the new scale an absolute zero. conservation was abandoned in the 1840s, it was
(However, such an idea was not surprising since the universally taken for granted that heat was simply
caloric theory had made it seem quite natural that some form of microscopic motion. Such an idea had
there be some natural minimum to temperature— been around since the 17th century, and its compe-
when all caloric had been extracted from a body.) titor was now eliminated. Thus, the new account was
This scale was subjected to close scrutiny in the long referred to as the dynamical theory of heat (or
series of Joule–Thomson experiments, performed to ‘‘thermodynamics’’ in condensed form). However, it
remove doubt about some of the empirical parameters was well-known that mechanical energy was con-
vital to a range of thermodynamic calculations. He served in many dynamical systems, most notably
also returned to Joule’s earlier puzzle of reconciling those that were isolated and whose internal forces
the losses apparently generated by irreversibility with were conservative. Helmholtz had made much of this
the conservation asserted by the first law. fact in his 1847 case for energy conservation.
In an 1852 paper titled ‘‘On a Universal Tendency Dynamics, however, provides no obvious clue to
in Nature to the Dissipation of Energy,’’ Thomson the second law. It is true that Rankine had seemed to
resolved this paradox in much the same way that derive the entropy dynamically, but he had totally
Clausius had resolved Joule’s other dilemma—by ignored dissipation. In any case, his account remained
simply thinking things through. Energy, Thomson tied to the details of a very speculative hypothesis
affirmed, is always conserved. However, it shows a about the microstructure of matter. Despite Rankine’s
spontaneous tendency to transform (or dissipate) later attempts to generalize the theory, none of his
itself into forms that are less and less accessible to contemporaries saw Rankine as providing acceptable
humanity. Therefore, it is the availability of energy, foundations for the new subject (although Rankine’s
and not energy itself, that is destroyed by irreversi- famous textbooks distilled the subject for application
bility. In consequence, added Thomson, the earth is by engineers). For a while, it seemed (especially to
gradually dying and will one day be unfit for human Clausius and Boltzmann in the late 1860s and early
habitation. 1870s) that there might be some complicated
In 1865, this idea was finally attached to Rankine’s dynamical function that tended to increase with time,
thermodynamic function when Clausius wrote a but a potent objection was raised against this
systematic review of his work of the past 15 years. proposal. Conservative dynamical systems appear to
Clausius had been hoping to find some parameter be completely reversible: If a dynamical function
whose values indicated whether a transformation was increases during some change of state, it will have to
allowed by the second law. He was never able to decrease when that state change is reversed. There-
complete this task, but his research had shown that fore, no purely mechanical function can always
the dissipation noted by Thomson and Carnot had increase. In the end, it was concluded that the second
the effect of increasing Rankine’s state function. law is purely statistical. As Maxwell stated, ‘‘The
Furthermore, this fact was substantially equivalent to second law of thermodynamics has the same degree
earlier versions of the second law, so Rankine’s of truth as the statement that if you throw a
function clearly captured something very profound. tumblerful of water into the sea, you cannot get the
Accordingly, Clausius gave the function a new name, same tumblerful of water out again.’’ His ‘‘demon’’
entropy, deliberately adapted (from a Greek word for was introduced (in correspondence, in the late 1860s)
Thermodynamic Sciences, History of 105

to defend this view: It was a microscopic intelligence was possible to eliminate a source of uncertainty by
apparently capable of circumventing the second law avoiding the microdynamics, he did it (and did it
by separating the faster molecules in a gas from the well). Since then, the practice has remained.
slower ones. However, this made it seem that thermal
motions were not intrinsically random, just beyond
human manipulation. Later, a more profoundly
stochastic interpretation was adopted. SEE ALSO THE
FOLLOWING ARTICLES
8. THE PHENOMENOLOGICAL Conservation of Energy Concept, History of  Energy
STYLE OF THERMODYNAMICS in the History and Philosophy of Science  Entropy 
Heat Transfer  Temperature and Its Measurement 
To pursue this question further would take us into Thermodynamics and Economics, Overview  Work,
other branches of physics, kinetic theory, and Power, and Energy
statistical mechanics because thermodynamics tradi-
tionally avoids dealing with the microstructure of
matter and focuses primarily on data at the level of Further Reading
everyday human experience—pressures, volumes,
Cardwell, D. S. L. (1971). ‘‘From Watt to Clausius: The Rise of
temperatures, etc. Such a restriction was quite Thermodynamics in the Early Industrial Age.’’ Heinemann,
natural in the Carnot memoir because the subject London.
matter did not demand any microanalysis. However, Carnot, S. (1986). ‘‘Reflexions on the Motive Power of Fire: A
in 1850, the situation was quite different. The focus Critical Edition with the Surviving Manuscripts,’’ [R. Fox,
trans. (from 1824 French) and Ed.]. Manchester Univ. Press,
was no longer on steam engines but on energy, and
Manchester, United Kingdom.
both Clausius and Rankine made vital reference to Carnot, S., Clapeyron, E., and Clausius, R. (1960). ‘‘Reflections on
the microscopic energy flows that everyone believed the Motive Power of Fire; and Other Papers on the Second Law
were occurring. However, insofar as they did this, of Thermodynamics’’ (E. Mendoza, Ed.). Dover, New York.
their research was speculative. When Thomson later Clausius, R. J. E. (1867). ‘‘The Mechanical Theory of Heat’’ (J.
prepared his own version of the theory, he purged his Hirst, Ed.). Van Voorst, London.
Gillispie, C. C., et al. (eds.). (1970–1990). ‘‘Dictionary of Scientific
account of all such speculation. This was not because Biography,’’ 18 Vols. Scribner’s, New York.
Thomson had any methodological doubts about Home, W. W., and Gittins, M. J. (1984). ‘‘The History of Classical
discussing the microworld envisioned by Clausius. Physics: A Selected, Annotated Bibliography.’’ Garland,
Thomson’s decision was purely pragmatic. He was, New York.
after all, not the pioneer here—he was rephrasing the Rankine, W. J. M. (1881). ‘‘Miscellaneous Scientific Papers’’ (W. J.
Millar, Ed.). Griffin, London.
work of the other two—and he saw that it was Thomson, W. (Lord Kelvin) (1882–1911). ‘‘Mathematical and
possible to solve the paradoxes articulated by Joule Physical Papers’’ (W. Thomson and J. Larmor, Eds.), 6 Vols.
without so much reference to doubtful detail. Since it University Press, Cambridge, UK. [See Vol. 1]
Thermodynamics, Laws of
SERGIO ULGIATI and CARLO BIANCIARDI
University of Siena
Siena, Italy

tors of exergy losses due to the irreversibility of a


1. Introduction process. In addition to being a measure of what can be
in principle obtained from a resource, exergy also
2. The Principle of Equivalence
provides a thermodynamic assessment of potential
3. The Zeroth Law of Thermodynamics improvements at the scale of the investigated process.
4. The First Law of Thermodynamics power The amount of energy transferred or work
5. The Second Law of Thermodynamics performed in the unit time (usually in 1 s).
6. The Third Law of Thermodynamics (Nerst’s Theorem) reversible/irreversible A reversible change in a process is a
7. How Many Laws for Thermodynamics? change that can be reversed by an infinitesimal modifica-
tion of any driving force acting on the system. The key
8. Conclusion
word ‘‘infinitesimal’’ sharpens the everyday meaning of
the word ‘‘reversible’’ as something that can change
direction. In other words, the state of the system should
Glossary always be infinitesimally close to the equilibrium state
and the process be described as a succession of quasi-
emergy The amount of exergy of one form (usually solar) equilibrium states. A system is in equilibrium with its
that is directly or indirectly required to provide a given surroundings if an infinitesimal change in the conditions
flow or storage of exergy or matter. In so doing, inputs in opposite directions results in opposite changes in its
to a process are measured in common units. Solar state. It can be proved that a system does maximum
emergy is measured in solar emergy joules (seJ). Emergy work when it is working reversibly. Real processes are
is a memory of the available energy (exergy) previously irreversible; therefore, there is always a loss of available
used up in a process and measures the global support energy due to chemical and physical irreversibilities.
from the biosphere to a process. Converting flows of self-organization All systems in nature self-organize––that
different nature into flows of one kind requires is, use the available energy and matter inputs to achieve
conversion coefficients called transformities (seJ/J). higher levels of structure and functioning under natural
Emergy accounting acknowledges that different re- selection constraints. In so doing, they may maintain
sources, measured by their exergy content, may require their present level of complexity or become increasingly
a different environmental support and may show more complex.
different properties. work The transfer of energy occurring when a force is
energy Usually defined as the capacity for doing mechan- applied to a body that is moving in such a way that the
ical work (i.e., displacing an object from a position to force has a component in the direction of the body
another by means of the application of a force). This motion. It is equal to the line
definition is sometimes criticized for being reductive and R integral of the force over the
path taken by the body, F  ds. Its meaning is different
not always easily applicable to processes other than from the usual life work, often associated with activities
physical. A broader definition is ‘‘the ability to drive a not always involving visible motion. Physical work
system transformation,’’ which clearly includes all kinds requires a body motion under the action of the force.
of physical and biological processes.
exergy The amount of work obtainable when some matter
is brought to a state of thermodynamic equilibrium with
the common components of the natural surroundings by
Thermodynamics, the so-called queen of sciences, is
means of reversible processes, involving interaction only important because it is the physical science that
with the previously mentioned components of nature. accounts for the transformations of thermal energy
Exergy is measured in joules or kilocalories. Real (heat) into mechanical energy and its equivalent
processes are irreversible. Therefore, measures of actual forms (work, other forms of energy, and self-
work compared with theoretical value provide indica- organization of complex systems) and vice versa.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 107
108 Thermodynamics, Laws of

All phenomena and processes that happen on Earth quantitative equivalence between heat and mechan-
as well as in the universe belong to the realm of this ical work (mid-19th century).
science. Although it was relatively easy to investigate In the following years, Clausius provided Carnot’s
the dynamics of equilibrium systems and generate a ‘‘Réflexions’’ with a stronger mathematical basis and
set of laws describing the tendency of systems toward introduced the concept of entropy, S, developing a
equilibrium by means of ideal reversible processes clear statement of the second law (1864). The
(classical thermodynamics), irreversible processes entropy concept is perhaps the most complex one
dealing with nonequilibrium systems (including in physical science. It was gradually assigned many
self-organization of the biosphere and life processes) meanings belonging not only to thermodynamics but
are not fully described within a consistent theoretical also to a variety of other fields and disciplines (e.g.,
framework, but significant progress has been made information theory). A further definition of the
(nonequilibrium thermodynamics). This article pro- entropy concept came from L. Boltzmann in the
vides a historical outline of the development of second half of the 19th century by means of the so-
thermodynamics, with reference to some of the main called H-theorem, in which the statistical meaning of
scientists who contributed to its development. It then entropy was definitely assessed. According to this
provides a short description and explanation of the theorem, any macroscopic thermodynamic state of a
laws of thermodynamics, including the mathematical system––defined by measurable pressure P, volume V,
derivation of their main features and consequences. and temperature T––can be generated by N micro-
Finally, a series of tentative ‘‘fourth laws of thermo- scopic behaviors of the system’s molecules or
dynamics’’ are discussed in order to provide a picture microstates. Then the probability of the macrostate
of the current efforts of the scientific community is proportional to N, and Boltzmann concluded that
toward a thermodynamic description of self-organi- the most probable macrostate was the equilibrium
zation patterns of complex and living systems. state, to which the maximum number of microstates
can be associated. As a consequence, the entropy of
such an equilibrium state should also be a maximum,
due to the Boltzmann formula
1. INTRODUCTION
S ¼ k  log N;
Classical thermodynamics was founded between
1850 and 1860 by W. Thomson (Lord Kelvin), R. where k is the so-called Boltzmann constant. Any
Clausius, and J. C. Maxwell, building on the seminal thermodynamic system tends to its equilibrium state,
work of Lazare Sadi Carnot, ‘‘Réflexions sur la defined by certain state parameters P, V, and T, in an
Puissance Motrice du feu et sur les Machines Propres irreversible way. According to Boltzmann, we can
à Developper cette Puissance’’ (1824). They went state that this irreversibility is of statistical nature. In
beyond the theory of caloric that dominated the early other words, the equilibrium state with maximum
studies about heat and its nature between 1700 and entropy is the most probable state, although a
1800 thanks to the experimental results of R. Mayer system’s shift to a lower entropy state cannot be a
and J. P. Joule. These authors had achieved a priori excluded (with an extremely low probability).
numerical value for the quantitative equivalence At the beginning of the 20th century, a rich debate
between mechanical work and heat. Hence, any took place about reversibility (or symmetry with
reason for the supposed existence of an immaterial respect to time) in classical mechanics and irreversi-
substance called ‘‘caloric’’ was experimentally re- bility in thermodynamics. Fundamental contribu-
jected. The findings of Mayer and Joule were also the tions were given by Caratheodory, Ehrenfest,
basis for the future statements of the first law Hilbert, and Nerst. The latter proposed a third law
(conservation of energy). of thermodynamics, characterized by the concept of
It is worth noting that the investigation of thermal absolute entropy (1906). He postulated that S ¼ 0 for
engines and the limits to the conversion of heat to any system at T ¼ 0 (where T is absolute tempera-
mechanical work (Carnot, second law) preceded the ture). This made possible the definition of a scale of
statement of the first law of thermodynamics. This is positive absolute entropies, based on which the
because heat conversion to mechanical work (steam differences of entropy between two states could be
engine; second half of the 18th century) generated calculated.
attention first to the existing constraints and then a During the 20th century, a great number of
clear understanding of the nature of heat and a authors applied the laws of thermodynamics to
Thermodynamics, Laws of 109

problems different than heat-to-work conversion, Joule described the experiment to readers of the
such as the self-organization and growth of complex, Philosophical Magazine as follows:
far from equilibrium systems (biological, economic,
and social). Authors such as Onsager, Prigogine, The paddle moved with great resistance in the can of water,
so that the weights (each of four pounds) descended at the
Georgescu-Roegen, Lotka, and Odum contributed to
slow rate of about 1 foot per second. The height of the
this debate and several statements of thermody- pulleys from the ground was 12 yards, and consequently,
namics laws were tentatively reformulated or intro- when the weights had descended through that distance, they
duced anew. had to be wound up again in order to renew the motion of
the paddle. After this operation had been repeated 16 times,
the increase of the temperature of the water was ascertained
by means of a very sensible and accurate thermometer.
2. THE PRINCIPLE
OF EQUIVALENCE The water, initially at a temperature TA, warms by
friction to a final temperature TB. The mechanical
Energy is usually referred to as the ability to do work performed on the liquid is measured by the
mechanical work, W. The latter is defined without work done by the force of gravity when the weight
ambiguity as the scalar product of two vectors, the falls by a height h (W ¼ mgh, where m is the mass of
force F and the displacement s: the weight, g is gravity, 9.8 m/s2), assuming the
pulley’s friction to be negligible. The calorimeter
measures the heat generated within the liquid during
W ¼ F  s ¼ Fs cosy; ð1Þ
the process and then released by the liquid when it
cools down to its initial temperature TA. Joule and
where F and s are the intensities of force and
other researchers performed similar experiments
displacement vectors, respectively, and y is the angle
using different liquids. Joule found a W/Q ratio
between them. Work, and therefore energy, can be
equal to 4.18 J/cal using water and 4.16 J/cal using
experimentally measured (with units of Joule in the
mercury. Hirn measured the W/Q ratio in a steam
International System of Units).
engine. In this case, Q was the measurable difference
Today, the link between work and energy (and the
between the heat provided by the steam boiler and
link between energy and heat) appears to be clearly
the heat released to the condenser after performing
assessed and quantifiable, but this was not so clear to
the work W. Hirn found a ratio equal to 4.05 J/cal.
the earlier scientists who investigated the nature of
Joule concluded,
heat. Many experiments or phenomena demonstrate
that some heat is generated whenever mechanical Any of your readers who are so fortunate as to reside amid
energy is used up or lost. Moreover, we know that the romantic scenery of Wales or Scotland could, I doubt
heat can produce mechanical work, as a steam engine not, confirm my experiments by trying the temperature of
demostrates. Thus, we can argue that heat is some the water at the top and at the bottom of a cascade. If my
views be correct, a fall of 817 feet will course generate 1
form of energy. However, the perception alone is not degree of heat, and the temperature of the river Niagara will
sufficient in physics. A quantitative and experimen- be raised about one-fifth of a degree by its fall of 160 feet.
tally measurable equivalence between heat and work
is needed. Many experiments were performed during A different experiment can be made by rotating an
the mid-19th century and successively by J. P. Joule appropriately shaped iron bar within a strong mag-
and other researchers that were aimed at measuring netic field. The electric currents induced within the bar
the ratio between work (W) and heat (Q) when a warm the iron by a measurable amount Q. In order to
system undergoes a cyclical process or when its final rotate the bar against the mechanical resistance of the
state coincides with its initial state. magnetic force of Lorentz due to the induced currents
In this regard, the most classic experiment is the a measurable amount of work is needed. In this case, a
so-called Joule’s wheel. The original Joule’s scheme of similar W/Q ratio can be found.
the experiment is shown in Fig. 1. The system consists In summary, when a system undergoes a cyclical
of a liquid in a vessel, which is in turn contained in a process in which a measurable amount of work W is
calorimeter in order to measure the heat released or converted into a measurable heat Q or vice versa, we
absorbed by the liquid. A paddle wheel is dipped into obtain a ratio W/Q, which is usually determined as
the liquid. The fall of a weight connected to the wheel 4.186 J/cal, apart from random experimental errors.
via a system of pulleys makes it rotate so that some This result constitutes the so-called principle of
mechanical work is performed on the liquid. In 1845, equivalence between heat and mechanical work.
110 Thermodynamics, Laws of

E E

B B
F F

B B
A A

C B B

D B B
A A

B B

FIGURE 1 Joule’s paddle wheel experiment. A, revolving blades; B, stationary vanes; C, metal framework; D, copper jacket;
E, pulleys; F, weights; G, drum; T, hole for thermometer. From Beattle, J. A., and Oppenheim, I. (1979). ‘‘Principles of
Thermodynamics.’’ Elsevier, New York [originally published in Philos. Trans. R. Soc. London 140, 61–82, 1840].

The ratio 4. THE FIRST LAW


OF THERMODYNAMICS
J ¼ W=Q ¼ 4:186 J=cal ð2Þ
The equivalence principle is the basis of the first law
is known as the mechanical equivalent of heat. of thermodynamics. This law states the general
principle of energy conservation when thermal
processes are also accounted for. It can be formulated
3. THE ZEROTH LAW by stating that the energy variation DU of a system in
OF THERMODYNAMICS a process is equal to the total energy exchange of the
system with the surrounding environment. As a
When two bodies are placed in thermal contact, heat consequence, we can also state that the energy of
flows from one to another in some cases (i.e., from an isolated system remains constant.
the hotter to the colder one). Heat will keep flowing We have seen that in a cyclical process the
for awhile, but sooner or later the heat flow will stop involved W and Q are energetically equivalent by
and a thermal equilibrium (the absence of heat flows) simply taking into account that 1 cal ¼ 4.186 J.
occurs. We may make an apparently trivial statement Hence, we can use the same unit (Joule or calorie)
about thermal equilibrium: to measure mechanical work and heat. In what
follows, we write equalities involving W and Q
Zeroth law: If a body A is in thermal equilibrium without specifying the unit. We also consider W40 if
with a body B and if B is also in thermal equilibrium work is done by the system to the environment and
with a third body C, then A is in thermal equilibrium Wo0 if the opposite is true; similarly, Q40 if heat is
with C. received by the system and Qo0 if heat is released.
This is because historically the steam engine received
This law justifies the concept of temperature. heat (positive) from the environment and performed
Suppose that B is a thermometer. If B is used to work (positive) on the environment.
measure the temperature of A and C and if A and C Now consider a system, for example, the liquid in
are found to have the same temperature, the heat will the vessel of Joule’s wheel. We can warm the liquid
not flow if A and C are placed in thermal contact. from the temperature TA to the temperature TB by
Thermodynamics, Laws of 111

supplying mechanical work (W, according to the process), we obtain the equivalence principle as a
previous sign rule), by supplying heat from an particular case of the first law.
external source ( þ Q), or by a combination of the The general principle of conservation of energy
two (QiWi). If we perform experiments in which W also means that a machine cannot do work without
and Q assume variable values, expressed by the same any input of heat or other energy. Such a machine,
unit, we always have which would create energy from nothing, is called a
perpetual motion machine of the first kind. Thus,
W ¼ Q ¼ Qi  Wi ¼ constant; ð3Þ another equivalent formulation of the first law is the
where Qi and Wi are the quantities involved in the ith following: It is impossible to construct a perpetual
experiment. That the same temperature increase can motion machine of the first kind.
be achieved by supplying work (W), heat (Q), or a If the process is infinitesimal or if the final state B
combination of both (QiWi) and that this quantity is infinitely close to A, the first law of thermody-
is always the same is a very important result. In fact, namics is expressed in differential form:
it shows that if a system undergoes a process from a dU ¼ dQ  dW; ð6Þ
state A to a state B, the employed energy (mechanical
and/or thermal) is the same independent of the where dU is the energy difference independent of the
way in which the system goes from A to B. As a particular process, and the involved dQ and dW may
consequence, it is possible to associate with each state vary with the process leading from A to B. It should
of a system an energy value U, which is only a be observed that dU, unlike dQ and dW, is an exact
function of the state and the variables (pressure, differential because it is not path dependent. Here-
volume, temperature, and concentration) that char- after exact differentials are indicated with d and path
acterize the state. differentials with d.
This energy of the state or internal energy, U, can An important and frequently met system is
be viewed as the sum of the mechanical, electrical, constituted by a fluid or gas (hereafter an ideal gas,
chemical, etc. energies of all the particles that for the sake of simplicity) contained in a cylinder of
constitute the system and whose amount cannot be section S, within which a frictionless piston can run
quantified in absolute value because it is reference (Fig. 2). In this case, the external force F acting on
dependent. Since the goal of energy conversion is the the fluid (also including the weight of the piston, if
work obtainable when the system goes from A to B, appropriate) is, by definition of pressure,
absolute values are not of interest to us; instead, we
are interested in gradients (i.e., the difference F ¼ p  S; ð7Þ
between the value assigned to state A and the value where p is the external pressure. Hence, the work
assigned to state B): performed by gas or by the environment (ds40 or
dso0) is calculated as the product of the force F
DU ¼ UB  UA : ð4Þ
multiplied by the infinitesimal displacement, ds,
In this case, the internal variation DU must equate
dW ¼ p  Sds ð8Þ
the exchange of mechanical and/or thermal energy
between the system and the environment, QW:

DU ¼ UB  UA ¼ Q  W: ð5Þ
This is the mathematical statement of the first law of
thermodynamics. In words, the energy variation of a
system that undergoes a process from the state A to
the state B is equal to the energy that the system
exchanges with the environment and it is not
dependent on the way by which the system goes
from A to B. Therefore, given two states A and B,
DU ¼ UBUA is the same, whereas Q and W may
vary in such a way that QW ¼ constant ¼ DU.
It was previously noted that the first law expresses
the general principle of conservation of energy when FIGURE 2 A thermodynamic fluid within a frictionless
we include thermal energy. For QW ¼ 0 (cyclical cylinder–piston system.
112 Thermodynamics, Laws of

A
Heat reservoir at
temperature T

FIGURE 4 A fluid expansion within a cylinder–piston system,


from volume V1 to volume V2. Due to the finite length of the
cylinder, the fluid cannot expand forever but must be compressed
O VA VB V for the cycle to start again.

FIGURE 3 Work performed by a fluid expanding against an 2. If all heat were converted into mechanical
external force F. Work is indicated by the shaded area.
work, the latter would not be the unique final result,
in such a way that this work would be unusable.
or as dW ¼ p  dV, where S  ds is the infinitesimal
variation of volume dV. For a finite variation, the The fluid contained in a frictionless cylinder–
work is calculated as an integral between the two piston system connected to a heat reservoir at
states temperature T is an appropriate example of statement
Z VB 2 (Fig. 4). If we warm the fluid and make it expand,
W¼ p  dV ð9Þ the heat is converted into work but this is not the
VA unique result. In fact, increased volume of the fluid is
and clearly depends on the particular process leading also a result. Unless the cylinder is infinitely long, we
from A to B. This is represented by the shaded area in have to compress the fluid again for the system to be
Fig. 3. usable. In so doing, the work performed on the
system would be greater than the work performed by
the system.
On the basis of these considerations, Carnot
5. THE SECOND LAW proposed an ideal engine connected to two heat
OF THERMODYNAMICS reservoirs at temperatures T1 and T2 (T14T2). The
reservoir at a lower temperature serves to cool the
The equivalence principle and the first law do not deal fluid in such a way that it can return to its initial
with the problem of the possibility of transforming heat volume. Carnot showed that not all the heat can be
into mechanical work or vice versa. The equivalence converted into mechanical work, but a fraction is
principle only states that when this transformation always released in the form of degraded heat at lower
takes place, the W/Q ratio must be 4.186 J/cal. In other temperature. This result is an example of statement 1
words, on the basis of these statements only, thermal given previously.
and mechanical energies should be perfectly equivalent
not only from the quantitative standpoint but also from
the qualitative one. 5.1 Reversible Transformations
Experiments show that although it is always and Machines
possible to completely transform mechanical energy
into thermal energy (e.g., by friction), the opposite is It would be a mistake to think that the limits imposed
not true. The transition from mechanical work to heat by the conversion of heat to mechanical work are of
occurs without any restriction, but a heavy constraint a technical nature (i.e., are due to the unavailability
is imposed on the opposite transition, namely of tools or cylinders and pistons without friction or
perfectly sealed). In order to eliminate this possible
1. Not all the heat that a system receives from a misunderstanding, in the rest of this article we refer
reservoir is converted into mechanical work, but a to reversible transformations and reversible ma-
fraction remains as heat at lower temperature. chines. In these ideal transformations and machines,
Thermodynamics, Laws of 113

it is assumed that all technical energy losses (friction, that the direction of the process can be inverted in
inadequate materials, etc.) have been removed. Even any instant by means of an infinitely small force
in this case, the impossibility of integral conversion applied against it. This is why such a transformation
of heat to work as a unique result is demonstrated. is called reversible and is indeed a powerful tool to
This means that this impossibility relies on the investigate the relation among the parameters that
theory; it is a constraint imposed by Nature and describe the initial and final states of the fluid. It
not by the use of technically poor instruments. is clear that a reversible transformation can be
Reversible transformations and machines were exactly described, for instance, in a (V, P) plane by
introduced to help describe real (irreversible) trans- drawing the curve P ¼ P(V) as the succession of all
formations and machines because the latter cannot the equilibrium states existing between A and B
be easily investigated. In fact, for the expansion or (Fig. 5).
compression of a real fluid within a real cylinder– On the other hand, it would be impossible to draw
piston system, we are hardly able to assess the value a curve describing a real transformation between the
of volume, pressure, and temperature in any instant same states because of the existing indeterminacy of
of the process. Moreover, the cylinder wall will never the actual values of pressure and volume in any given
be perfectly thermally insulated, nor will we know instant of the process. In such a case, the curve is not
the exact value of its thermal conductivity coefficient. exactly defined (Fig. 6).
The reversibility assumption implies that the system Reversible transformations are sometimes consid-
(initially in A) can reach the final state B by means of ered the final limit approached by the behavior of
infinitely slow transformations, in which infinitely real transformations, when the latter occur so slowly
small forces act on the fluid. In so doing, it is in that the time needed is a good approximation of the
principle possible to determine the exact value of its theoretically infinite time required by the corre-
state variables in every instant. Moreover, we assume sponding reversible transformation.
that (i) the piston runs within the cylinder with no Finally, it is worth noting that reversible transfor-
friction and is perfectly sealed, (ii) the side walls of mations cannot occur in isolated systems (i.e., in
the cylinder are perfectly heat insulated, and (iii) the thermodynamic systems that do not exchange any
cylinder base is a perfect heat conductor. In other energy or matter flow with the outside) because the
words, machines and containers used in a reversible existing gradient that pushes the transformation
process are absolutely ideal ones, as is the process. toward one direction cannot be inverted unless an
The fluid transformation from A to B can therefore external force is available. In the latter case, the
be thought of as a succession of equilibrium states so system would no longer be isolated.

P
P

B
A

O VA VB V
O VA VB V
FIGURE 6 Irreversible transformations cannot be described as
FIGURE 5 A reversible transformation is exactly described in a a succession of equilibrium states due to the existing indeterminacy
(V, P) plane by the curve P ¼ P(V) drawn as the succession of all about the actual values of pressure and volume in any given instant
the equilibrium states existing between A and B. of the process. In such a case, the curve is not exactly defined.
114 Thermodynamics, Laws of

5.2 Lord Kelvin’s and Clausius’s impossibility that precludes the exploitation of
Statements of the Second Law enormous heat sources such as the oceans to generate
mechanical energy. In fact, should a ship be able to
The observed lack of symmetry of work-to-heat convert the ocean’s heat into work for its own
transformations and vice versa is equivalent to a motion as the unique result, thus skipping Lord
substantial irreversibility of real processes that Kelvin’s statement, this work would again be
cannot therefore be of a purely mechanic nature. converted into heat due to the friction between the
This is the basis of the second law of thermody- ship and the water. In so doing, the thermodynamic
namics, which can be exemplified by means of cycle would be closed and the ship would travel
typically irreversible phenomena, such as a gas practically at no energy cost (i.e., the perpetual
expansion (the gas will never spontaneously return motion of the second kind).
to its initial volume) or the heat transfer from a body The impossibility not just to make real machines,
at higher temperature to a body at lower temperature but also to even design ideal machines capable of
(the heat will never flow spontaneously from the completely converting a source heat into mechanical
colder to the warmer body). work as a unique result suggested to Lord Kelvin his
Lord Kelvin (‘‘Dynamic Theory of Heat,’’ 1850) second law statement. If only one experiment, real or
pointed out the impossibility of an integral conver- even ideal, could be performed against Kelvin’s
sion of heat to work (in which work was the unique statement, the second law would completely lose its
result) as the appropriate statement of the second law significance and applicability.
of thermodynamics. The following is Lord Kelvin’s Another typically irreversible phenomenon could
statement: A transformation the unique result of be used to derive an alternative statement of the
which is the conversion of heat from a heat source at second law, namely the heat transfer from a body A
a temperature T to mechanical (or electromagnetic) at higher temperature TA to a body B at lower
energy is impossible. The heat source at temperature temperature TB. Clausius used this phenomenon to
T is defined as a body every point of which is at a illustrate his statement of the second law while at the
temperature T and whose thermal capacity is so high same time developing a mathematical formulation of
that it can absorb heat from or release heat to other it and introducing the entropy concept. For this to be
bodies without undergoing any temperature change. correctly enunciated and understood, we must first
It is, again, an ideal object, whose approximation in note that an empirical temperature scale can be
real processes can be a very large boiler. defined based on the direction of heat exchanges
The most important part of Lord Kelvin’s state- between two bodies when they are put in contact
ment, as noted in Section 5.1, is the requirement of with each other. Independently from their heat
work as the unique result. The fluid described in that capacity, body A is defined as having a higher
section undergoes a reversible and isothermal temperature than B if, when they come into contact,
(DT ¼ 0) expansion. Its internal energy does not some heat flows from A to B. This statement is
change because the internal energy of ideal fluids equivalent to saying that heat flows spontaneously
only depends on the temperature (DU ¼ 0). As a from a body at higher temperature to a body at lower
consequence of the first law of thermodynamics, we temperature until a thermal equilibrium (same
have W ¼ Q. As already noted, the achieved conver- temperature) is reached. A clear example can be
sion of heat to work is not the unique result because given by considering a small piece of iron heated to
the volume increase makes this (although ideal) ‘‘white heat’’ temperature (approximately 10001C)
machine unable to actually deliver work. In this and a vessel containing a large amount of boiling
regard, it must be observed that the first law water (1001C). Although the former contains a much
precludes the possibility of creating energy (perpetual smaller amount of heat than the latter, its tempera-
motion of the first kind), while Lord Kelvin’s ture is higher. Therefore, if we dip the iron into the
statement of the second law precludes the possibility boiling water some heat will flow from the iron to
of the so-called perpetual motion of the second kind: the water (i.e., from the body at higher to the body at
It is impossible to construct a perpetual motion lower temperature) until an equilibrium is reached
machine of the second kind. A perpetual motion and the iron recovers its original gray color and solid
machine of the second kind would convert heat taken state (this is what blacksmiths do to forge products,
from some reservoir into an equivalent amount of although they use colder water for faster results).
work. It does not violate the first law because the Therefore, the following is Clausius’s statement of
work energy is equivalent to the heat energy. It is this the second law: If heat spontaneously flows from a
Thermodynamics, Laws of 115

body A to a body B (i.e., if A has a higher can be demonstrated that it is completely equivalent
temperature than B), it is impossible to perform a to those provided by Kelvin and Clausius approxi-
transformation process the unique final result of mately 30 years later. It can also be demonstrated
which is a flow of heat from B to A (i.e., from the that the efficiency of any real machine is lower than
body at lower temperature to the body at higher that of the ideal Carnot’s machine.
temperature). For this purpose, assume we have an ideal Carnot’s
This statement was also suggested by the failure of machine composed of an ideal thermodynamic fluid
all real and ideal processes to achieve the unique within a cylinder–piston system, without friction, and
result of heating warmer bodies by means of colder with the lateral walls being perfectly insulated and
bodies. Again, if only one experiment could be found cylinder base being a perfect heat conductor. Figure
against Clausius’s statement, the second law would 7A shows the different positions of the piston within
lose its validity. It is trivial to observe that a the cylinder over time, whereas Fig. 7B diagrams the
refrigerator does not contravene Clausius’s statement. isothermal and adiabatic reversible patterns that the
In fact, although heat flows from inside the refrig- fluid must follow during the process in order to close
erator to the outside environment (the latter at higher the cycle (Carnot’s cycle).
temperature), this occurs at the expense of electric In Fig. 7A, a heat source (a boiler) at temperature
work and therefore is not the unique final result. T1 supplies heat Q1 to the fluid through the base of
Kelvin’s and Clausius’s statements are equivalent, the cylinder. Since the piston is free to run through
as expected. If the first one is false, the second one is the cylinder, the fluid undergoes a reversible and
also false and vice versa. Assume Kelvin’s statement isothermal expansion from the initial volume V1 to a
is false and that heat from a source at temperature T1 volume V2, according to the equation PV ¼ nRT (the
can be entirely converted into work as the unique so-called ideal gas equation of state). A thermal
result of a process. We could therefore, by carefully insulation is then provided to the base of the cylinder
designing the process, convert again this work into and the fluid is allowed to further expand reversibly
heat at any temperature, even higher than T1. If so, and adiabatically (no heat exchange with the outside
we would obtain a process the unique result of which environment) to a new volume V3, according to the
would be a flow of heat from a source at temperature equation PVg ¼ K (applicable to adiabatic processes;
T1 to a body at temperature T2, higher than T1. As a g ¼ Cp/Cv, where Cp and Cv are respectively the heat
consequence, Clausius’s statement would also be capacities at constant pressure and volume, and the
false. The opposite case (if Clausius’s statement is constant K depends on initial conditions). In this
false, then Kelvin’s statement is also false) will be step, the fluid temperature decreases from T1 to T2.
demonstrated after discussing Carnot’s cycle and Now we remove the thermal insulation of the base
theorem. and put the cylinder on a heat sink (a body at lower
temperature than that of the heat source) at
temperature T2. If we compress the fluid (i.e., some
5.3 Carnot’s Cycle
work is performed on it), its volume V3 will decrease
In his seminal ‘‘Réflexions’’ (1824), Carnot dealt with reversibly and isothermally to the volume V4,
the problem of heat-to-work conversion by means of releasing a heat Q2 to the heat sink. Finally, if we
ideal machines in which a thermodynamic fluid was insulate the base again and compress the fluid
capable of performing reversible transformations, reversibly and adiabatically until it reaches the initial
receiving heat from a source at higher temperature, volume V1, pressure P1, and temperature T1, the
and releasing heat to a sink at lower temperature. He cycle is closed and the initial state is restored. From
demonstrated that the heat received from the source an energy standpoint, it is DU ¼ 0 because the system
cannot be entirely converted into work and that the is again in its initial state. The heat supplied to the
nonconverted fraction is released as heat at lower system is Q1, whereas the work performed over the
temperature, thus being depreciated from the stand- whole cycle is
point of its ability to perform work. This conclusion
W ¼ Q1  Q2 ð10Þ
translates into the fact that the efficiency of such an
ideal machine is much lower that 100% (i.e., the according to the first law of thermodynamics. The
work produced is much less than the heat supplied). heat Q2 released to the heat sink cannot be
Carnot’s findings constitute an early statement of transferred again to the boiler because the latter has
the second law of thermodynamics, for a long time a temperature higher than that of the heat sink.
not completely understood in its full significance. It Therefore, Q2 is definitely unusable. The machine
116 Thermodynamics, Laws of

V2 V3
V3
V2
V4
Q1 Q2 V4
V1 V1

Heat source at Thermal insulation Heat sink at Thermal insulation


temperature T1 temperature T2
(1) (2) (3) (4)
Isothermal expansion Adiabatic expansion Isothermal compression Adiabatic compression

B
P

2
T1

4
3
T2

O V1 V4 V2 V3 V

FIGURE 7 Carnot’s cycle. (A) The different positions of the piston and the volumes of the fluid over time. (B) The
isothermal and adiabatic reversible patterns that the fluid must follow in the process in order to close the cycle.

efficiency (work performed/heat supplied) is therefore 5.4 Carnot’s Theorem


Z ¼ W=Q1 ¼ ðQ1  Q2 Þ=Q1 ¼ 1  Q2 =Q1 o100% A fundamental theorem named after Carnot follows
ð11Þ from the Carnot’s cycle. This theorem permits the
introduction of the so-called absolute temperature T
This result may be assumed to be Carnot’s statement and the entropy concept, thus offering a way to
of the second law, equivalent to those of Kelvin and determine the direction of real transformation
Clausius. In fact, if the heat Q2 could be transferred processes. This theorem can be stated as follows:
from the sink to the source without an additional The efficiency of a reversible thermal machine R
energy expense, the efficiency Z would be 100%, but operating between two temperatures is never lower
this transfer from a colder to a warmer body would than that of a whatever machine S operating between
be against Clausius’s statement. In addition, the the same temperatures:
immediate consequence would be the complete
ZR ZZS ; ð12Þ
conversion of the heat Q1 into work, against Kelvin’s
statement. The already shown equivalence between where the equality only applies if S is also reversible.
Kelvin’s and Clausius’s statements is also further Assume that we have two machines (the first
demonstrated. reversible and the second nonreversible) as in Fig. 8,
Thermodynamics, Laws of 117

second part of the theorem, ZS ¼ ZR, could easily be


T1 demonstrated in a similar way.
Consequently, the efficiency of any reversible
machine depends only on the two temperatures T1
and T2 between which the machine operates. After
Q1R Q1S adequately choosing the thermometric scale in order
to have T ¼ t þ 273.14 (t is 1C), it can be demon-
WR WS
strated that
R S
Q2 =Q1 ¼ T2 =T1 : ð14Þ
The temperature T is called absolute temperature
Q2R Q2S because it does not depend on the particular
thermometric substance used and therefore coincides
with the one obtained by using an ideal fluid
T2 as the thermometric substance. A unit ‘‘absolute’’
degree (K) coincides with a unit centigrade degree.
The latter is defined by dividing by 100 the
FIGURE 8 A reversible Carnot machine R working backwards
temperature interval between the temperature of
between two heat reservoirs at the expense of an amount of work
WR provided from outside. R delivers heat QR to the reservoir at melting ice (01C) and the temperature of boiling
temperature T1. This heat is transferred to the irreversible machine water (1001C) at sea level.
S, which converts it into work WS. If the efficiency of the In summary, the efficiency of a reversible Carnot’s
irreversible machine were higher than that of the reversible one, cycle depends only on the absolute temperatures of
WS would be higher than WR, in contrast to Kelvin’s statement of
the heat source and the heat sink and not on the fluid
the second law of thermodynamics.
or the amount of heat exchanged:
ZR ¼ ðT1  T2 Þ=T1 : ð15Þ
both operating between the same temperatures T1 Equation (14) can be rewritten as
(source) and T2 (sink). Each is able to receive a given
Q1 =T1  Q2 =T2 ¼ 0; ð16Þ
amount of heat from the source at temperature T1
and to deliver a given amount of work by also and generalized to the case of n sources in a
releasing some waste heat to the sink at lower reversible cycle as
temperature. X
The theorem can be demonstrated ab absurdo Qi =Ti ¼ 0; ð17Þ
assuming that, instead, it is ZS4ZR; that is, with positive sign for heat absorbed by the fluid and
ZS ¼ ðQ1S  Q2S Þ=Q1S 4ZR ¼ ðQ1R  Q2R Þ=Q1R negative sign for heat released. Equation (17) can be
further generalized to the case of infinitesimal
ð13Þ
amounts of heat dQ exchanged by each source in a
Since R is reversible, it could also work backwards as reversible process with continuous temperature
shown in Fig. 8; that is, it could receive an amount of changes:
work WR ¼ Q1RQ2R from outside and release heat Z
Q1R to the source at temperature T1. If the input dQ=T ¼ 0: ð18aÞ
cycle
work WR is such that Q1R ¼ Q1S, the source of heat
at higher temperature T1 becomes unimportant. It For an irreversible process S, it would be
follows from Eq.(13) that Z
dQ=T o0 ð18bÞ
WS ¼ ðQ1S  Q2S Þ4ðQ1R  Q2R Þ ¼ WR cycle

and finally that because ZSoZR.

WS  WR 40;
5.5 The Entropy Concept
thus creating work by extracting heat (Q2RQ2S)
from a unique source at temperature T2. This is in Now consider the most general case of a reversible
clear contrast with Kelvin’s statement. It must cycle, such as the one shown in Fig. 9, with
therefore be ZSoZR. If S were also reversible, the continuous temperature changes. It can always be
118 Thermodynamics, Laws of

defined but for an arbitrary constant S(O), which has


P
no practical utility because we are always interested
in entropy differences between states and not in
B absolute values. We can therefore equate this
constant to zero.
1
It can also be demonstrated that

If an isolated system undergoes a transformation from an


initial state A to a final state B, the entropy of the final state
2 is never lower than the entropy of the initial state.

A
This statement is the so-called entropy law.

O V 6. THE THIRD LAW


FIGURE 9 Diagram of a reversible cycle, with continuous
OF THERMODYNAMICS
temperature changes, simplified as the succession of two reversible (NERST’S THEOREM)
transformations from A to B (along pathway 1) and vice versa
(along pathway 2). Sometimes, the arbitrary constant S(O) of Eq. (21)
becomes important and cannot be neglected. In
simplified as the succession of two reversible 1906, Nerst suggested the statement of a third law
transformations from A to B (along pathway 1) of thermodynamics as well as a specific value for the
and vice versa (along pathway 2). arbitrary constant S(O). The statement (the so-called
According to Eq. (18a), we may write Nerst’s theorem) can be expressed as follows: The
Z Z
entropy of any thermodynamic system at the
dQ=T þ dQ=T ¼ 0; ð19Þ absolute temperature of 0 K is equal to zero,
A-B;ð1Þ B-A;ð2Þ
whatever is the state of the system.
where the subscripts indicate the paths from A to B The most important consequence of the third law
and vice versa. Due to the reversibility of the two and the Nerst’s theorem is the impossibility for a
transformations A-B and B-A, we may write system to reach the absolute zero (T ¼ 0 K). In fact, it
Z Z
can be demonstrated that as the system approaches
dQ=T ¼  dQ=T the absolute zero it also becomes more difficult to
A-B;ð1Þ B-A;ð2Þ
Z further decrease its temperature and that this
¼ dQ=T: ð20Þ difficulty increases faster than the actual temperature
A-B;ð2Þ decrease. Therefore, the absolute zero cannot
This result is of paramount importance because it be reached. A surprising and unexpected result
demonstrates that the integral does not depend on follows: The absolute scale of temperature must be
the specific reversible transformation from A to B but considered unlimited in both directions, either
only on the actual states A and B. We are therefore toward the high temperatures and toward the
able to define a new function depending only on the absolute zero.
system state (such as the internal energy U). Clausius The impossibility of reaching the absolute zero is
called this function entropy, defined as follows: the basis of another perpetual motion statement: It is
Given an arbitrary initial system state O, an arbitrary impossible to construct a perpetual motion machine
final state A, and an arbitrary reversible transforma- of the third kind. A perpetual motion machine of the
tion from O to A, the value of the integral third kind continuously converts heat into work by
Z operating between a hot reservoir at temperature
SðAÞ ¼ dQ=T þ SðOÞ ð21Þ T40 and a cold reservoir at T ¼ 0. The third law
O-A states that it is impossible to achieve absolute
calculated over the reversible transformation O-A zero temperature, thus making such a machine
is a function only of the states O and A. This value is impossible.
called entropy. Another consequence of the third law is that the
Entropy is measured in calories per degree Kelvin specific heat c(T) of a solid must tend to zero for T-
or Joules per Kelvin. It clearly appears that S(A) is 0, at least according to the first power of T.
Thermodynamics, Laws of 119

Otherwise, being dQ ¼ mc(T)dT, the expression which is similar to the famous ‘‘thermal death’’
Z Z dictated by the entropy law for isolated systems.
SðAÞ ¼ dQ=T ¼ mcðTÞ dT=T ð22Þ Georgescu-Roegen emphasized the importance of the
O-A O-A behavior of matter in opposition to the so-called
would diverge toward N for T-0 instead of energy dogma for which any recovery of high-quality
converging to a specific S(A) value. pure substance is possible (complete recycling) when
a sufficient amount of energy and time are available.
Bianciardi et al. demonstrated that apart from the
importance of this statement from the standpoint of
7. HOW MANY LAWS economic processes or even the ethics of resource
FOR THERMODYNAMICS? use, it is false in the field of physical laws where the
author intended it to stand due to its severe
Thermodynamics originated within the field of inconsistency with the second law. They argued that
energy conversion and use, but its generality and if the fourth law were true, then the second law and
the fact that it seems to apply to almost every its entropic consequences must be false. Photosynth-
phenomena in nature as well as in human-dominated esis, the generation of organized from dispersed
systems generated major interest among nonspecia- matter driven by solar energy, provides proof of this
lists. Many tried to establish links or derive thermo- issue. Georgescu-Roegen’s statement is important in
dynamic principles capable of describing some the context of the second law without introducing a
aspects of their specific field of interest. In addition, fourth law. In fact, to recover the tires or the coins
several thermodynamics experts have also found worn away by friction requires that an ordered form
interesting new properties or special aspects when of energy be invested in the process to decrease the
applying thermodynamic principles to living systems. entropy of this matter. As a consequence, the entropy
Both kinds of interest generated a multiplicity of of the surrounding environment (the rest of the
tentative statements for new laws of thermodynamics biosphere) would increase to a larger extent,
and beyond. Some of these focused explicitly on generating a net entropy increase that would not be
specific aspects already covered by the second law, sustainable for the biosphere.
whereas others dealt with the redefinition of the
concept of entropy in order to make it applicable to
irreversible processes or with the macroscopic 7.2 Onsager’s Reciprocal Relations
behavior of self-organizing systems in the biosphere Early attempts to treat irreversible processes such as
seeking a general description of ecological patterns. heat conduction by means of classical thermody-
namics resulted in little success. Despite its name,
classical thermodynamics was not suited to the
7.1 Georgescu-Roegen’s Entropy
treatment of dynamic processes. It is instead a
of Matter
perfect tool for the study of static states and chemical
The economist Nicholas Georgescu-Roegen pro- equilibria. In 1968, the Norwegian physical chemist
posed a fourth law of thermodynamics concerned Lars Onsager was awarded the Nobel Prize in
with the so-called entropy of matter. Georgescu- chemistry for the discovery of the reciprocal relations
Roegen proposed that in a closed system (i.e., a named after him and basic to irreversible thermo-
system exchanging energy but not matter with the dynamics. Onsager presented his fundamental dis-
outside environment), a ‘‘material entropy’’ occurs covery at a Scandinavian scientific meeting in
and gradually reaches its maximum value (maximum Copenhagen in 1929. The work was published in
disorder and mixture of matter) in such a manner its final form in 1931 in the well-known journal
that ‘‘all matter ultimately becomes unavailable.’’ He Physical Review in two parts with the title ‘‘Re-
identified the biosphere as a closed system (ex- ciprocal Relations in Irreversible Processes.’’ The
changes with outside space are too slow and there- importance of these relations was not immediately
fore not significant on the scale of the economy) and recognized by the scientific community; thus, the
pointed out that it would be impossible to completely Nobel Prize was attributed to Onsager only many
recover the matter involved in the production of years later. When giving his Nobel presentation
mechanical work or wasted in friction. The disap- speech, S. Claesson of the Royal Swedish Academy
pearance of any qualitative difference between of Sciences emphasized that ‘‘the Onsager’s recipro-
materials is a sort of ‘‘material death’’ of the system, cal relations represent a further law making possible
120 Thermodynamics, Laws of

a thermodynamic study of irreversible processes.’’ He sufficiently ‘‘in that the results obtained from it
also pointed out that ‘‘the size of the two papers was cohere with other theories and experiments’’ and
no more than 22 and 15 pages, respectively. Judged suggested the definition of nonequilibrium thermo-
from the number of pages this work is thus one of the dynamics to qualify as a fourth law of thermody-
smallest ever to be rewarded with a Nobel Prize.’’ namics. Instead, according to Schneider and Kay,
‘‘Prigogine’s linear expansion of the entropy function
about equilibrium y is a severe restriction on the
7.3 Prigogine’s Excess Entropy Production application of his theory and in particular precludes
The Onsager’s reciprocal relations later became the its formal application to living systems.’’ These
basis of Prigogine’s irreversible thermodynamics, for considerations led Schneider and Kay to formulate
which Prigogine was awarded the Nobel Prize in a restated second law of thermodynamics, based on
chemistry in 1977. P. T. Landsberg suggested the previous extended formulations by Hatsopoulos and
status of a fourth law for the results of Prigogine and Keenan and by Kestin and analogous to Le Chate-
collaborators, who investigated the dissipative beha- lier’s principle for chemical systems.
vior of open systems moved away from equilibrium
by the fluxes of matter and energy across their 7.4 Lotka’s Maximum Power Principle
boundary. They showed that open dissipative struc-
A different set of statements came from scientists
tures can maintain themselves for a period of time
working in the field of ecology, willing to explore and
away from thermodynamic equilibrium in locally
understand the energy and resource basis of living
reduced entropy steady state, and they developed a
systems’ self-organization. A fundamental contribu-
fluctuation and stability theory fully relying on the
tion was provided by the mathematical biologist
assumptions of a ‘‘local equilibrium.’’ This is the so-
Alfred Lotka, who stated the so-called maximum
called Landsberg ‘‘basic trick’’ of thermodynamics,
power principle:
which enables a system (which may have gradients of
temperature, etc. built into it) to be considered as In the struggle for existence, the advantage must go to those
composed of elements to each of which classical organisms whose energy-capturing devices are most effi-
cient in directing available energy into channels favorable
thermodynamics applies. In so doing, each element is
to the preservation of the species. y In every instance
large enough for thermodynamic consideration to considered, natural selection will so operate as to increase
apply but small enough for the gradients to be the total mass of the organic system, to increase the rate of
unimportant within each element. The additional circulation of matter through the system, and to increase
assumption that the summation of corresponding the total energy flux through the system, so long as there is
presented an unutilized residue of matter and available
local extensive variables over the whole system (near
energy. This may be expressed by saying that natural
the reference state) gives the value of the correspond- selection tends to make this energy flux through the system
ing global variable enabled Prigogine and colleagues a maximum, so far as compatible with the constraints to
to define a nonequilibrium entropy concept on which which the system is subject. y It appears, however, at least
their whole stability and fluctuation theory is based. a priori probable that among the certainly very large (if not
infinite) variety of types presented for selection, sooner or
The main result of this approach was the definition
later those will occur which give the opportunity for
of the concept of excess entropy production, from selection to operate in the direction indicated, namely so as
which global stability conditions could be derived for to increase the total mass of the system, the rate of
a thermodynamic system: circulation of mass through the system, and the total energy
flux through the system. If this condition is satisfied, the
1 @ 2
d2 Sr0 and ðd SÞZ0: law of selection becomes also the law of evolution.
2 @t
where d2S is the second order perturbation of the S Systems that self-organize to increase the throughput
function around the equilibrium state and @/@t is the flow of energy are rewarded by survival and
partial derivative with respect to time, called ‘‘excess selection. The principle of selection ‘‘functions y
entropy production’’. It should be noted that the as a third law of thermodynamics (or a fourth, if the
symbol d has here a different meaning than in the third place is given to the Nerst principle).’’ This is a
previous sections. major advancement with respect to classical thermo-
Landsberg pointed out that without this assump- dynamics. According to Lotka,
tion, Prigogine’s theories of fluctuation and stability The principle of natural selection reveals itself as capable of
‘‘would not be thermodynamic in character.’’ How- yielding information which the first and second laws are not
ever, he also recognized that the assumption worked competent to furnish. The two fundamental laws of
Thermodynamics, Laws of 121

thermodynamics are, of course, insufficient to determine the ing their resource use efficiency (i.e., those systems
course of events in a physical system. They tell us that capable of generating new patterns and tools for
certain things cannot happen, but they do not tell us what resource use—organization, information, and feed-
does happen.
back control) are rewarded by a higher probability of
being selected in the natural competition. This
7.5 Odum’s Maximum creative ability makes the quality of a process product
Empower Principle generally much higher than the quality of process
inputs. A mathematical formulation of the maximum
In 1987, Howard T. Odum was awarded (together empower principle under the ‘‘light’’ of quality has
with his brother Eugene) the Crafoord Prize for been given by Giannantoni by means of driving forces
ecology by the Royal Swedish Academy of Sciences. (so-called source terms, e.g., information, DNA, and
In his acceptance speech, Odum pointed out that feedback control from the next larger scale) support-
The study of ecosystems suggests principles by which energy ing the generative processes as well as by means of a
flows generate hierarchies in all systems. From these it was new kind of fractional differential calculus. The latter
clear that energy laws controlling self-organization were is based on ‘‘binary’’ functions capable of accounting
principles of open systems quite beyond classical energetics, for the nonconservative aspects of a generative
involving a generalization of concepts of evolution in energy process (emergy of coproducts) and the emergence
terms. During the trials and errors of self-organization,
species and relationships were being selectively reinforced
of quality. It obtains the three traditional principles of
by more energy becoming available to designs that feed thermodynamics as special cases of the maximum
products back into increased production. empower principle by simply assuming that the source
terms are equal to zero (i.e., by focusing on the
In order to account for resource convergence into quantitative aspects only). The maximum empower
self-organization processes, Odum introduced the principle becomes, in this perspective, an extension of
concept of emergy, defined as ‘‘the total amount of classical thermodynamics to ecological systems.
available energy of one kind (usually solar) that is
directly or indirectly required to make a given 7.6 Jorgensen’s Ecological Law
product or to support a given flow.’’ The total
of Thermodynamics
emergy directly supporting many items (or grams or
joules) at the lowest level of a hierarchical chain also Exergy, the free energy of a system relative to the
supports indirectly a smaller amount of items (grams surrounding environment, measures the amount of
or joules) at the next higher levels. Therefore, where work that can be extracted from the system when it is
several levels of energy hierarchy are involved, allowed to reach the thermodynamic equilibrium
maximizing power according to Lotka can be with the environment. According to Szargut et al.,
misleading because it might imply that priority is exergy is ‘‘the amount of work obtainable when
given to increasing energy flow through the lower some matter is brought to a state of thermodynamic
levels, which may have more energy throughput. equilibrium with the common components of the
Instead, expressing resources in emergy terms per- natural surroundings by means of reversible pro-
mits the restatement of Lotka’s maximum power cesses, involving interaction only with the above
principle as a maximum empower principle, accord- mentioned components of nature.’’ Whenever a work
ing to which the simultaneous maximization of is performed, an existing gradient must be dissi-
empower (emergy throughput flow) at all system’s pated. Exergy, the ability to do work, is strictly
levels is required if a self-organizing system or correlated with the existence of a gradient of some
ecosystem is to be stable and prosperous. The physical property. This definition suggests exergy
following is Odum’s revised statement of Lotka’s as a measure of the information content of a
fourth law: ‘‘On each scale, systems designs prevail system as well as of its distance from equilibrium.
that maximize empower, first by reinforcing inflows On this basis, Jorgensen enunciated a tentative
of available energy and second by increasing the fourth law, also called the ecological law of thermo-
efficiency of useful work.’’ dynamics (ELT):
In his accounting for energy-based hierarchical
If a system receives a through-flow of exergy, it will utilize
patterns of self-organization, Odum pointed out that
this exergy to move away from thermodynamic equili-
evolution is driven by the emergence of quality. The brium. If the system is offered more than one pathway to
systems that are able to maximize production by move away from thermodynamic equilibrium, the one
reinforcing their resource basis as well as by increas- yielding most stored exergy, i.e., with the most organized
122 Thermodynamics, Laws of

TABLE I
Comparison among Alternative Statements of the Laws of Thermodynamics

Mathematical Perpetual motion Landsberg (1972) Las Vegas


Law statementa Traditional statementa statementa statement statementb

Zeroth law If a body A is in thermal Empirical


equilibrium with a body temperature
B and if B is also in exists.
thermal equilibrium with
a third body C, then A is
in thermal equilibrium
with C.
First law DU ¼ Q þ W The total energy is It is impossible to Internal energy You cannot win.
conserved. construct a exists.
perpetual motion
machine of the
first kind.
Second law dS ¼ dqrev/T, The total entropy increases. It is impossible to Entropy and You cannot break
dSuniv40 construct a absolute even.
perpetual motion temperature
machine of the exist.
second kind.
Third law T40 The absolute temperature It is impossible to States with T ¼ 0 do You cannot get out
of any system can never construct a not exist. of the game.
be zero. perpetual motion
machine of the
third kind.

a
This article.
b
Ronald D. Poshusta, www.poshusta.chem.wsu.edu.

structure, or the longest distance to thermodynamic 8. CONCLUSION


equilibrium under the prevailing conditions, will have the
propensity to be selected.
We have discussed several different statements of the
laws of thermodynamics in this article. Some of them
The strong agreement of the ELT with Darwinian are shown in Table I. Looking at the table, it can be
theories of evolution convinced Jorgensen that clearly seen how many different aspects of the same
exergy is a convenient ‘‘indicator of the development law can be pointed out and how these aspects are
of ecosystem structure and changes in species linked to each other.
composition. Structural exergy, in particular, should Instead, the tentative fourth laws presented in this
be considered an appropriate measure of ecological article are not summarized in Table I due to a lack of
integrity.’’ He also noted that his tentative fourth law, consensus on their general validity. However, they
like the other laws of thermodynamics, cannot be are very interesting attempts to describe and quantify
proved by means of deductive methods and can at the growth of complexity, the storage of information,
best only be proved by inductive methods (i.e., by the the distance from thermodynamic equilibrium of
results of as many cases as possible). He investigated systems at different hierarchical levels, and the
and published a huge number of ecological systems strategies of ecosystem development. In other words,
cases, providing empirical data and simulation all of them stem from the need to explain why self-
models in support to his statement. However, he organization processes occurring in open systems
had to admit that ‘‘it is hardly possible to make seem to violate the second law dictate and how they
deterministic statements about the development of instead generate low-entropy complex structures.
an ecosystem’’ and that ‘‘it is absolutely necessary to The equilibrium thermodynamics was more easily
test the tentative law with many more case studies described in terms of formal and mathematical
before it can be recommended to use it more statements than nonequilibrium thermodynamics
generally.’’ due to the nondeterministic nature of self-organizing
Thermodynamics, Laws of 123

complex systems. Simplifying the model in order to Sciences, Paris. [Original work published 1824; English version
give a formal statement of self-organization requires published by Dover, New York, 1960].
Clausius, R. G. (1850). Ueber die bewegende Kraft der Wärme.
assumptions that limit the applicability of the Annal. Physik Chemie 79, 368–397, 500–524. [Translated and
statement to real systems and do not capture their excerpted in Magie, W. F. (1935). ‘‘A Source Book in Physics.’’
complexity. The tentative fourth laws share the goal McGraw-Hill, New York].
of identifying clear links between thermodynamics, Eddington, A. S. (1948). ‘‘The Nature of the Physical World.’’
Macmillan, New York.
ecology, and evolution.
Georgescu-Roegen, N. (1971). ‘‘The Entropy Law and the
Born as an applied science aimed at usefully Economic Process.’’ Harvard Univ. Press, Cambridge, MA.
converting heat into mechanical work, thermody- Giannantoni, C. (2002). ‘‘The Maximum Em-Power Principle as
namics rapidly developed into a more general system the Basis for Thermodynamics of Quality. SGE Società Grafica
of knowledge encompassing almost all branches of Editoriale, Padova, Italy.
life sciences. There is virtually no aspect of reality that Giannantoni, C. (2003). The problem of the initial conditions
and their physical meaning in linear differential equations
cannot be described in thermodynamic terms, and of fractional order. Appl. Mathematics Computation 141,
there is virtually no phenomenon that is not subject to 87–102.
the thermodynamic principles. Eddington stated, Glansdorff, P., and Prigogine, I. (1971). ‘‘Thermodynamic Theory
of Structure, Stability and Fluctuations.’’ Wiley, New York.
If someone points out to you that your pet theory of the Hatsopoulos, G., and Keenan, J. (1965). ‘‘Principles of General
universe is in disagreement with Maxwell’s equations––then Thermodynamics.’’ Wiley, New York.
so much the worse for Maxwell’s equations. y But if your Jrgensen, S. E. (1992). ‘‘Integration of Ecosystem Theories:
theory is found to be against the second law of thermo- A Pattern.’’ Kluwer, Dordrecht.
dynamics I can give you no hope; there is nothing for it but Jrgensen, S. E. (2000). The tentative fourth law of thermo-
to collapse in deepest humiliation. dynamics. In ‘‘Handbook of Ecosystem Theories and Manage-
ment’’ (S. E. Jorgensen and F. Muller, Eds.), pp. 161–174.
Its generality was unconvincing to many, whereas the Lewis, Boca Raton, FL.
Joule, J. P. (1845). On the existence of an equivalent relation
complex thermodynamic interrelationships within
between heat and the ordinary forms of mechanical power.
living systems very often made the inner essence of Philosophical Magazine 27(Series 3), 205.
this science difficult to capture. There is no doubt, Kelvin (Lord, Thomson, W.) (1851, March). On the dynamical
however, that thermodynamics can be defined as the theory of heat: With numerical results deduced from Mr. Joule’s
general science of energy, not only because of its equivalent of a thermal unit and Mr. Regnault’s observation on
steam. Trans. R. Soc. Edinburgh.
ability to fully describe energy transformations in
Kestin, J. (1966). ‘‘A Course in Thermodynamics.’’ Blaisdell,
human-dominated devices (from which it started) Boston.
but also because of its still developing ability to Landsberg, P. T. (1961). ‘‘Thermodynamics with Quantum
describe and explain all energy and matter transfor- Statistical Illustrations.’’ Wiley–Interscience, New York.
mations within any systems in the biosphere (and the Landsberg, P. T. (1972, July). The fourth law of thermodynamics.
Nature 238, 229–231.
universe as well).
Lotka, A. J. (1922a). Contribution to the energetics of evolution.
Proc. Natl. Acad. Sci. USA 8, 147–151.
Lotka, A. J. (1922b). Natural selection as a physical principle.
SEE ALSO THE Proc. Natl. Acad. Sci. USA 8, 151–155.
FOLLOWING ARTICLES Nernst, W. (1906). Ueber die Berechnung chemischer Gleichge-
wichte aus thermischen Messungen. Nachr. Kgl. Ges. Wiss.
Gött. 1, 1–40.
Complex Systems and Energy  Conservation of Nicolis, G., and Prigogine, I. (1977). ‘‘Self-Organization in
Energy Concept, History of  Entropy  Entropy and Nonequilibrium Systems.’’ Wiley–Interscience, New York.
the Economic Process  Physics and Economics of Odum, H. T. (1988). Self-organization, transformity, and informa-
Energy, Conceptual Overview  Temperature and Its tion. Science 242, 1132–1139.
Odum, H. T. (1996). ‘‘Environmental Accounting: Emergy and
Measurement  Thermodynamics and Economics, Environmental Decision Making.’’ Wiley, New York.
Overview Onsager, L. (1931). Reciprocal relations in irreversible processes.
Phys. Rev. 37, 405–427.
Prigogine, I. (1978). Time, structure, and fluctuations. Science 201,
Further Reading
777–785.
Bianciardi, C., Tiezzi, E., and Ulgiati, S. (1993). Complete Schneider, E. D., and Kay, J. J. (1994). Life as a manifestation of
recycling of matter in the frameworks of physics, biology and the second law of thermodynamics. Mathl. Comput. Modelling
ecological economics. Ecol. Econ. 8, 1–5. 19(6–8), 25–48.
Carnot, L. S. (1927). ‘‘Réflexions sur la Puissance Motrice du feu e Szargut, J., Morris, D. R., and Steward, F. R. (1988). ‘‘Exergy
sur les Machines Propres à Developper cette Puissance. Analysis of the Thermal, Chemical and Metallurgical Pro-
Biographie et Manuscripts de Sadi Carnot.’’ Académie des cesses.’’ Hemisphere, London.
Thermoregulation
JOHN R. SPEAKMAN
University of Aberdeen and Rowett Research Institute
Aberdeen, United Kingdom

dependent on temperature; therefore, there is only a


1. Introduction narrow range of body temperatures within which
2. Mechanisms of Heat Exchange metabolic processes can be optimized. Once body
3. Managing Heat Flows temperatures move outside these relatively narrow
4. Summary limits, animals start to experience profound reduc-
tions in their cellular functions and this has
ramifications for their performance at the whole
animal level. For many animals, exposure for even
Glossary
short periods to temperatures more than 101C below
aestivation Reducing energy expenditure below basal or 51C above those at which they routinely regulate
levels at very high ambient temperatures. their body temperatures is often fatal.
basal metabolic rate The lowest metabolic rate reached by
an animal maintaining bodily functions when at rest
and not having recently eaten a meal.
behavioral thermoregulation Behaviors that alter manage- 1. INTRODUCTION
ment of heat flows from outside to allow regulation of
body temperature. The set points at which body temperatures are
endothermy Regulation of body temperature primarily regulated vary tremendously among different animal
using generation of heat internal to the animal.
groups. however, many animals regulate their body
euthermic Precise regulation of body temperature around
a set point in the approximate range of 35 to 45oC.
temperatures in the range of 30 to 451C (303–318 K),
exothermy (ectothermy) Regulation of body temperature and these animals are generally termed ‘‘euthermic.’’
using management of heat sources primarily external to Body temperature can be regulated by altering the
the animal. flow of heat into and out of the animal (behavioral
heliothermy Thermoregulation primarily dependent on thermoregulation or exothermy) and by generating
varying the interception of incoming solar radiation. heat internally (endothermy). Different species vary
homeothermy (homiothermy) An outmoded term describ- in the extent to which they use these alternative
ing the stability of body temperatures of endothermic strategies for regulating their body temperatures, and
animals; literally ‘‘constant temperatured.’’ in most animals the strategies are combined to
physiological thermoregulation Physiological strategies varying extents. However, the physical laws that
that contribute to heat balance.
govern the amounts of energy required under various
poikilothermy An outmoded term describing the varia-
tions in body temperatures of exothermic animals;
circumstances are common to all animals, indepen-
literally ‘‘variable temperatured.’’ dent of how they ultimately meet these demands.

Thermoregulation describes the process by which 2. MECHANISMS OF


animals manage the flow of energy into and out of HEAT EXCHANGE
their bodies, with the aim of maintaining a relatively
constant body temperature within a range of 2 to All animate and inanimate objects exchange energy
31C. Most vertebrate animals attempt to regulate with their surroundings by four different mechan-
their body temperatures within such relatively isms: radiation, convection, conduction, and eva-
narrow limits because enzyme functions are strongly poration. This section reviews the essential features

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 125
126 Thermoregulation

of these physical mechanisms in the context of their 1.0 (equal to the emissivity of a perfect emitting
importance for animal heat balance. blackbody) and 0.0 (meaning the body would emit
no radiation).
All objects emit amounts of radiation that are
2.1 Radiation
dependent on their surface temperatures and surface
All objects emit electromagnetic radiation. The emissivities, and all objects also absorb radiation.
emitted radiation can be characterized by two Humans emit only in the infrared, and they absorb in
parameters: the wavelength of emitted radiation both the infrared and visible spectral ranges. Objects
and its intensity. Emitted radiation has a character- that are good at emitting radiation at a certain
istic distribution of wavelengths that depends on wavelength are also good at absorbing it. Because the
surface temperature of the emitting object. The dominant sources of radiation are bimodally dis-
distribution at any particular temperature is peaked tributed with respect to their dominant wavelengths
with a positive skew. The wavelength of modal (i.e., in either the infrared or visible ranges), the
intensity varies as a function of the surface tempera- capacity to absorb long- and shortwave radiation
ture. As objects get hotter, the wavelength of peak separately is often discussed. Longwave radiation
intensity of radiation they emit gets shorter. This emissivity/absorptivity tends to bear little relation to
inverse relationship is generally called Wien’s dis- the color of the emitting surface as humans perceive
placement law. Most objects on the surface of the it. Most animate objects have high water contents,
earth have surface temperatures in the range of 253 and because water is a good emitter of longwave
to 313 K. The peak wavelengths of radiation emitted radiation, surface emissivities and absorptivities of
by objects in this temperature range are in the most living organisms tend to be high (B0.95).
infrared. Because human eyes cannot detect infrared However, absorption and reflection of shortwave
radiation, one cannot see the emitted radiation from radiation do vary with the color of the surface.
most natural earth-bound objects directly. Glowing Hence, dark colors have high absorptivities and light
larva, molten metals, and hot coals in fires are colors have low absorptivities. Capacities to absorb
notable exceptions of earth-bound objects that reach shortwave radiation are defined by the term ‘‘albe-
sufficiently high temperatures that the emitted do.’’ This is a value between 0.0 and 1.0 that
radiation is directly visible by humans. Some animals expresses the capacity of a surface to absorb short-
have special sensory adaptations that enable them to wave radiation relative to a perfect whitebody
detect infrared radiation. In particular, a group of reflector. Hence, an object with an albedo of 1.0 is
snakes known as pit vipers can perceive emitted a perfect reflector and absorbs minimal amounts of
radiation from objects in the range of 273 to 313 K incident shortwave radiation, whereas an object with
and use this to detect their prey. Because the prey an albedo of 0.0 is a good absorber. People can
thermoregulate, they are generally hotter than their directly experience the impact of variations in albedo
surroundings and, thus, emit radiation with greater on absorbed radiation amounts very easily by
intensity and at higher wavelengths. changing the color of their clothing and exposing
The other main source of radiation on earth comes themselves to bright sunlight. Few people will fail to
from the sun. The surface temperature of the sun is recognize the advantages of wearing light-colored
approximately 6000 K. The wavelengths of radiation clothing on hot summer days. This trend of wearing
generated by objects at this temperature are between light-colored clothing during summer is a behavioral
400 and 700 nm. It is no coincidence that this is the thermoregulatory behavior.
range of wavelengths to which humans’ eyes are An interesting question that puzzled researchers
sensitive and which, therefore, is defined as the for a considerable period is why races of humans
visible spectrum. When one sees ‘‘an object,’’ what that originate in tropical areas have dark skin colors
one actually sees is the electromagnetic radiation that compared with races that come from areas in the
is reflected from its surface. The amount of energy temperate and arctic regions. Explanations of this
that is radiated by a body depends on the surface difference often suggested that skin color was related
temperature of the object and on whether it is a good to both long- and shortwave radiation and that,
or poor emitter of radiation. An object’s capacity to overall, the dark skin color was advantageous in hot
emit radiation is defined relative to that of a perfect conditions because on balance it absorbed less
emitter, which is called a blackbody emitter. Capacity radiation. However, this explanation is incorrect.
of a surface to emit radiation is defined by a term In fact, dark skin is not a thermoregulatory
called the emissivity (e). Emissivities vary between adaptation at all but rather is a response to increase
Thermoregulation 127

absorption of shortwave radiation before it can that of still air. This is why natural and man-made
penetrate the skin and cause dangerous lesions to insulative materials tend to consist of structures that
epithelial cell DNA. This means that dark races aim to trap air and keep it stationary (e.g., expanded
actually do absorb more shortwave radiation than polystyrene). In fact, the thermal conductivity of fur
do their light-skinned counterparts. However, the exceeds that of still air, so if the fleece of a sheep is
benefits of this absorption are illustrated by compar- compressed (thereby reducing the amount of air
ing the rates of skin cancers in aboriginal Austra- trapped in it), the conductance of heat across the fur
lians, where skin cancer is virtually unknown, and actually increases.
white Australians, who have a broadly European One might imagine that because most animals do
heritage and where skin cancers occurred in nearly not have large amounts of their surfaces in contact
3% of the population during the early 1990s until with other solid objects, the role of conductance in
vigorous campaigns were started to encourage safe the process of heat exchange would be minimal. But
practices when out in the sun. although this is generally true, one area where
The intensity of emitted radiation is very strongly understanding the principles of conductance is
dependent on surface temperature. In fact, emitted important is in understanding the flow of heat from
radiation is proportional to the surface emissivity the core of a body to its surface. Because animals
multiplied by the absolute surface temperature (K) consist of solid objects, the heat flows from the
raised to the fourth power. This scaling exponent of 4 central core to the surface via conductance. To
is very important because it means that as objects get understand the flow of heat from an animal’s core to
hotter, the amounts of emitted radiation become the surrounding air, imagine that heat is produced
disproportionately large. Hence, the surface of the centrally at a notional single point. The heat flows
sun at 6000 K is only 20 times hotter than humans first through the tissues, carried partly by blood flow
are, at approximately 300 K, but each square meter through the arterial and capillary network and partly
of the sun’s surface emits 160,000 times more by conduction through the cells and tissues them-
electromagnetic radiation than do humans. Of selves. In some animals, the heat must then flow
course, because of the inverse square law and the through a barrier of fur or feathers, primarily by
fact that the earth is 150 million km from the sun, conduction through the hairs or feathers themselves
the amounts intercepting our planet are very much but also by conduction through the trapped air, and
diminished. The consequence of this is that short- finally dissipates from the thin boundary air layer
wave solar radiation input and longwave radiation overlying the outer surface of the fur, primarily by
outputs of our bodies are of the same order of convection and the net loss of thermal radiation.
magnitude, with both being approximately 1 kW per Both the type of heat transport and the path length
square meter of surface along which heat must travel determine the resis-
tance that each layer offers to the flow of heat. Heat
is transferred not only by conductance but also by
2.2 Conduction
convection due to movement of the blood, and the
When any two solid objects are in direct physical process of convection transfers heat much more
contact, they exchange heat. Heat is ‘‘conducted’’ rapidly than does the process of conduction. Thick
from the hotter object to the cooler object. The rate layers of material with low conductivity by definition
at which the heat flows depends on the surface area offer more resistance to heat flow than do thin layers.
that is in contact between the bodies, properties of Because each layer offers a resistance to heat flow,
the material that connects them, and the path temperature drops progressively between the core
distance over which the heat is being conducted. and the skin, through the fur, and finally into the
The main property of an object that defines its surrounding air. The extent to which the temperature
capacity to conduct heat is called its thermal drops across a given layer is determined by the
conductivity. Objects that conduct heat well are said proportional contribution of that layer to the total
to have high thermal conductivity, whereas those that resistance offered by all layers to the flow of heat.
conduct poorly are said to have low thermal A thick and efficient fur or feather layer, which offers
conductivity. The inverse of conductivity is thermal a high resistance to heat flow, will exhibit a large
insulation. Typical high-conductivity/low-insulation drop in temperature between its inner and outer
objects are metals and rocks, whereas typical low- surfaces, and the total flow of energy across it will be
conductivity/high-insulation materials are wood and reduced. Conversely, the difference between the core
fur. Among the lowest thermal conductivities of all is of the body and the area under the skin may differ
128 Thermoregulation

very little in temperature due to the high conductivity the heat flow and the temperature drop across that
(assisted by convection effects). layer if the total heat flow is known (Rx ¼ DT1x/H). A
There are very strong parallels between thermal third is that the relative importance of each layer in
and electrical conductivity and the concepts of limiting heat flow is easy to visualize. Just as the
thermal insulation and electrical resistance. Concepts voltage drop (DVx) across a single resistor of a series
of electrical circuitry have been widely borrowed to can be predicted by the ratio of that resistor (Rx) to
help explain how heat flows within animals from the total circuit resistance (DVx ¼ [Rx/Rtotal]  V), the
core to periphery. In this context, it is useful to temperature drop across a given layer is determined
imagine the heat as though it were electricity flowing by the proportional contribution of the resistance in
through a number of resistances that may be that layer to the total resistance offered by all layers
arranged in parallel within a given layer and in (DT1x ¼ [Rx/Rtotal]  DT1). Moreover, in this analogy,
series between layers. The value of this approach is the total current (I) is equivalent to the total heat flux
that it allows one to apply the same formulas that (H). Thus, factors that diminish I, such as elevated
predict current and voltage in electrical circuits: total resistance, can also be seen to parallel the
I ¼ V/Rtotal, where I is the current, V is the voltage effects of elevated total insulation on total heat
potential, and Rtotal is the circuit resistance. When requirement.
thinking in terms of heat rather than electricity, we When peripheral blood flow is high due to dilation
simply substitute heat flow (H) for I, temperature of the capillaries under the skin surface, considerable
gradient (DT1) for V, and the sum of the resistances amounts of heat are transported to the skin surface
in the various layers for Rtotal. Thus, the overall by convective blood flow and the ratio of tissue
flow of heat away from the core is calculated by resistance to the total resistance (Rtissue/Rtotal) is
H ¼ DT1/Rtotal, and because R ¼ 1/C, this is the same small. As a result, there is only a small temperature
as H ¼ DT1  C. difference between core and skin, and the skin is seen
There are several benefits to thinking in terms of as ‘‘hot.’’ The surface temperature depends on the
resistances and DT1. One is that the overall resistance thickness of the overlying insulative layer and, thus,
(Rtotal) can simply be found from the sum of the the total resistance afforded to heat flow along any
equivalent resistances for each layer, remembering particular path. A thermal image of an animal that
that an equivalent resistance refers to a single picks up the emitted radiation clearly shows this
resistance that could replace two or more resistances variation in surface temperature as a function of the
in parallel. A second benefit is that the resistance thickness of the insulative layer and the resultant
offered by a given layer (x) can be calculated from heat loss across this layer. Figure 1 shows a thermal

A B
〉37.1
35.0
33.8
32.6
31.4
30.3
29.1
27.9
26.7
25.6
24.4
23.2
22.0
20.9
19.7
18.5
〈18.5

FIGURE 1 (A) Thermal image of a perching bird (a European starling, Sturnus vulgaris) and (B) a photograph of the same
bird. In the first image (A), the camera detects the emitted longwave radiation and a computer uses the intensity of this
radiation to generate, in real time, a map of the surface of the animal (see temperature scale at the side of the image). The
second photographic image (B) relies on reflected shortwave radiation from the animal’s surface. The surface temperature in
panel A depends on the thickness of the external insulation layer. Areas where the layer is thinnest, particularly the head and
legs, have the highest temperatures and the greatest flux of heat energy
Thermoregulation 129

image of a perching bird illustrating that the hottest approximately 21.7, 46.9, and 262.9 (W/1C/mm)–1,
areas are the legs and the face where the feathers are respectively. For a lean animal having no fat deposit,
either absent or thin. The coolest areas are where the the tissue resistance is 4 mm  21.7 (W/1C/mm)–1, the
wings add an extra layer of insulation over the fur resistance is 6 mm  262.9 (W/1C/mm)–1, and
animal’s lateral and ventral surfaces. Understanding the overall resistance is the sum of the two or 1664.2
this regional variation in surface temperature pro- (W/1C)–1. Adding a 1-mm subcutaneous fat layer
vides clear insight into why roosting birds often tuck would increase the overall resistance by 1 mm  46.9
their heads down under their wings and pull one leg (W/1C/mm)–1, raising the overall resistance to 1711.1
up into their ventral plumage. By doing so, the birds (W/1C)–1, only 2.8% higher than the lean condition.
conceal the hot parts of their bodies under layers of Thus, the fat layer would reduce heat flow by only
insulation and, thus, reduce the total heat flux. This 2.8%. Therefore, we can conclude that 1 mm of fat is
is another form of behavioral thermoregulation. not an effective barrier to heat loss for small
Clearly, if the skin surface is hot due to dilation of terrestrial animals and that fat storage in hibernators
the capillaries, another mechanism that animals and other small animals probably does not serve as
might use to conserve heat is to reduce the flow of an insulator.
blood to the surface by closing down these capil-
laries, that is, vasoconstriction. In these conditions,
2.3 Convection
convective heat transport to the skin declines toward
zero. Most of the tissue resistance is now determined Conduction of heat occurs when two solids of
by the slower conduction of heat through the tissue different temperature are in contact. Convection
matrix. The skin is seen as ‘‘cool’’ due to this increase occurs when a solid is in contact with a fluid
in tissue resistance, resulting in a higher Rtissue/Rtotal (generally air or water on Earth) of different
ratio. As a result, less heat is delivered to the base of temperature. The ‘‘different temperature’’ part of
the fur, DT1 through the fur is smaller, and heat flow this definition is often neglected, but it is clear that
through the fur is reduced. energy can only flow down a thermal gradient, so if
The ability to depress skin temperature by there is no temperature differential the heat flow will
vasoconstriction is affected by body size. By defini- similarly disappear. Using a fan increases airflow
tion, small animals have short path lengths between across the surface of the face, and because this is
the organs (where much of body heat is produced) naked skin that is well perfused with blood, the
and the skin surface, whereas large animals necessa- increase in convective heat flow is an effective way in
rily have longer path lengths. As a result, small which to contribute behaviorally to thermoregula-
animals have relatively low tissue resistance, and tion by elevating surface heat losses. However, there
hence high skin temperatures, compared with those is an increase in endogenous heat production when
of large animals. This effect may be enhanced not using a fan due to the muscular activity involved in
only by constricting the blood supply to the surface the waving motion. Once air temperature rises to the
but also by covering the undersurface of the skin same level as skin temperature, heat losses fall to
with a layer of fat or blubber. Fat has a lower thermal zero no matter how hard one fans. The heat
conductivity than does lean tissue and, hence, acts as generated by fanning exceeds that from cooling
a barrier to heat flow. The best-known examples of under these conditions.
this are the aquatic seals and whales that rely on a In fact, the heat loss by convection is a function of
thick layer of subcutaneous blubber as insulation. several factors. One is the driving temperature
Many terrestrial hibernating mammals also lay down gradient, that is, the difference in temperature
substantial subcutaneous fat deposits. Although fat between the solid and the fluid in which it is
in these hibernating animals serves primarily as a immersed. The area over which heat is being lost is
means of energy storage, by analogy with aquatic obviously important, and the shape and structure of
mammals, one might be led to think that fat could the surface also affect how exposed it is to the fluid
also have a secondary role as an insulation layer for flow and, hence, the magnitude of the impact of the
terrestrial animals. To analyze this problem, one velocity of flow. The conductivity of the fluid is also
should imagine a small lean animal with a tissue path an important factor. For example, water has a
length of 4 mm and a fur thickness of 6 mm and then conductivity 23 times greater than that of air, and
consider what effect the deposition of a 1-mm thick this greatly magnifies the cooling effect of convection
subcutaneous fat deposit would have on heat flow. in water. Although velocity is a factor in heat loss by
Muscle, fat, and fur offer resistances to heat flow of convection, there is still some loss when an object is
130 Thermoregulation

stationary and there is no external flow of the fluid. because it is the only method they can employ to
This is a state called free convection. Free convection keep cool if ambient temperatures exceed their body
occurs because the air close to the surface of an temperatures. Evaporation involves using energy to
object becomes heated by the object itself, and as this convert liquid water into the gaseous phase. Because
air warms up, its density declines and it rises upward. water is strongly hydrogen bonded, the amount of
Standing humans in a completely still condition have energy required to convert liquid water to gas is high
plumes of hot air rising off the tops of their heads, and, thus, evaporation is a very effective method for
and this hot air is replaced by colder air coming in cooling down. To achieve this, many animals have
from below. Therefore, convection currents are specialized mechanisms such as sweating (where
generated by the existence of a hot object within a water oozes onto the surface of the animal and
cool liquid. But clearly, as the fluid moves as a whole, evaporates from there), panting (where a respiratory
the velocity of that flow influences the convective airflow is passed over the tongue to promote
heat loss. This is a state of forced convection. evaporative losses), and self-anointing (where the
The interaction between surface characteristics animal licks itself and the evaporating saliva provides
and velocity of flow on forced convective heat loss is the cooling). The capacity for evaporation depends
complex. However, the relationship between airflow on the ability of the surrounding medium to accept
and heat loss generally follows a nonlinear pattern of water vapor. The capacity of air to hold water vapor
diminishing increase with increasing velocity until at increases as a function of temperature. When the air
some point further elevations in velocity have only is saturated, it is said to have a relative humidity of
marginal effects. The exact exponent to which 100%. At this point, the air can accept no further
velocity is raised in these relationships varies some- water vapor and net evaporation from the surface of
what with the shape and surface structures on the an object in that air ceases. This is why humid
object, but a commonly assumed exponent is 0.5. conditions are far more uncomfortable for humans
Thus, heat loss increases as a function of the square than are dry conditions, even though in the latter
root of fluid velocity. This is because the surface case it may be hotter in absolute temperature. In dry
insulation is provided primarily by the thin skin of conditions, one can thermoregulate by evaporation,
still air at the body surface known as the boundary but when the conditions also include very high
layer. This air is gradually stripped away as velocity humidity, even this avenue for heat loss is shut down.
increases, but eventually when it has all gone, there is
nothing else to lose. The manner in which the
boundary layer is stripped depends on how the flow 3. MANAGING HEAT FLOWS
transits from laminar to turbulent flow, and char-
acteristics of the shape and surface can influence this For very small animals (less than 1 mg), their surface
transitional velocity, thereby complicating the exact areas are such that sustaining any temperature
value of the exponent. It is clear that animals can use differential between the inside of the animal and
these properties to minimize convective heat loss by the environment is nearly impossible. These animals
altering their shape to promote laminar flows. The maintain a constant internal temperature only by
example cited earlier of birds tucking their heads locating themselves in an environment where the
under their wings and standing on one leg may also temperature itself is constant. If the environment
function to present an aerodynamically favorable fluctuates in temperature, the animals have mechan-
perspective in an airflow to minimize turbulent isms to avoid the most extreme conditions in
airflow and, thus, minimize convective heat loss. suspended states until the conditions improve again.
Most lower invertebrates approach the problem of
thermoregulation in this manner, that is, by avoid-
2.4 Evaporation
ance. However, once animals become larger, their
The previous three modes of heat flow all work down relative surface areas decline and it becomes feasible
temperature gradients. Heat flows from hot objects to sustain a temperature differential between the
to cold objects by the processes of radiation, inside and outside of their bodies. This means that
conduction, and convection. However, evaporation the animals can maintain homeostasis of their
allows an object to lose heat even if the surrounding internal temperatures despite the range of external
medium in which it is immersed is hotter than the conditions and the variability in internal heat
object itself. This is consequently an essential production as a by-product of activity. Most larger
thermoregulatory mechanism for many animals invertebrates have some limited capacities to regulate
Thermoregulation 131

their temperatures to some extent, and they combine each milliliter of oxygen extracted, the cooling power
these capacities with physiological or actual physical available to fish is approximately 23  40 ¼ 920
avoidance to survive temperature extremes. times greater. Fortunately, elevated oxygen require-
However, it is in the vertebrates that thermo- ments occur when the animals are active and
regulation has evolved to its greatest diversity and generating the most heat. So, there is an automatic
sophistication. The remainder of this article discusses passive feedback system that keeps the body tem-
the thermoregulatory strategies adopted by the major peratures of fish at the same level as their environ-
vertebrate groups. ment regardless of their level of activity. When
activity increases accompanied by an increase in
heat production, increased ventilation of the gills to
3.1 Fish
get oxygen to support the activity automatically
Most fish spend most of their lives in water. This dumps the excess heat, avoiding overheating.
lifestyle simplifies the consideration of heat fluxes This is a workable strategy so long as the
because it is not possible to engage in evaporation environmental temperature remains stable. However,
underwater, and beyond only a few meters of depth temperatures vary spatially in bodies of water,
nearly all radiation has been absorbed. Thus, the particularly if the water is shallow and able to be
heat budget management of fish is more simplified heated by the sun in places but shaded elsewhere.
than that of terrestrial vertebrates. Water has a high Moreover, most bodies of water develop thermal
specific heat capacity and, hence, tends to buffer stratification where the upper layers are heated by
environmental extremes. For example, the surface solar radiation effects but there is an abrupt
temperature of the Pacific Ocean differs by approxi- thermocline separating this surface-heated water
mately 5 K over a distance of several thousand from the more stable cold water at depth. Obviously,
kilometers. The same temperature difference on land fish might swim into such cool areas or into hot
can be found between the shaded and exposed sides areas, with potentially serious consequences for their
of a tree, that is, over a distance of a few meters. body temperatures. Fish accommodate such spatial
Therefore, fish are generally in a medium where the temperature effects by behavioral strategies. They
external temperature is relatively stable. The key swim faster and turn more as they move into water
problem, then, is that because of variations in that is cooler or hotter than their preferred tempera-
activity, as well as variations in the energy required ture, and these simple kinetic mechanisms bring the
to digest food, the rates of endogenous heat animals back to an environment with a water
production by the animals fluctuate widely. Because temperature they prefer. However, if rapid tempera-
the external temperature is relatively constant, the ture changes occur across an entire area, the animals
driving gradient for heat loss by convection would have no mechanisms to avert disaster. Anyone who
also appear to be constant. Therefore, one might has kept tropical fish and had a heater fail in the tank
anticipate that as fish become active, they may in a cold temperate environment likely has observed
experience thermoregulatory problems dissipating the inability of fish to survive such an event. In the
their body heat. wild, these situations must be very rare. However,
However, in addition to having high thermal seasonal shifts in the temperature of the environment
conductivity relative to air, water has a low oxygen are commonplace, and fish have evolved a series of
content relative to air. In fact, even oxygen-saturated complex behavioral and physiological responses to
water has only 1/40th the oxygen content of atmos- overcome such seasonal effects.
pheric air. Therefore, fish need extremely efficient In fact, a common strategy in the face of the
mechanisms to extract oxygen from their environ- change is simply to avoid it by migrating, and many
ment to support their metabolism. The main fish species do this in the ocean. However, in
mechanism they use is a countercurrent exchange freshwater lakes where the whole available environ-
mechanism in the gill arches, which have highly ment is heating or cooling, migration is often not an
specialized enlarged surfaces to facilitate oxygen option. As water cools down, the problem facing the
uptake and the removal of carbon dioxide generated fish is that their cellular performance, and hence
by oxidative metabolic processes. What is a good metabolic and ultimately whole body performance,
mechanism for extracting oxygen from water is also might be compromised. The issue then is to sustain
a very efficient mechanism for getting rid of body cellular processes functioning at the lower tempera-
heat. Indeed, because water has 23 times the cooling ture. To achieve this, fish alter the amounts of
power of air yet only 1/40th the oxygen content, for enzymes they manufacture, shift production to
132 Thermoregulation

isozymes that work best at lower temperatures, and have reached thermal equilibrium with its surround-
modulate the medium in which the enzymes are ings and have a body temperature similar to that of
working to maximize their activities. These have the box. If it was cold, the body temperature would
been called the quantitative, qualitative, and mod- also be cold and the animal would have the
ulative responses, respectively, and together they consequent impacts of reduced body temperature
comprise the physiological thermoregulatory strategy on performance, including extremely sluggish move-
that allows fish in seasonally changing environments ments and a generalized inability to respond to
to survive without running away. stimuli. Therefore, it is a small wonder that the
However, some fish do not conform to this pattern animals were termed ‘‘cold-blooded’’ or poikliother-
of thermoregulatory control. This group includes mic (literally ‘‘variable temperatured’’), reflecting the
tuna, swordfish, and large game fish such as marlin. notion that they were incapable of thermoregulation
In these animals, there is a complex countercurrent and, thus, that their body temperatures varied along
heat exchange blood flow that reclaims heat from the with the many temperatures of the environment. One
blood before it passes through the gills. Hence, blood of the few physiological skills the animals appeared
at the gills is at water temperature, and blood in the to have was the ability to survive body temperature
core body can be up to 151C warmer. This allows fluctuations that would be lethal to most mammals.
these animals considerable flexibility to sustain This notion arose from the abstraction of these
performance in waters of varying temperature, and animals from their environment. When a pioneering
they use this capacity to swim below the thermocline group of physiologists during the 1950s started to
into cooler waters and exploit prey populations examine animals in the wild, they uncovered the true
living there. nature of reptilian thermoregulatory capacities. In
fact, during the daytime, most reptiles are very good
at regulating their body temperatures within very
3.2 Reptiles
narrow limits. They do this primarily by regulating
Most reptiles live on land. Therefore, the problems the level of absorption of shortwave radiation. To
they face include those faced by fish, of highly increase body temperature, reptiles bask in the sun.
variable rates of endogenous heat production when They maximize uptake of absorption by exposing the
the animals are physically active or digesting food. maximal area they can toward the sun, adopting
But combined with this problem is the fact that the body angles that maximize interception of radiation.
environment in which reptiles often find themselves Many reptiles have specialized dark patches on their
contains a tremendous spatial matrix of conditions surfaces that serve to decrease surface albedo and,
where potential heat flux varies over orders of thus, absorb more incident shortwave radiation, not
magnitude. Moreover, the modes by which heat unlike little thermal windows on their surfaces. By
flows between the animals and their environment locating themselves onto hot surfaces that have
entails a level of complexity way above that heated up in the sun, they can gain additional energy
experienced by the average fish because radiation, to heat themselves by conduction. To cool down, the
evaporation, and conduction all come into play in animals turn themselves away from the sun, mini-
addition to convection. Therefore, as might be mizing their interception area and turn their dark
anticipated, reptiles have extremely sophisticated patches away so that they no longer absorb. If the
thermoregulatory capacities to sustain their bodies problem is severe, they seek shaded areas where the
at relatively constant temperatures in the face of this incoming shortwave radiation is massively reduced
potential heat management nightmare. and the substrate in which they are in heat exchange
This seems so obvious that it may come as a by conduction is cooler. Ultimately, animals may
surprise to find that for a long time the thermo- avoid the environmental extremes by burying them-
regulatory capacities of reptiles were considered selves, either under rocks or in the substrate itself.
extremely rudimentary. These impressions came The dependence of reptiles on shortwave radiation
from observations made during the 1800s of animals from outside their bodies to control their energy
that had been captured in the wild. The typical balance, and hence their body temperatures, has been
reptile was captured from the wild and held over- termed ‘‘heliothermy’’ (from helios or ‘‘the sun’’).
night in a box, as was frequently the practice for However, a more common term emphasizing the fact
animal collectors. When the reptile was removed that most of the heat used to control body
from the box the next morning (assuming that the temperature is from external sources is ‘‘exothermy’’
animal was not unduly large), it would generally or ‘‘ectothermy.’’ One disadvantage of relying so
Thermoregulation 133

heavily on the solar radiation for energy is that once However, other reptiles certainly do have the
the sun goes away, the animals are deprived of their capacity to generate heat internally. Probably the
primary heat source and start to cool down. This is best example of this is brooding pythons. These large
why reptiles left in boxes overnight generally have snakes are able to generate heat internally, allowing
body temperatures in the morning that are at the them to transfer heat to their eggs and thereby
same temperature as the ambient temperature and, stabilize incubation temperatures. The mechanisms
thus, appear to be unable to thermoregulate. This involved in this internal heat production appear to
thermal dependency is mitigated somewhat by size include only shivering, that is, systematic contraction
given that larger animals, by virtue of their greater of the skeletal muscles not linked to gross body
surface/volume ratio, cool more slowly. For example, movement that generates heat as a by-product.
komodo dragons, which are the largest extant However, even in these large snakes, the amounts
lizards, spend all day at body temperatures of of heat generated are insufficient to enable the
roughly 36 to 381C but overnight cool by only 5 to animals to maintain a constant high body tempera-
81C, even when the environmental temperature is ture in the face of declining ambient temperature
approximately 20 to 251C. This slow cooling is when there is no external source of radiation.
primarily a function of their large size. The heavy
dependence on the sun also explains why the
3.3 Birds and Mammals
distribution of reptile species is primarily tropical.
Problems arise for reptiles if they require going If a bird or mammal is placed overnight in a box, and
into water. Because of the very high thermal the animal is deprived of an external source of heat
conductivity of water, combined with the fact the but is provided with food, in the morning its body
animals are cut off from their usual source of temperature will be largely independent of the
external radiation, reptiles in water cool rapidly to ambient temperature. This contrasting observation
the water temperature. Marine iguanas from the to the response of reptiles led early researchers to
Galapagos Islands routinely feed in the splash zone classify these animals as ‘‘homeotherms’’ (literally
at the top end of beaches and may dive to feed on ‘‘same temperatured’’), reflecting the stability in the
algae up to 3 m deep, spending protracted periods body temperatures, and to assume that these animals
submerged. That these animals can submerge for have much more sophisticated systems of thermo-
long periods without succumbing fatally has been regulation. In fact, the problems faced by birds,
known for some considerable time. Darwin, in The mammals, and reptiles are very similar—enormous
Origin of Species, remarked on a rather crude changes in the driving gradients combined with
experiment performed by a sailor in which a marine great variability in the endogenous heat production
iguana was tethered to rocks and submerged for an due to exercise.
hour but was still alive on recovery. Studies of blood However, the solution to the problem that has
circulation have shown that marine iguanas have evolved in birds and mammals is radically different.
exquisite control over their circulatory systems, This does not mean that birds and mammals do not
allowing them to vasoconstrict during diving to take advantage of the ability to manage their heat
concentrate blood flow in their core and, thus, retard flows in behavioral exothermic ways. Many birds
total heat loss and their cooling rate, but then to and mammals bask in the early morning sun, using
vasodilate on emergence to rapidly heat up by a exogenous shortwave radiation to raise their body
combination of basking (uptake of solar radiation) temperatures. Both groups seek shade to avoid
and direct contact with the black lava rocks that overheating, husky dogs prostrate themselves on
form the beachheads (conduction). Studies of other snow to cool down after running, and nearly all birds
marine reptiles such as sea turtles indicate that and mammals exhibit a large number of other minor
similar circulatory adjustments allow them to mini- behavioral adjustments to manage their heat budgets
mize cooling and/or maximize heating rates by (some of which were mentioned previously in the
adjusting blood flow into their front flippers as they context of describing the modes of heat transfer). But
encounter waters of varying temperatures. Leather- the main difference is that whereas nearly all of the
back turtles might even have some degree of heat used by reptiles is externally derived, for
endothermic heat production beyond the slow cool- mammals and birds it is internally derived. Hence,
ing engendered by their large size, allowing them to these animals are often called ‘‘endotherms.’’ Func-
stray outside tropical waters, but this capacity is a tionally, both birds and mammals are endothermic,
matter of some debate. but the physiological mechanisms they use to
134 Thermoregulation

generate the heat are radically different; birds use A


shivering, whereas mammals have evolved a specia-
lized tissue (called brown adipose tissue) that serves Low-insulation
covering
to generate heat. Heat
Input
To understand the variations in the energy (watts)

demands of endothermy, it is useful to consider the


energy that would be required to sustain the High-insulation
temperature of a beaker of water that nominally covering

represents an animal’s body. If one had a beaker of


warm water at, say, 381C and it was standing in an Ambient Beaker
environment of 201C, it would cool down by the temperature temperature (38°C)

processes of free convection, net radiation losses, and


Minimal
conduction to the surface on which it was standing. B
Maximal
insulation insulation
Therefore, to keep the water hot, one would need to Upper critical
place a heater in it and deliver sufficient energy Metabolic temperature
rate Thermo-
internally to balance these heat losses. Because (watts) neutral
Zone (i)
radiation, convection, and conduction all are func-
tions of temperature difference between the beaker Minimal
metabolic
and the environment, the amount of energy one rate
would need to supply with the heater would be a (ii) Aestivation

linear function of ambient temperature, crossing the


x axis at the temperature of water in the beaker
Ambient Body
(Fig. 2A). That is, the energy one would need to temperature temperature
supply if the ambient temperature was 381C would (38°C)

obviously be zero because the beaker at 381C would Lower


critical
already be in thermal equilibrium. The gradient of temperature
the relation between heat requirement and tempera- FIGURE 2 (A) Heat input required to sustain a beaker of water
ture is termed the ‘‘thermal conductance’’ of the at a constant fixed temperature of 381C as a function of ambient
system under consideration. The gradient of this line temperature and the thermal conductance of the material
reflects how efficiently the body exchanges heat with surrounding the beaker. Lower thermal conductance (higher
its environment. Hence, one could reduce heat flow insulation) leads to lower energy demands. When the environ-
mental temperature equals 381C, the heat requirement falls to
and, hence, the heat requirement by wrapping the zero. (B) Pattern of heat requirement as a function of ambient
beaker in a blanket. The more insulation layers one temperature and thermal conductance, with the minimal metabolic
added, the shallower and shallower the gradient rate ( ¼ heat production) of an animal overlaid on this pattern.
would become as thermal conductance declined. Where the minimal heat production crosses the minimal thermal
In the imaginary system just described, the conductance is called the lower critical temperature point. At
lower ambient temperatures, an endothermic animal must supply
minimal heat requirement to sustain the beaker heat internally to remain at the same body temperature. Above the
temperature is zero. However, real animals cannot lower critical temperature, metabolism remains constant (thermo-
have zero heat production. This is because everything neutral zone) and animals modulate their thermal conductance
they do requires energy. Even when an animal is until they reach their maximal thermal conductance (lowest
completely stationary, all its cellular metabolic insulation) at the upper critical temperature point. Above this
point, animals can recruit mechanisms to dissipate heat but
processes still generate heat as a by-product. If we paradoxically raise their heat production to do this (i), or they can
cross the lines of thermal conductance with this start to shut down their minimal processes and aestivate (ii).
minimal heat production, it becomes clear that these
lines intersect at certain points. These are the
ambient temperatures where the animal’s minimal in animals with lower thermal conductances. At
heat production exactly balances its heat require- temperatures below the lower critical point, an
ment from its thermal conductivity. Above this animal must elevate its endogenous heat production
temperature, the animal is producing too much heat, to balance heat losses if it is to sustain its body
and below this temperature, it is not producing temperatures. The exact requirements track along
enough heat to maintain energy balance. This point the line defined by the thermal conductance. Above
is called the lower critical temperature for an the lower critical point, the problem an animal faces
endotherm. Lower critical temperatures are lower is to get rid of the surplus heat. It can do this by
Thermoregulation 135

making behavioral adjustments that increase thermal external insulation than do temperate and arctic
conductance (e.g., adopting postures that facilitate equivalents, and temperate and arctic animals often
airflow, reducing radiation uptake by seeking shade). molt their external insulation seasonally between a
Humans are uniquely able to rapidly manipulate thick winter coat and a thin summer coat. Indeed,
their external insulation levels by taking off their humans also make the same seasonal and latitudinal
outer clothing. alterations in their external insulation and may make
It is possible, in making these behavioral adjust- such modulations over much shorter time scales of
ments, to elevate conductance so that the minimal minutes as the heat requirements change.
heat production balances the heat loss. However, at What is perhaps less obvious is that the surface/
some point, these behavioral mechanisms can volume ratio effects mean that larger animals also
achieve no greater increase in conductance. When have lower thermal conductances and lower require-
ambient temperatures rise above this point, the ments to balance heat loss (per gram of body tissue).
animal has to do something different. This point is Therefore, a power argument suggests that it is
called the upper critical temperature. Between the advantageous for animals in cold conditions to be
lower and upper critical temperatures of an endo- larger than their conspecifics in warmer climates.
therm, metabolic heat production remains constant This is known as ‘‘Bergmann’s law’’ and has a
and independent of temperature. This zone is called corollary, ‘‘Allen’s rule,’’ that not only should animals
the thermoneutral zone. It is bounded by the upper get larger in colder climates, but their appendages
and lower limits of variation in an animal’s the- should get smaller as well so as to minimize heat
rmal conductance. If temperature rises above the losses. There are many examples of animals con-
upper critical point, an animal can do one of two forming to Bergmann’s law, but as many endotherms
things. First, to balance heat production with heat do not conform to it as do, and many species actually
requirement, it can start to shut down its basic show converse trends. Moreover, many exotherms
metabolic processes and fall into a state of lethargy show similar trends despite the energetics arguments
that is called aestivation. Second, it can spend a little not applying to them. This illustrates that power
energy, paradoxically increasing heat production, arguments and surface/volume ratios are but one of
if the net heat loss by this procedure is increased. many selective pressures on animal body size,
In general, these mechanisms involve increasing making generalizable rules difficult to formulate.
evaporative water loss. When temperatures conti- As animals get very large, they start to face the
nue to rise, this increase gets exponentially steeper problem that their thermal conductance curves are so
as the animal brings into play increasingly desperate shallow that they are nearly always below the
measures to stay cool. Obviously, at some point, minimal metabolism line. These animals face pro-
water loss in these states becomes a critical blems in dissipating heat; consequently, to facilitate
factor, and eventually the animal cannot regulate this process, they reduce the extent of their external
temperature any longer and the body temperature insulation. Indeed, the largest extant land mammals,
starts to rise—perhaps fatally if water cannot be elephants and rhinos, have dispensed with external
replenished. insulative fur completely. However, for most en-
This model of heat loss in endothermic animals is dothermic animals, the main problem they face is
generally called the ‘‘Newtonian cooling model,’’ and keeping heat they generate internally inside their
although it involves several simplifications of the bodies, and that is why nearly all of the endothermic
actual situation observed in many animals, the model birds and mammals have well-developed fur or
highlights some of the features of being endothermic feathers. This contrasts with the situation in reptiles
and how these differ critically from those of that have no external insulation at all. External
exothermic animals. First, examination of the insulation layers would clearly be detrimental to
gradients of the curves relating thermal conductance reptiles, whose major source of heat is external,
to energy requirements clearly shows that the greater because the insulation would retard the heat from
the degree of external insulation, the lower the getting in. An obvious and seemingly paradoxical
energy demands of endothermy. Therefore, simple exception to the external insulation rule are the
power demand arguments suggest that as the marine mammals. This is paradoxical because if one
temperatures get cooler, endothermic animals should group of animals might be expected to most need
thicken up their external insulation layers. Indeed, external insulation, it would be endotherms im-
many examples of this are observed in nature; mersed in water—with their thermal conductivity 23
Tropical endotherms generally have much less times greater than that of air. Why have these
136 Thermoregulation

animals not evolved or lost their fur? The answer is representatives to have external insulation, we would
that fur is not hydrodynamic given that its major certainly expect this for the smaller representatives.
function is to trap a layer of air. By replacing the Yet, apart from an indication of some feathering on
external fur with an internal blubber layer, many recent fossils from China, all other small dinosaurs
marine mammals have overcome the problem that appear to have been devoid of external insulation. In
the fur layer would interfere with their abilities to contrast, there is clear evidence that another group of
swim and perform in the aquatic environment. It was reptiles, the Pterosaurs, appear to have been endo-
shown earlier that fat layers are ineffective as thermic, supporting their capacity to fly, and also had
insulation for smaller mammals. Similarly, smaller external insulation in the form of fur on their bodies.
aquatic animals, such as sea otters, mink, and water Moreover, extant endotherms have bony structures
shrews, retain their fur despite its unfavorable in their nasal passages that support structures to
hydrodynamic properties. reclaim heat from respiratory gas exchange, that is,
Endothermy clearly has many advantages in turbinates. All extant endotherms have these bony
freeing endothermic animals from the dependency structures, but they are absent in fossil dinosaurs.
on solar radiation. Endotherms can use solar radia- Overall, then, the evidence supporting an endother-
tion if they wish (somewhat less efficiently due to mic dinosaur thermoregulatory strategy is at best
their external insulation), but if the sun does not confused.
shine, they are still able to function effectively, unlike
their exothermic relatives. The main disadvantage of
being endothermic is that because the energy for heat 4. SUMMARY
generation comes from within, the animals must find
and eat considerably more food to fuel that energy Thermoregulation is the maintenance of a stable
requirement. Estimates made on small birds and body temperature by managing the flow of heat into
small reptiles of their total daily food requirements and out of the body. Although there are two major
suggest that small endothermic birds may, in fact, strategies, exothermy (relying on external heat
need to eat 50 to 100 times more food daily than do sources) and endothermy (relying on internally
small lizards of equal body mass. generated heat), all animals use a combination of
behavioral and physiological strategies to control
3.5 Dinosaurs their heat balances to some extent. In fish, amphibia,
and reptiles, the balance is much more toward
The question of whether the dinosaurs were en- exothermic regulation, whereas in mammals and
dotherms or had thermoregulatory strategies similar birds, the balance is shifted toward endothermy. The
to the modern exothermic reptiles to which they were jury is still out on the thermoregulatory strategies
more closely related has been an issue of debate for used by the extinct dinosaurs, although one ancient
more than 100 years and, in fact, dates back to the extinct reptilian group whose members were con-
very first discoveries of dinosaur fossils. Wilfred temporaries of dinosaurs, the Pterosaurs, were al-
Owen, who gave the group the name ‘‘Dinosauria,’’ most certainly endotherms.
actually suggested they were probably warm-
blooded animals, but this appears to have been more
of a political statement to attempt to refute Darwin-
SEE ALSO THE
ism than a truly held belief. Throughout the first half
of the 20th century, it was mostly believed that FOLLOWING ARTICLES
dinosaurs were exotherms. However, opinion started
to turn during the late 1960s and early 1970s, Food Capture, Energy Costs of  Heterotrophic
particularly due to the work of Robert Bakker and Energy Flows  Human Energetics  Migration,
publication of his book, The Dinosaur Heresies, in Energy Costs of  Photosynthesis and Autotrophic
1977. By the late 1990s the public perception of Energy Flows  Reproduction, Energy Costs of 
dinosaurs had certainly embraced the idea that they Thermal Comfort
were endotherms.
Several lines of evidence point toward this Further Reading
conclusion. However, many other lines of evidence Bakker, R. T. (2001). ‘‘The Dinosaur Heresies: New Theories
paint a more confused picture. For example, Unlocking the Mystery of the Dinosaurs and Their Extinction.’’
although we might not expect the larger dinosaur Citadel Press, Secaucus, NJ.
Thermoregulation 137

Blumberg, M. S. (2002). ‘‘Body Heat: Temperature and Life on Johnston, I. A., and Bennett, A. F. (1996). ‘‘Animals and
Earth.’’ Harvard University Press, Cambridge, MA. Temperature: Phenotypic and Evolutionary Adaptation.’’ Cam-
Bowler, K., Cossins, A., and Heldmaier, G. (in press). ‘‘Tempera- bridge University Press, Cambridge, UK.
ture Biology of Animals.’’ Cambridge University Press, Cam- Jones, J. C. (2000). ‘‘The Principles of Thermal Sciences.’’ CRC
bridge, UK Press, Boca Raton, FL.
Davenport, J. (1991). ‘‘Life at Low Temperatures.’’ Cambridge Schmidt Nielsen, K. (1997). ‘‘Animal Physiology: Adaptation
University Press, Cambridge, UK. and Environment.’’ 5th ed. Cambridge University Press, Cam-
Heinrich, B. (1993). ‘‘The Hot-Blooded Insects: Strategies and bridge, UK.
Mechanisms of Thermoregulation.’’ Harvard University Press, Schonbaum, E., and Lomax, P. (1991). ‘‘Thermoregulation:
Cambridge, MA. Physiology and Biochemistry.’’ Pergamon, London.
Tidal Energy
IAN G. BRYDEN
The Robert Gordon University
Aberdeen, United Kingdom

Brittany between 1961 and 1967, and consists of a


1. Overview barrage across a tidal estuary to utilize the rise and
2. The Tidal Phenomenon fall in sea level induced by the tides. This scheme has
3. Tidal Barrage Methods proven to be highly successful despite some early
4. Tidal Current Systems teething problems. Many engineers and developers
5. The Future of Tidal Power now favor, however, the use of alternative technol-
ogy, which will utilize the kinetic energy in flowing
tidal currents.
Glossary
Like any energy resource, the prospect of tidal
barrage An artificial barrier across an estuary or river to power exploitation has stimulated opposition. Tidal
control the flow of water. barrage proposals, like La Rance, have produced the
gigawatt (GW) The unit of power defined as 1 billion most vocal opposition. Environmental groups,
(1,000,000,000) watts.
although generally in favor of the exploitation of
gigawatt hour (GWhr) The unit of energy defined as that
delivered by a source of one GW in 1 hour.
alternative energy sources, are suspicious of the likely
terawatt (TW) The unit of power defined as 1000 billion environmental changes large estuary based schemes
(1,000,000,000,000) watts. would produce. Political opposition has also been
terawatt hour (TWhr) The unit of energy defined as that considerable in some cases. One politician in the
delivered by a source of 1 TW in 1 hour. United Kingdom likened the proposed creation of a
tide The motion of the worlds seas and oceans induced by barrage across the Severn Estuary to the formation of
the gravitational and centrifugal influence of the earth, a ‘‘large stinking lake.’’ Similar political opposition
moon, and sun. has been voiced against any development of the tidal
turbine A rotating mechanical device, which converts the resource in the Solway Firth between Scotland and
kinetic energy of a flowing fluid into mechanical motion. England. It is anticipated that public and political
opposition will limit the development of tidal
Tidal power is not a new idea. Mills, which used tidal barrage schemes in the short term.
flows in bays and estuaries to drive machinery to grind Opposition to schemes designed to exploit the
cereal, were widely used in medieval times. Tides have kinetic energy in tidal currents using open turbines,
been seriously reexamined as a potential source of analogous to wind turbines, has been less voluble,
energy for industry and commerce. In the United although there has as yet been no commercial
Kingdom, there were numerous proposals throughout demonstration of such technology. If opposition
the 20th century to exploit the tidal energy potential remains muted, then tidal current turbines could be
of the Severn Estuary. None have yet been developed, installed in many parts of the world in the early 21st
primarily as a result of the anticipated costs and century.
concern over the environmental changes that would
arise from such a large-scale development.

2. THE TIDAL PHENOMENON


1. OVERVIEW
2.1 Introduction
The world’s first serious scheme to exploit tidal The tides are cyclic variations in the levels of the
energy was constructed in France, at La Rance in seas and oceans. Water currents accompany these

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 139
140 Tidal Energy

variations in sea level, which, in some locations such Rotation of the earth
as the Pentland Firth to the North of the Scottish about the center
of mass of the
mainland, can be extreme. earth−moon system
The explanation of the existence of tides repre- C
sented one of the greatest challenges to early CoMs
oceanographers, mathematicians, and physicists. It Earth
was not until Newton that a satisfying theory CoMm A B
emerged to explain at least some of the properties
of the tides. He formulated a theory, which has D
CoMe
become known as the equilibrium theory of tides. R
r
FIGURE 1 Schematic of the earth-moon system.
2.2 Newton’s Approach: The Equilibrium
Theory of Tides
The equilibrium theory of tides gives a partial Moon
description of tidal behavior for an abstract planet Earth
Earth, which is entirely and uniformly covered by
water. According to the Newtonian model, the earth-
Tidal bulge
moon system rotates around a common center of
mass (CoMs) and the radius of this circulation is FIGURE 2 The tidal bulge.
given by r, as shown in Fig. 1. The separation of the
center of mass of the earth (CoMe) from the center of
mass of the moon (CoMm) is given by R, which is and 50 minutes. This explains why the tides are
also shown. approximately an hour later each day.
If the earth were not itself rotating, each point on, During the lunar month, which is the rotational
or in, the Earth would rotate about its own center of period of the moon around the earth, there will be
rotation, the radius of the rotation would also be variations in the lunar tide influence. The lunar orbit
given by r and the period of rotation would be equal is not circular but is elliptical in form, and the tide-
to the rotational period of the earth-moon system. producing forces vary by approximately 40% over
This results in acceleration toward the local center of the month. Similarly, the moon does not orbit around
rotation. the earth’s equator. Instead there is an angle of
At the center of the earth, the apparent centrifugal approximately 28o between the equator and the
acceleration resulting from the rotation exactly plane of the lunar orbit. This also results in monthly
matches the gravitational acceleration. At all other variations.
points, there is an imbalance between gravitational
and centrifugal effects. At the point B, as shown in
Fig. 1, the centrifugal effects exceed the lunar
2.3 Influence of the Sun on the Tides
gravitational attraction. In effect, at the surface of
the earth, there will be a net flow of water from C & The earth-sun system is also elliptical but with only a
D to A & B. This effect results in the lunar tidal 4% difference between the maximum and minimum
cycle. The equilibrium theory suggests, therefore, the distance from the earth to the sun. The relative
establishment of tidal bulges in the fluid surrounding positions of the earth, moon, and sun produce the
the earth, as shown in Fig. 2. most noticeable variations in the sizes of the tides.
The earth rotates, and the two tidal bulges must In the configuration shown in Fig. 3, the influence
maintain their positions with respect to the moon. of the moon and sun reinforce each other to produce
They, therefore, have to travel around the earth at the large tides known as spring tides, or long tides. A
the same rate as the earth’s rotation. The moon similar superposition also exists at the time of full
rotates around the CoMs every 27.3 days in the same moon.
direction that the earth rotates every 24 hours. When the sun and moon are at 90o with respect to
Because the rotations are in the same direction, the each other, the effect is one of cancellation as shown
net effect is that the period of the earth’s rotation, in Fig. 4. This configuration results in neap tides, also
with respect to the earth-moon system, is 24 hours know as short tides.
Tidal Energy 141

Diversion of
outflowing water

Solar tide Open


boundary

Earth
Sun
Moon
Diversion of
Lunar tide inflowing water
FIGURE 5 Flow of water into and out of a semi-enclosed basin
in the Northern Hemisphere.

FIGURE 3 Earth, sun, and moon during spring tides.


Progression of
tidal wave

Moon

Solar tide FIGURE 6 Progression of a tidal wave in a basin.

Earth enclosed basin in the Northern Hemisphere under


Sun the influence of tidal effects. On the way into the
channel, the water is diverted to the right toward the
lower boundary. When the tidal forcing is reversed,
Lunar tide the water is diverted toward the upper boundary.
This results in a substantially higher tidal range at the
basin boundaries than at the center.
The net result of this effect is to generate a so-called
tidal wave, which processes anti-clockwise around a
FIGURE 4 Earth, sun, and moon during neap tides. point in the center of the ‘‘basin,’’ as shown in Fig. 6.
In effect, the tides represent the terrestrial manifes-
tation of the potential and kinetic energy fluxes
2.4 The Presence of Land and the present in the earth-moon-sun system. These fluxes
are complicated by the presence of continents and
Resulting Tidal Dynamics
other landmasses, which modify the form and phase of
If the earth were covered entirely by water of a the tidal wave. As a result, substantially higher local
constant depth, the equilibrium theory of tides would fluxes occur in some regions of the world than others.
give a perfectly reasonable description of water The Bay of Fundy in Canada and the Bristol Channel
behavior. Fortunately, the oceans are not all of a between England and Wales are two particularly
constant depth and the presence of continents and noteworthy examples of high-flux regions.
islands severely influences the behavior of the oceans
under tidal influences. The Coriolis force is a
2.5 Global Flux
particularly important effect which, in the Northern
Hemisphere, diverts moving objects to the right and, It has been estimated that the total energy from the
in the Southern Hemisphere, diverts moving objects tides, which is currently dissipated through friction
to the left. The influence of this force, in the presence and drag, is equivalent to 3000 GW of thermal
of land, can be considered, as shown in Fig. 5, by energy worldwide. Much of this power is in
visualizing water flowing into and out of a semi- inaccessible places, but up to 1000 GW is available
142 Tidal Energy

in relatively shallow coastal regions. Estimates of the Possible road


achievable worldwide electrical power capability link
range from about 120 GW of rated capacity to Head
approaching 400 GW. This is obviously a substantial Turbine and
energy resource, the significance of which has yet to generator
be fully appreciated. Many enthusiasts believe these
to be hopelessly pessimistic estimates. It is probably Flow of
reasonable, however, to consider these estimates as water
through
representing, with an element of uncertainty, what turbines
could be exploited now using available technology.

Barrage across an
estuary
3. TIDAL BARRAGE METHODS
FIGURE 7 Schematic of a tidal power barrage.
3. History
There are many places in the world in which local
geography results in particularly large tidal ranges.
Barrage
Sites of particular interest include the Bay of Fundy Sluices
in Canada, which has a mean tidal range of 10 m, the Open
Severn Estuary between England and Wales, with a water
mean tidal range of 8 m and Northern France with a Enclosed basin
mean range of 7 m. A tidal barrage power plant has
been operating at La Rance in Brittany since 1966.
This plant, which is capable of generating 240 MW,
incorporates a road crossing of the estuary. Other Gated turbines
operational barrage sites are at Annapolis Royal in FIGURE 8 Schematic of the single basin generation scheme.
Nova Scotia (18 MW), the Bay of Kislaya near
Murmansk (400 kW), and at Jangxia Creek in the
are, however, three different methods of generating
East China Sea (500 kW). Schemes for energy
electricity with a single basin. All of the options
recovery, not surprisingly, have been proposed for
involve a combination of sluices which, when open,
the Bay of Fundy and for the Severn Estuary but have
can allow water to flow relatively freely through the
never been built.
barrage and gated turbines, the gates of which can be
opened to allow water to flow through the turbines
3.2 Principles of Operation to generate electricity.

3.2.1 The Role of the Barrage


The approach is essentially always the same. An 3.2.3 Ebb Generation
estuary or bay with a large natural tidal range is During the flood tide, incoming water is allowed to
identified and then artificially enclosed with a flow freely through sluices into the barrage. At high
barrage. This would, typically, also provide a road tide, the sluices are closed and water is retained
or rail crossing of the gap in order to maximize the behind the barrage. When the water outside the
economic benefit. Electrical energy is produced by barrage has fallen sufficiently to establish a sub-
allowing water to flow from one side of the barrage stantial head between the basin and the open water,
through low head turbines, as shown in Fig. 7. the basin water is allowed to flow out though low-
There are a variety of suggested modes of head turbines and to generate electricity.
operation. These can be broken down initially into The system may be considered to operate in a
single basin schemes and multiple basin schemes. The series of steps as shown in Fig. 9.
simplest of these are the single basin schemes. These steps can be represented, as in Fig. 10, to
show the periods of generation associated with stages
3.2.2 Single Basin Tidal Barrage Schemes in the tidal cycle.
These schemes, as the name implies, require a single Typically the water will only be allowed to flow
barrage across the estuary, as shown in Fig. 8. There through the turbines once the head is approximately
Tidal Energy 143

Flood tide —seawater flows through sluices into the 3.2.4 Flood Generation
basin The sluices and turbine gates are kept closed during
Open sea Within the barrage the flood tide to allow the water level to build up
outside of the barrage. As with ebb generation, once a
sufficient head has been established, the turbine gates
Flow of
are opened and water can, in this case, flow into the
water
through basin and generate electricity, as Fig. 11 shows.
sluices This approach is generally viewed as being less
favorable than the ebb method because keeping a
tidal basin at low tide for extended periods could
have detrimental effects on the environment and
shipping. In addition, the energy produced would be
High tide —sluices are closed to retain water in the basin
reduced as the surface area of a basin would be larger
Open sea Within the barrage at high tide than at low tide, which would result in a
rapid reductions in the head during the early stages
of the generating cycle.
Flow of
water 3.3.5 Two-Way Generation
through
In this mode of operation, use is made of both the
sluices
flood and ebb phases of the tide. Near the end of the
flood-generation period, the sluices would be opened
to allow water to get behind the barrage and would
then be closed. When the level on the open water side
Ebb tide —water is retained in the basin to allow a useful head of the barrage had dropped sufficiently, water would
to develop
be released through the turbines in the ebb genera-
Open sea Within the barrage tion mode, as shown in Fig. 12.
Unfortunately computer models do not indicate
that there would be a major increase in the energy
production. In addition, additional expenses would
be associated with a requirement for either two-way
turbines or a double set to handle the two-way flow.
Advantages include, however, a reduced period with
no generation and the peak power would be lower,
allowing a reduction in the cost of the generators.
Ebb tide —seawater flowing through the generators
3.3.6 Double-Basin Systems
All single-basin systems suffer from the disadvantage
Open sea Within the barrage
that they only deliver energy during part of the tidal
cycle and cannot adjust their delivery period to
match the requirements of consumers. Double basin
systems, such as that shown in Fig. 13, have been
Flow of
water proposed to allow an element of storage and to give
through time control over power output levels.
turbines
The main basin would behave essentially like an
ebb generation single basin system. A proportion of
FIGURE 9 Operational steps in an ebb generation barrage the electricity generated during the ebb phase would
scheme. (A) Ebb tide—water is retained in the basin to allow a be used to pump water to and from the second basin
useful head to develop. (B) Ebb tide—seawater flowing through
to ensure that there would always by a generation
the generators.
capability. The cycle can be seen in Fig. 14.
It is anticipated that multiple basin systems are
half the tidal range. It is likely that an ebb generation unlikely to become popular, as the efficiency of low-
system will be able to generate electricity for, at most, head turbines is likely to be too low to enable
40% of the tidal cycle. effective economic storage of energy. The overall
144 Tidal Energy

Water level inside


Closure of sluices the basin
Water
level
Water level outside the basin
Opening
of turbine Time
gates Reopening of
sluices

Generation
phase

FIGURE 10 Water level inside and outside of an ebb generation barrage.

Water level inside


the basin
Water
level
Opening Water level outside the basin
of turbine
gates
Time

Reopening of
sluices
Closure of sluices Generation
phase

FIGURE 11 Water level inside and outside of a flood generation barrage.

3.3 Optimal Design of Barrage Systems


Water
level This is not a simple procedure, as the construction of
Time
Generation a barrage will inevitably change the nature of the
Basin tidal environment. It is theoretically possible, for
level Sluices
open example, for the tidal range to be very much less
once a barrage has been constructed than it was prior
FIGURE 12 Water level inside and outside of a two-way
generation barrage. to construction. To avoid an expensive mistake, it is
necessary that reliable computer models be used to
predict future behavior as much as possible. Such
models are available and can be used with a great
Sluices degree of confidence.
Turbines Second Main basin
basin
3.4 Locations for Tidal
Turbines
Barrage Developments
A considerable number of sites worldwide are
technically suitable for development, although
FIGURE 13 Schematic of a double basin generation system.
whether the resource can be developed economically
is yet to be conclusively determined. Some of these
efficiency of such low-head storage, in terms of are listed in Table I.
energy out and energy in, is unlikely to exceed 30%.
It is more likely that conventional pump-storage
3.5 The Environmental Impact of
systems will be utilized. The overall efficiencies of
Basin Systems
these systems can exceed 70%, which is, especially
considering that this is a proven technology, likely to The construction of a barrage across a tidal basin
prove more financially attractive. will change the environment considerably. An ebb
Tidal Energy 145

Water
level Main basin level

Time

Second basin level

Generation in Generation in
the second the main basin
basin and pumping
from the
second basin
FIGURE 14 Water levels associated with a two-basin generation system.

TABLE I ever, all barrage schemes are constrained by the


Resource Estimates for Selected Sites massive engineering operations and associated finan-
cial investment that would be required. Construction
Mean Barrage Estimated annual would take several years. La Rance, for example,
tidal length energy production took 6 years, and no electricity was generated before
Site range (m) (m) (GWhr)
the total project was completed. This is a major
Severn Estuary 7.0 17,000 12,900 disincentive for commercial investment.
(UK)
Solway Firth 5.5 30,000 10,050
(UK)
Bay of Fundy 11.7 8000 11,700 4. TIDAL CURRENT SYSTEMS
(Canada)
Gulf of Khambat 6.1 25,000 16,400 4.1 The Resource
(India)
The public perception of tidal power has tradition-
ally been of large barrage schemes such as that at La
system will reduce the time tidal sands are uncov- Rance or proposed for the Severn Estuary. In
ered. This change will have considerable influences addition to changes in the sea-surface level, however,
on the lives of wading birds and other creatures. The the tides also generate water currents. In the open
presence of a barrage will also influence maritime ocean, these currents are typically very small and are
traffic, and it will always be necessary to include measured in cm/s at most. Local geographical effects
locks to allow vessels to pass through the barrage. can, however, result in quite massive local current
This will be much easier for an ebb system, where the speeds. In the Pentland Firth, for example, there is
basin is potentially kept at a higher level, than it evidence of tidal currents exceeding 7 m/s. The
would be with a flood-generation system, in which kinetic energy in such a flow is considerable. Indeed
the basin would be kept at a lower than natural level. many experts describe the Pentland Firth as the Saudi
The environmental impact from increasing the area Arabia of tidal current power, which explains the
of exposed sediment in an estuarial environment is considerable interest in this site, which has been
difficult to quantify but likely to be detrimental. expressed by the UK and Scottish governments. At
present, however, there is no available technology to
3.6 The Financial Implications of Tidal exploit this massively energetic but hostile channel.
Other sites, in Europe alone, with large currents,
Barrage Development
include the Channel Islands and The Straits of
Barrage schemes can produce a vast amount of Messina. In addition to major sites such as the
energy. It has been suggested that the Severn Estuary Pentland Firth, numerous local sites experience rapid
could provide in excess of 8% of the United currents capable of generating electricity with
Kingdom’s requirement for electrical energy. How- suitable technology.
146 Tidal Energy

Since the late 1980s, interest in the possibility of


using tidal currents to generate electricity has Tidal flow
developed enormously. A study prepared for the
Scottish government in 2001 suggested that the UK Rotational axis
‘‘base case’’ potential could exceed 33.5 TWhr per
annum at reasonable cost and using available
technology. An earlier study for the European Union
reported in 1996 that the European Union resource FIGURE 15 Schematic of a horizontal axis tidal current
should exceed 48 TWhr. This figure appears low in turbine.
comparison with the later UK figure, and it is
suggested that, rather than the European resource Rotational
outside of the United Kingdom representing only axis
14.5 TWhr per annum potential, the state of knowl-
edge and understanding had increased dramatically Tidal flow
in the 5 years separating these studies. There has not
yet been an authoritative study of the achievable
world resource but, drawing parallels with UK and
European studies, it is anticipated that the achievable
world resource could exceed 270 TWhr per annum
using technology that is already under consideration.
If problems associated with harnessing energy from
FIGURE 16 Schematic of a vertical axis tidal current turbine.
currents in deep water can be overcome, then this
figure might prove to be highly pessimistic, especially
if technological developments make the development perpendicular to the direction of current flow, have
of sites such as the Pentland Firth feasible. not been rejected, however.
Additional studies have suggested that tidal The environmental drag forces on any tidal
currents could offer particular opportunities for current energy conversion system are large when
peripheral rural regions. No one doubts the size of compared with wind turbines of the same capacity.
the worldwide potential of the tidal current resource This poses additional challenges to the designer.
but, unlike tidal barrage power, there has not yet Designs exist for devices that are rigidly attached to
been a large-scale prototype study. It is anticipated the seabed or are suspended from floating barges, as
that this will soon be remedied. shown in Fig. 17. It is generally accepted that fixed
systems will be most applicable to shallow water
sites and moored systems for deep water. There may
be exceptions to this, however.
4.2 Extracting Energy from
The density of seawater, at approximately 1023 to
Tidal Currents
1025 kg/m3, is substantially greater than that of air.
The physics of the conversion of energy from tidal This, combined with the rapid currents experienced
currents is similar, in principle, to the conversion of in many sites across the world, suggests that very
kinetic energy in the wind. Many of the proposed high-energy density fluxes will be encountered. Figure
devices have, therefore, an inevitable, though super- 18 shows the anticipated relationship between
ficial, resemblance to wind turbines. current speed and incoming energy flux density.
There is no total agreement on the form and Spring current speeds exceeding 3m/s are encountered
geometry of the conversion technology itself. Wind in many locations, which suggests that the exploitable
power systems are almost entirely horizontal axis resource will be considerable. The challenge for the
rotating turbines, as shown schematically in Fig. 15. system designer is to ensure that the system can
In these systems, the axis of rotation is parallel to the convert energy efficiently throughout as much of the
direction of the current flow. tidal cycle as possible while being robust enough to
In horizontal axis designs, the rotational axis is survive the inevitable environmental loading that will
parallel to the direction of the water flow. Many be experienced. The difficulty of this task should not
developers favor this geometry for tidal conversion. be overestimated. In practice, the efficiency of
Vertical axis systems, such as that shown schemati- conversion of a practical system is likely to be limited
cally in Fig. 16, in which the axis of rotation is to approximately 35%, but the potential for energy
Tidal Energy 147

conversion in tidal current speeds, which might


exceed 3 m/s in spring tides, is considerable.
The environment tidal devices will operate in is
very different from that experienced by wind
turbines, and there are some rather difficult problems
associated with installation, survivability and main-
tenance that need to be solved before true commer-
Mono-pile cial exploitation can be achieved. Many industrial,
commercial, and public bodies have suggested that
there is a high degree of synergy between the
development of a tidal current generation industry
and the offshore oil and gas industry. This offers the
intriguing prospect of a new renewable industry
developing in partnership with the petroleum in-
dustry and could, perhaps, result in accelerated
Anchoring
development, due to the availability of expertise
and technology, which would otherwise have to be
developed from scratch.
Unlike the wind, tides are essentially predictable as
they derive from astronomic processes discussed
earlier in this article. Wind power systems are
Reticular dependent on random atmospheric processes, which
result in it being difficult to integrate large wind power
FIGURE 17 Alternative location systems for tidal current
developments into strategic electricity distribution
technology.
networks. The predictability of the tides will make
this integration much easier. Figure 19 shows the
predicted power output for one design concept over a
Energy density flux (kW/m2)

6 spring/neap tidal cycle, in which the spring peak


5 current speed is 3 m/s and the neap peak current speed
4 is 1.5 m/s. Although there would be some deviation
3 from this prediction, as a result of weather related
2 influences, the predictable nature can be clearly seen.
1
0
0 0.5 1 1.5 2 2.5 4.3 Testing the Technology for Tidal
Current speed (m/s) Current Energy Extraction
FIGURE 18 Influence of current speed on available energy flux At the time of writing, there is no commercial
density. generation of electricity from tidal currents anywhere

Spring
1200.00
1000.00
800.00
kW

600.00
400.00
200.00 Neap

0.00

0.0
0
50.
00 .00 .00 .00 .00 .00 .00 0.0
100 150 200 250 300 350 40
Hours
FIGURE 19 Predicted power output for a constant speed, 20-m diameter horizontal axis turbine.
148 Tidal Energy

FIGURE 20 Location of Lynmouth in the Bristol Channel.

FIGURE 22 Artist’s impression of the turbine being installed in


the Bristol Channel. Illustration reproduced with the kind
permission of Marine Current Turbines Ltd.

It is likely that, if tidal currents are to be


commercially exploited, the generators will have
to be mounted in clusters (tide farms?). If this is
done, then, as with wind turbines, the devices will
FIGURE 21 Location of Yell Sound in Shetland.
have to be sufficiently spread to ensure that the
turbulence from individual devices does not interfere
with others in the cluster. The nature of tidal
in the world. It is anticipated, however, that two currents, in which the most energetic flows are
large prototype systems will be installed in European bidirectional in nature may make it possible to use
waters in 2002. These devices—one of which will be relatively close spacing of devices perpendicular to
located close to Lynmouth in the Bristol Channel, the flow, with much larger spacing in the direction of
which lies between England and Wales, as shown in the flow as seen in Fig. 24. This also shows one of
Fig. 20, and the other in Yell Sound in Shetland, as the devices undergoing maintenance by a surface
shown in Fig. 21—will be capable of producing vessel.
approximately 300 kW each.
The two proposed systems are radically different
in engineering concept, although both rely on the lift
4.4 Barriers to the Development of Tidal
induced by fluid flow on an appropriately shaped
Current Generation
lifting surface. The Lynmouth device, which is shown
in Fig. 22, is a horizontal axis turbine, which At present, there is little worldwide experience
resembles a traditional wind turbine. in harnessing tidal current energy. Experimental
The Yell Sound device, which is shown in Fig. 23, turbines have been used in Japan and the United
is a linear lift-based device, in which a reciprocating Kingdom, but as yet they have never been used to
hydrofoil, which has a variable pitch angle, is used to generate electricity for commercial consumption.
pump oil, which then drives a hydraulic motor. Scottish trials in Loch Linnhe, using a floating
Tidal Energy 149

FIGURE 23 Artist’s impression of the Stingray device being


installed in Yell Sound. Illustration reproduced with the kind
permission of The Engineering Business Ltd.

FIGURE 24 Artist’s impression of a array of twin rotor tidal


current devices. Illustration reproduced with the kind permission
of Marine Current Turbines Ltd.
horizontal axis system, demonstrated that the
technology is feasible. Experience in Japan has been
largely with vertical axis systems. Until a large-scale
device is commissioned and has demonstrated its Environmental impacts from tidal current systems
performance for an extended period, there will be should be minimal, if projects are planned to take
uncertainties about the long-term reliability and environmental issues into account. Energetic tidal
maintenance. Access to machines located in high channels do not tend to be home to many aquatic
energy tidal streams will always be problematic and species and, although some species of marine
could prove to require expensive maintenance mammals use tidal channels in their migration,
procedures. Similarly, the rapid tidal currents the slow motion of the turbines and careful
themselves could provide difficulties in transferring design should ensure minimal environmental
energy via seabed cables to the coastline. Indeed impact. The most serious environmental impacts
some studies have suggested that the cable and its are likely to result from the extraction of kinetic
installation could be responsible for more than 20% energy itself, resulting in changes in the hydraulic
of the total cost of a tidal current system. It is still nature of the flow environment. This could result
too early to make reliable predictions of the cost of in modification to the sediment transport systems
tidal current generation. There are still many and, of course, changes in the tidal currents, which
uncertainties about the long-term reliability of are providing the energy. Many experts assume
systems and the difficulties associated with routine that up to 10% of the kinetic energy in a tidal
maintenance. The UK government’s Department of flow can be extracted without serious flow degra-
Trade and Industry has indicated, however, that it dation.
anticipate that devices based on the Seaflow proto-
type should be able to generate electricity with a cost
similar to onshore wind systems, assuming that 5. THE FUTURE OF TIDAL POWER
problems associated with installation of multiple
devices can be solved. Completion of the present The high capital costs associated with tidal bar-
program of prototype studies will allow more rage systems are likely to restrict development of
confidence to be given to predictions. this resource in the near future. What developments
150 Tidal Energy

do proceed in the early 21st century will most likely SEE ALSO THE
be associated with road and rail crossings to FOLLOWING ARTICLES
maximize the economic benefit. In a future in which
energy costs are likely to rise, assuming that low- Hydropower Resources  Hydropower Technology 
cost nuclear fusion or other long term alternatives Ocean, Energy Flows in  Ocean Thermal Energy 
do not make an unexpectedly early arrivals, then Renewable Energy in Europe  Wave and Tidal
tidal barrage schemes could prove to be a major Energy Conversion  Wind Energy Technology,
provider of strategic energy in the late 21st century Environmental Impacts of  Wind Resource Base
and beyond. Under some local conditions, small-
scale barrages might also prove attractive. The
technology for tidal barrage systems is already Further Reading
available, and there is no doubt, given the experi- Baker, C. (1991). ‘‘Tidal Power.’’ Peter Peregrinus, Stevenage, UK.
ence at La Rance, that the resource is substantial and Banal, M., and Bichon, A. (1991). ‘‘Tidal Energy in France. The
available. Rance Tidal Power Station-Some Results After 15 Years in
Operation.’’ Proceedings of the Second International Sympo-
It is likely that tidal current systems will appear
sium on Wave and Tidal Energy, Cambridge.
in experimental form in many places around the CENEX. (1993). ‘‘Tidal and Marine Currents Energy Exploitation.
world. Initially these will be rated at around 300 kW, ’’European Commission, DGXII, JOU2-CT-93-0355.
such as those planned for the Lynmouth and Yell Charlier, R. H. (1983). ‘‘Alternative Energy Sources for the
Sound demonstrations. If these schemes prove Centralised Generation of Electricity.’’ Adam Hilger, Bristol,
successful, then the first truly commercial develop- UK.
Department of Energy (UK) (1989). ‘‘The Severn Barrage Project
ments may appear soon. Systems may not presently Summary: General Report.’’ Energy Paper 57, HMSO.
have the strategic potential of barrage systems but, Energy Technology Support Unit (ETSU) (1993). ‘‘Tidal Stream
in the short term at least, they do offer opportunities Energy Review’’ (ETSU T/05/00155/REP), DTI (UK).
for supplying energy in rural coastal and island Sodin, H. (2001). ‘‘Scotland’s Renewable Resources 2001.’’
communities. In the longer term, massive sites such Scottish Executive Publications, 285/GR/04/2001, Edinburgh.
Watson, W. (1992). Tidal power politics. Int. J. Ambient Energy
as the Pentland Firth, which has been estimated to 13(3), 1–10.
have the potential to support a 16-GW-capacity Wilson, E. (1988). A tide in the affairs of men. Int. J. Ambient
development, could become strategically important. Energy 9(3), 115–117.
Trade in Energy and
Energy Services
GEERT VAN CALSTER
University of Leuven
Leuven, Belgium

Trade aspects of energy and energy services typically


1. The World Trade Organization Agreement involve the following concerns: import and export
2. The Issues Involved and GATT/WTO Membership promotion and/or protection, security of supply, and
3. Dual Pricing environmental protection. These concerns taken
4. Tariffs together obviously make for an interesting mix of
5. Renewable Energy, Including Tax Differentiation for often competing regulatory goals and hence do not
Renewable Forms of Energy and the Impact of the contribute to creating a stable regulatory environ-
Kyoto Protocol ment in which international trade can thrive. The
6. Trade in Energy Services World Trade Organization (WTO) is an obvious
focal point for current and future liberalization in the
area. However, other multilateral organizations have
Glossary also had a role to play, including the North American
Free Trade Association, the Asia-Pacific Economic
border tax adjustment (BTA) A system in which traded
Cooperation, the Energy Charter Treaty, and the
goods are subject to a tax from the importing country
European Union. This article focuses on the most
but exempt from such a tax of the exporting country;
e.g., a CO2 emission tax. multilateral framework of trade negotiations, the
dual pricing The fact of a given product having two WTO, and on its impact with respect to trade in
different prices in different markets, especially a energy and energy services.
different domestic and export price.
most favored nation (MFN) A trade status extended by a
country to a trading partner, allowing for the import of 1. THE WORLD TRADE
goods from the trading nation at the same tariff rate
which the importing nation extends to its other trading ORGANIZATION AGREEMENT
partners that are part of the same agreement. In current
usage the term normal trade relations (NTR) is often 1.1 History
preferred because typically a nation will extend this
status to all its trading partners except for a few rogue The World Trade Organization (WTO) has more
states. than 130 members, accounting for more than 90%
national treatment The principle or policy that foreign
of world trade. More than 30 others are negotiating
products, services, and intellectual property should be
membership. The forerunner of the WTO is the 1947
given the same status or treatment they would have if
they were domestic. General Agreement on Tariffs and Trade (GATT).
tariff A duty imposed on foreign goods imported into a GATT was the cornerstone of international trade law
country. and trade negotiations for more than four decades. It
TRIPs An acronym for Trade-Related Intellectual Property only achieved this status after the collapse of the
Rights; i.e., the fact or policy of a nation’s agreeing to Agreement on an International Trade Organization
provide protection for the rights to foreign-made (ITO). ITO had been prepared after World War II
intellectual property (innovative products of the human under the auspices of the United Nations (UN),
mind and imagination such as copyrights, trademarks, particularly the UN Economic and Social Council,
patents, industrial designs, and trade secrets). and the UN Conference on Trade and Development.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 151
152 Trade in Energy and Energy Services

After it became clear that the U.S. Congress would The WTO Secretariat’s main duties are to supply
not ratify the ITO agreement, plans to have the ITO technical support for the various councils and
established were dropped, and GATT became the committees and the ministerial conferences, to pro-
single most important international trade (law) vide technical assistance for developing countries, to
instrument by default. analyze world trade, and to explain WTO affairs
GATT’s profile was at its highest at the time of to the public and media. The Secretariat also pro-
negotiation of the eight successive so-called ‘‘rounds’’ vides some forms of legal assistance in the dispute
of tariff negotiations. These each led to new ‘‘sche- settlement process and advises governments wish-
dules’’ of tariff concessions, in which the contracting ing to become members of the WTO. It is based in
parties (as the states adhering to GATT were known) Geneva.
individually agreed to cut tariffs on specified products,
according to the agreed timetable. The last of these
1.3 WTO Agreements
rounds, the Uruguay Round, led to the creation of the
WTO by the 1994 Marrakech Agreement. GATT The 1986–1994 Uruguay Round negotiations, as
1947 was integrated into the WTO agreement and, noted previously, included a major revision of the
together with the GATT 1994 agreement, forms the original GATT. GATT is now the WTO’s principal
backbone of international trade in goods. rulebook for trade in goods. The Uruguay Round also
Decisions in the WTO are made by the entire created new rules for dealing with trade in services
membership. This is typically by consensus. A [the General Agreement on Trade in Services (GATS)],
majority vote is also possible, but it has never been relevant aspects of intellectual property (the TRIPs
used in the WTO and was extremely rare under the agreement, dispute settlement, and trade policy
WTO’s predecessor, GATT. The WTO’s agreements reviews. The complete set consists of approximately
have been ratified in all members’ parliaments. 60 agreements (including on public procurement),
and separate commitments (called schedules), made
by individual members in specific areas, such as lower
1.2 WTO Institutions
customs duty rates and services market opening.
The WTO’s top-level decision-making body is the The Marrakech Agreement is the single most
Ministerial Conference, which meets at least once exciting development in international trade law in
every 2 years. Below this is the General Council the past century. The creation of the agreements on
(normally ambassadors and heads of delegation in intellectual property and services is the most obvi-
Geneva, but sometimes officials sent from members’ ous development. This article does not discuss the
capitals), which meets several times a year at the details of each of these agreements. One agree-
Geneva headquarters. The General Council also ment is developed later, namely the Understanding
meets as the Trade Policy Review Body and the on Rules and Procedures Governing the Settlement of
Dispute Settlement Body. At the next level, the Disputes.
Goods Council, Services Council, and Intellectual The structure of the agreement establishing the
Property [General Agreement on Trade-Related WTO, corresponds with its institutional set-up. The
Aspects of Intellectual Property (TRIPs)] Council, issues involved in the liberalization of the energy
report to the General Council. Numerous specialized sector run across a wide variety of these agreements.
committees, working groups, and working parties Hence, there is a priori no single WTO agreement
deal with the individual agreements and other areas, whose relevance for the energy sector can summarily
such as the environment, development, membership be dismissed.
applications, and regional trade agreements. Annex 1 to the agreement has three subannexes.
The first Ministerial Conference in Singapore in Annex 1A reads ‘‘Multilateral agreements on trade in
1996 added three new working groups to this goods.’’ At its core lies the GATT 1994, which
structure. They deal with the relationship between comprises the unamended GATT 1947, protocols
trade and investment, the interaction between trade and decisions adopted under the GATT 1947
and competition policy, and transparency in govern- structure (typically relating to tariff concessions
ment procurement. At the second Ministerial Con- and waivers), and a number of ‘‘understandings’’
ference in Geneva in 1998, ministers decided that the with respect to specific GATT articles and/or
WTO would also study the area of electronic concepts. The GATT 1947 continues to include the
commerce, a task to be shared among existing basic principles of the international trade in goods:
councils and committees. most favored nation treatment (MFN; i.e., making
Trade in Energy and Energy Services 153

no distinction, for the treatment of imported goods, the service consumer of another member); commer-
between their origin), national treatment (i.e., treat- cial presence [services supplied by a service supplier
ing imported goods like goods of national origin), of one member through the commercial presence in
and, generally, nondiscrimination. Importantly, one the territory of another member; in the equivalent
cannot gauge the degree of liberalization of the trade European Community (EC) jargon, this is referred to
in a given category of goods without consulting the as the freedom of establishment], and the presence of
specific tariff ‘‘commitments’’ of each individual natural persons (services supplied by a service
member of the WTO. These are the lengthy docu- supplier of one member through the presence of
ments, attached to the WTO agreement, in which natural persons of a member in the territory of any
members commit to either reducing or eliminating other member; in the equivalent EC jargon, this is
tariffs levied on the goods specified in them. referred to as free movement of services).
Other agreements within Annex 1A deal with Importantly, Article II of GATS contains the MFN
specific sectors, particularly the Agreement on principle, specifying, however, that a member may
Agriculture, which remains a focus for further maintain measures inconsistent with MFN provided
liberalization, and the Agreement on Textiles and they are included in the annex on MFN exemptions.
Clothing. It is noteworthy in this respect that GATS also contains provisions with respect to
agriculture and textiles are domains in which the transparency, mutual recognition of domestic regula-
interests of the developed world are often pitched tions, reasonableness of such domestic regulations,
against those of the developing countries. and progressive liberalization (including the require-
Finally, Annex 1A covers a number of agreements ment that further talks be initiated in 2000).
that deal with specific issues. Reference can be made It is noteworthy that for four sectors negotiations
in this respect to the Agreement on the Application of resumed immediately after the conclusion of the
Sanitary and Phytosanitary Measures, the Agreement Uruguay Round: basic telecommunications (for
on Technical Barriers to Trade, the Agreement on which new national commitments took effect in
Trade-Related Investment Measures, the Agreement January 1998), maritime transport (further negotia-
on Subsidies and Countervailing Measures, and the tions did not produce any more results, and these are
Agreement on Rules of Origin, i.e., these agreements now included in the general GATS review), move-
deal with specific sectors. ment of natural persons (only modest results were
Annex 1B contains the GATS. The inclusion, achieved over and above what was already included
during the Uruguay Round negotiations, of services in members’ schedules of commitment), and financial
in international trade liberalization is widely ac- services (leading to further commitments at the end
knowledged as being one of the most important of 1997).
developments brought about by the WTO. GATS’ Annex 1C is the TRIPs agreement. This sector is
structure is not unlike the structure of Annex 1A, influenced by the fact that there are quite a number
although there are important differences. As in of international treaties outside the WTO context
Annex 1A, GATS operates on three platforms: a that protect intellectual property. Consequently, the
main text containing general principles and obliga- WTO has to find its place among all these
tions; specialized agreements dealing with specific agreements, apart from trying to devise something
sectors; and the commitments of individual coun- of a global approach to intellectual property issues.
tries, offering specified access to their markets in The TRIPs agreement deals with four main areas:
specified services. Importantly, however, GATS also
includes a list of exemptions, temporally allowing  The General Provisions and Basic Principles
members not to apply MFN in specified sectors. emphasizes national treatment and MFN. In contrast
These arrangements in particular are scheduled to be with GATS, MFN is not in principle subject to
reviewed. Negotiations to this effect were initiated exemptions in the TRIPs context. Among the general
(at a slow pace, following the impasse of the Seattle principles, the agreement also recognizes that in-
Millennium Round) in 2000. tellectual property protection needs to take place
The GATS agreement is not limited in scope. It within its societal context. Article 8 therefore
covers all service sectors, typically divided into four provides that intellectual property protection must
categories [Article I(2)]: cross-border supply (services not stand in the way of in particular public health
supplied from the territory of one member into the law and the protection of socioeconomic and
territory of another member); consumption abroad technological development, provided a balance is
(services supplied in the territory of one member to struck.
154 Trade in Energy and Energy Services

 Part II of the agreement, Standards Concerning heavily both in the negotiations leading to accession of
the Availability, Scope and Use of Intellectual new members and in the agenda of the WTO:
Property Rights, details the minimum standards that
members must meet in offering intellectual property  Governmental controls on production and
protection. The starting point here was two agree- exports of petroleum-based products, including in
ments originating in the World Intellectual Property the framework of the Organization of Petroleum
Organization, whose standards are expanded upon Exporting Countries (OPEC)
by the TRIPs agreement. To this end, it specifies the  Domestic prices and pricing policy; this refers
level of protection that has to be achieved for inter alia to the issue of dual pricing, a practice
different categories of intellectual property rights: according to which petroleum-exporting countries
copyright and related rights, trademarks, geographi- keep energy prices at the domestic level at a much
cal indications, industrial designs, patents, layout lower rate than the price at which the goods are
designs of integrated circuits, the protection of being exported
undisclosed (business) information, and avoiding  Export tariffs and taxation
anticompetitive effects of licenses distributed by the  Operations of state trading enterprises and
intellectual property holder. monopolistic practices in the sector
 Part III of the agreement includes the standards  Unfair trade practices, such as subsidies and
to which members must adhere when enforcing their dumping
intellectual property rights.  Investment
 Part V provides for dispute prevention and  Trade in services related to the exploration,
settlement. extraction, transportation, and processing of petroleum

The trade policy review mechanism is provided At the risk of oversimplifying, there is a lot of truth
for in Annex 3. It serves the goal of transparency in in the argument that in light of this extensive list of
members’ trade policies. It enables the regular and issues that need to be discussed and may lead to further
collective appreciation of the full range of mem- liberalization, quite a few energy-producing countries
bers’ trade policies and practices, thus facilitating (particularly petroleum-exporting countries) are at-
progress toward the implementation of the agree- tracted to the argument that it may be worth their
ments and general understanding of each other’s while to stay out of the WTO (and its predecessor,
policies. Although the review undoubtedly may GATT) so as not to have to put up as it were with WTO
lead to the identification of apparent shortcomings interference in their domestic energy policies. However,
in WTO obligations, this is not the review in recent years, the balance for all but a few petroleum-
mechanism’s goal. exporting countries seems to have tilted in favor of
Finally, Annex 4 of the WTO agreement originally joining the WTO, particularly because the WTO deals
contained four but currently contains only two so- with many more than merely energy issues. Tables I and
called plurilateral trade agreements (i.e., agreements II give an overview of OPEC and non-OPEC countries
that are not adhered to by all WTO members). These and their membership in GATT and WTO.
agreements effectively were negotiated during the
Tokyo Round of international trade negotiations but,
unlike most of the products of that area, they were 3. DUAL PRICING
not integrated into the WTO. Both the International
Dual pricing is a generic term for measures to ensure
Dairy Agreement and the International Bovine Meat
that domestic prices are lower, or export prices
Agreement were terminated in 1997. The Agreement
higher, than would be achieved by market forces.
on Trade in Civil Aircraft and the Agreement on
This raises the prospect of export restrictions falling
Government Procurement remain in force.
foul of either GATT Article XI, which prohibits
quantitative restrictions to trade (this would be the
2. THE ISSUES INVOLVED AND case in the event of straightforward trade restrictions
for export), or GATT Article III, which prohibits
GATT/WTO MEMBERSHIP
discriminatory tax practices that impact on trade.
GATT Article XI states,
As noted previously, there is a priori no single WTO
agreement whose relevance for the energy sector can 1. No prohibitions or restrictions other than duties, taxes,
summarily be dismissed. The following issues all weigh or other charges, whether made effective through quotas,
Trade in Energy and Energy Services 155

TABLE I
OPEC Member Countries and Their Status in GATT and WTO as of December 1999a

Countryb Status in GATT Status in WTO

Algeria Applying to GATT on a de facto basis since In the process of accession since June 1987
independence (July 3, 1962)
Indonesia February 24, 1950 January 1, 1995
Iran. Islamic Republic ofc,d Observer None
Iraqc,d Observer None
Kuwaitc May 3, 1963 January 1, 1995
Libyan Arab Jamahiriya Observer None
Nigeria November 18, 1960 January 1, 1995
Qatar April 7, 1994 January 13, 1996
Saudi Arabiac Observer In the process of accession since July 1993
United Arab Emirates March 8, 1994 April 10, 1996
Venezuelac August 31, 1990 January 1, 1995

a
Source. United Nations Conference on Trade and Development (2000).
b
Algeria is an observer government to the WTO. Algeria’s working party was established on June 17, 1987, and met for the first time in
April 1998; the fifth meeting of the working party took place on May 20, 2003. Saudi Arabia is an observer government to the WTO; the
working party on the accession of Saudi Arabia was established July 21, 1993.
c
Founder member of OPEC.
d
Signed the Havana Final Act but did not become a GATT contracting party.

import or export licenses, or other measures, shall be domestic products in a manner contrary to the principles set
instituted or maintained by any contracting party on the forth in paragraph 1.
importation of any product of the territory of any other
contracting party or on the exportation or sale for export of
any product destined for the territory of any other The interpretative note Ad III:2 adds,
contracting party.
A tax conforming to the requirements of the first sentence
Article XI supplements the opening of the world’s of paragraph 2 would be considered to be inconsistent with
market, as agreed in tariff and other concessions. the provisions of the second sentence only in cases where
Article XI applies to all measures instituted or competition was involved between, on the one hand, the
taxed product and, on the other hand, a directly compe-
maintained by a member prohibiting or restricting
titive or substitutable product which was not similarly
the importation, exportation, or sale for export of taxed.
products, other than measures that take the form of
duties, taxes, or charges (these are covered by Article
III).GATT Article III states, Article III:4 reads,

1. The contracting parties recognize that internal taxes and The products of the territory of any contracting party
other internal charges, and laws, regulations, and require- imported into the territory of any other contracting party
ments affecting the internal sale, offering for sale, shall be accorded treatment no less favorable than that
purchase, transportation, distribution, or use of products, accorded to like products of national origin in respect of all
and internal quantitative regulations requiring the mix- laws, regulations, and requirements affecting their internal
ture, processing, or use of products in specified amounts or sale, offering for sale, purchase, transportation, distribu-
proportions, should not be applied to imported or tion, or use. The provisions of this paragraph shall not
domestic products so as to afford protection to domestic prevent the application of differential internal transporta-
production. tion charges which are based exclusively on the economic
operation of the means of transport and not on the
2. The products of the territory of any contracting party
nationality of the product.
imported into the territory of any other contracting party
shall not be subject, directly or indirectly, to internal taxes
or other internal charges of any kind in excess of those
applied, directly or indirectly, to like domestic products. The national treatment requirement of Article III
Moreover, no contracting party shall otherwise apply complements the MFN principle contained in Article
internal taxes or other internal charges to imported or I and the schedules of tariff concessions that GATT
156 Trade in Energy and Energy Services

TABLE II
Non-OPEC Petroleum-Exporting Developing Countries and Economies in Transition and Their Status in GATT and WTO as of December
1999a

Countryb Status in GATT Status in WTO

Angola Applying to GATT on a de facto basis December 1, 1996


Argentina October 11, 1967 January 1, 1995
Azerbaijan None In the process of accession since July 1997
Brazil July 29, 1948 January 1, 1995
Brunei Darussalam December 9, 1993 January 1, 1995
Cameroon January 1, 1960 December 13, 1995
China GATT contracting party from 1947 to 1949 In the process of accession since March 1987
Colombia October 3, 1981 April 30, 1995
Congo August 15, 1960 March 27, 1997
Ecuador Observer January 21, 1996
Egypt May 9, 1970 June 30, 1995
Gabon May 3, 1963 January 1, 1995
India July 8, 1948 January 1, 1995
Kazakhstan None In the process of accession since February 1996
Malaysia August 31, 1957 January 1, 1995
Mexico August 24, 1986 January 1, 1995
Oman None In the proccess of accession since June 1996
Papua New Guinea Applying GATT on a de facto basis since June 9, 1996
independence (September 16, 1975)
Peru October 7, 1951 January 1, 1995
Russian Federation Observer In the process of accession since June 1993
Syrian Arab Republic Contracting party from 1947 to 1950 None
Trinidad and Tobago August 31, 1962 March 1, 1995
Tunisia August 19, 1990 March 29, 1995
Uzbekistan None In the process of accession since December 1994
Vietnam None In the process of accession since January 1995
Yemen Applying GATT on a de facto basis since Observer
independence (November 30, 1967)

a
Source. United Nations Conference on Trade and Development (2000).
b
Azerbaijan’s working party was established on July l6, 1997; the first meeting of the working party was held on June 7, 2002. China
joined the WTO on December 11, 2001. Kazakhstan’s working party was established on February 6, 1996; the working party last met in
December 2002. Oman became a member on November 9, 2002. The working party on the accession of the Russian Federation was
established on June 16, 1993; the next working party meetings are scheduled for November 2003. The working party on the accession of
Uzbekistan was established on December 21, 1994; the first meeting of the working party took place on July 17, 2002. The working party on
the accession of Vietnam was established on January 31, 1995; the next meeting of the working party may take place in late 2003. Yemen’s
request for accession was circulated on April 14, 2000; the working party has not met.

members adhere to according to Article II. The broad 4. TARIFFS


and fundamental purpose of Article III is to avoid
protectionism in the application of internal tax and The WTO, like its predecessor the GATT, endeavors
regulatory measures. to reduce tariffs throughout the various sectors
Although theoretically, dual pricing could be dealt covered by the WTO agreements. Tariff-reduction
with under standard GATT law in particular, a negotiations continue to consume a considerable
number of countries, including those practicing dual amount of time and effort. However, tariffs are the
pricing, but also the European Union, argue that the WTO’s ‘‘preferred’’ obstacle to trade, in the sense
issue deserves a more sui generis approach, taking that tariffs are a much more transparent trade
account of the various interests at stake. instrument than other, such as technical, barriers to
Trade in Energy and Energy Services 157

trade or indeed certain types of subsidies, such as tax One of the main reasons for the EC initiative was to
exemptions and tax privileges. avoid a distortion of the single market by the
Tariffs on actual energy products in the main existence of a variety of national ecotaxation
importing trade blocks are by and large limited and schemes. Essentially, the proposal amounted to the
did not figure in the Uruguay Round negotiations following: The arrangements would have provided
(i.e., the round of trade negotiations that led to the for the taxation of fossil sources of energy. Half of the
creation of the WTO). This is understandable given total tax would have been based on CO2 emissions,
the security of supply considerations by those and the other component would have related to the
importing nations. It is noteworthy that for petro- calorific value of the energy sources, whether fossil or
leum products (e.g., plastics), tariffs are higher in not, excluding renewables. The two-tiered structure
general than those for crude oil. gave it the name CO2 and energy tax.
Local taxation, particularly excise duties, may of The tax was to be levied on all solid, viscous, or
course be very high, but in general it does not raise gaseous fossil fuels, either in their crude state (in
any issues under GATT Article III. Excise duties are which they are used as motor or heating fuel) or in
generally applied across the board (i.e., without their final form (where the fuel is obtained by
concern for favoring domestic production over processing the crude product). Raw materials were
imported energy products). To the extent that such therefore not taxed. Importantly, rates of tax were
discrimination does exist, GATT Article III would also set for heat and electricity. Regarding the CO2
seem well equipped to deal with this issue. A component of the tax, heat and electricity produced
development of note, however, is the policy of a from primary fossil sources of energy would not have
number of importing countries to employ tax been taxed as such but, rather, on the basis of the
differentiation as a means of encouraging the devel- fossil inputs used.
opment of renewable sources of energy at the expense The chargeable event would have been the
of fossil fuels. extraction of the crude products, the production of
their derivatives, or importation; in other words, the
moment when the products are released for con-
5. RENEWABLE ENERGY, sumption. For energy-intensive firms, member states
could have been authorized by the commission to
INCLUDING TAX DIFFERENTIATION
grant specific graduated tax reductions. All firms
FOR RENEWABLE FORMS OF could have been given tax incentives by the member
ENERGY AND THE IMPACT OF THE states, reducing the amount of tax payable by the
KYOTO PROTOCOL cost of new investments made in energy saving and
CO2 abatement.
Excise duties in particular, but also other types of Since the tax would clearly have taxed ‘‘like
taxes, in addition to raising revenue for the treasury products’’ upon importation, and taxes would have
are also designed to deal with externalities of trade. been rebated upon export, border tax adjustment
These are the societal costs of production and/or (BTA) was an essential part of the proposal.
consumption, which are not reflected in the price of
the product. By employing excise duties or other taxes,
states can ‘‘internalize’’ these externalities in the cost of 5.1 BTA for the CO2 and Energy Tax on
a product. A typical example in the energy sector is the
the Import Side: GATT Compatible?
use of taxation to phase out leaded gasoline.
Tax differentiation has become more of an issue in The very eligibility of the tax for BTA under GATT
recent years with the advent of state interest in rules would have been a contested issue. Energy taxes
renewable forms of energy. To encourage the are normally qualified as ‘‘taxes occultes,’’ thus
development and consumption of these types of falling outside the scope for BTA in the classic
energy, inevitably at the expense of fossil fuels, a GATT doctrine. However, energy has a dual nature
number of Western European governments have because it is both a product and a fundamental part
enacted tax breaks and other forms of regulatory of most production. With respect to the levying of
distinction. A 1991 European proposal may serve as the tax on the products, BTA could have been
a useful benchmark in this respect. allowed under Article II juncto Article III GATT.
The proposal included a mix of taxes on products Previous panel findings (e.g., in the Superfund case)
and on production processes and methods (PPMs). support the conclusion that the levying of the tax on
158 Trade in Energy and Energy Services

imported energy products would have passed the distinction based on these two parameters would
GATT hurdle. Both the calorific value of the thus seem to be compatible with the GATT-approved
products and the level of their CO2 emissions upon methods of distinguishing between products. Impor-
combustion could be accepted as being related to tantly, the EC would not have distinguished between
physical characteristics of the products concerned. A the origin of the products concerned, nor would

TABLE III
GATS, Commitments; Services Incidental to Energy Distributiona

Member Sector Market access limitations National treatment limitations

Australia Services incidental to energy 1. None 1. None


distribution (887**) Covers 2. None 2. None
consultancy services related to the 3. None 3. None
transmission and distribution on 4. Unbound except as indicated in 4. Unbound except as indicated in
a fee basis of electricity, gaseous the horizontal section the horizontal section
fuels, and steam and hot water to
household, industrial,
commercial, and other users
Dominican Republic Services incidental to energy 1. None 1. Unbound
distribution (887) 2. Unbound 2. Unbound
3. None 3. Unbound
4. Unbound 4. Unbound
Gambia Other business services (including 1. None 1. None
CPC 887) 2. None 2. None
3. Unbound except as indicated in 3. None
the horizontal section 4. Unbound except as indicated in
4. Unbound except as indicated in the horizontal section
the horizontal section
Hungary Consultancy services incidental to 1. None 1. None
energy distribution (CPC 887) 2. None 2. None
3. None 3. None
4. Unbound except as indicated in 4. Unbound except as indicated in
part I part I
Nicaragua Services incidental to energy 1. None 1. None
distribution (887) 2. Unbound 2. Unbound
3. None 3. None
4. Unbound 4. Unbound
Sierra Leone Other business services 1. None 1. None
2. None 2. None
3. Foreign service providers are 3. None
permitted to establish service 4. Unbound except as indicated in
companies or institutions with horizontal commitments
Sierra Leonean partners in the
form of joint ventures
4. Unbound except as indicated in
horizontal commitments
Slovenia Services incidental to energy 1. None 1. None
distribution—for gas only (CPC 2. None 2. None
887**) 3. None 3. None
4. Unbound except as indicated in 4. Unbound except as indicated in
the horizontal section part I
United States Services incidental to energy 1. None 1. None
distribution 2. None 2. None
3. None 3. None
4. Unbound except as indicated in 4. None
part I

a
Source. World Trade Organization (1998).
Trade in Energy and Energy Services 159

TABLE IV
GATS Commitments; Pipeline Transportation of Fuelsa

Member Sector Market Access Limitations National Treatment Limitations

Australia Pipeline transport—transportation of 1. None 1. None


fuels (7131) 2. None 2. None
3. None 3. None
4. Unbound except as indicated in 4. Unbound except as indicated in
the horizontal section the horizontal section
Hungary Pipeline transport 1. Unbound 1. None
2. None 2. None
3. Services may be provided through 3. None
a contract of concession granted 4. Unbound except as indicated part I
by the state or the local authority
4. Unbound except as indicated in
part I
New Zealand Pipeline transport (713) 1. None 1. None
2. None 2. None
3. None 3. None
4. Unbound except as indicated in 4. Unbound except as indicated in
the horizontal section the horizontal section

a
Source. World Trade Organization (1998).

different rates have applied depending on origin. As injury to its domestic industry as a result of the
previously noted, the use of the proceeds of the tax export subsidy.
would have had no bearing on its GATT legality. Whether details of the 1991 proposal, or indeed
The proposal gave tax credits to firms which had any future EC plan for introducing energy taxes,
invested in CO2-reducing technology. The principle of would have to be considered export subsidies would
nondiscrimination, embedded in GATT Article III, have very much depended on the precise implemen-
would have required the EC to extend any such tation of its provisions. The proposal provided for
exemption schemes to importing firms that made tax reduction and/or exemptions in the case of firms
similar efforts. The proposal did not include any with a high energy consumption, tax reductions and
specifications to this effect, indicating that the EC did refunds for environmental investments, and required
not envisage such a situation. The tax on the final the member states to ensure tax neutrality. Generally,
products (namely heat and electricity) whose produc- there was a real danger that the imprecise nature of
tion involves the use of CO2-releasing energy products the provisions of Articles X and XI could have
is a classic case of a non-product-related PPM. It is created preferential tax treatment for exporting
uncertain how the EC would have organized BTA for industries to the detriment of the industry in the
these products. In any event, distinguishing between importing third countries.
products’ fiscal treatment, depending on the energy Eventually, the proposed tax was dropped because
source that produced them, is precarious in light of no consensus could be reached in the Council of
GATT’s ‘‘like product’’ distinction. Ministers. However, with a large number of coun-
tries undertaking far-reaching commitments in the
framework of the Kyoto Protocol, more countries
eventually will have to resort to encouraging
5.2 BTA for the CO2 and Energy Tax on
consumption of CO2-neutral forms of energy. This
the Export Side: GATT Compatible?
may lead to systematic discrimination of fossil fuels,
GATT Article XVI suggests that where the rebate of thereby distorting trade patterns and raising the
taxes for products destined for export does not stakes of energy negotiations in the framework of the
exceed the tax burden that the product has incurred, WTO. This also very firmly links the issue of energy
no subsidy is deemed to have been granted. Where trade with the so-called trade and environment
subsidies are deemed to exist, countervailing mea- debate. Trade and environment is one of the areas
sures are possible under GATT Article VI, provided in which trade blocks such as the European Union
the nation introducing them demonstrated material and the United States would like to see more
160 Trade in Energy and Energy Services

TABLE V
GATS Commitments: Other Energy-Related Commitmentsa

Member Sector Market access limitations National treatment limitations

Canada General construction work for 1. None, other than: cabotage 1. None
civil engineering 2. None 2. None
3. None, other than: construction 3. None
Power facilities and pipelines (Ontario)—an applicant and 4. Unbound except as indicated in
holder of a water power site the horizontal section and
development permit must be construction (Ontario)—an
incorporated in Ontario applicant and holder of a water
4. Unbound except as indicated in the power site development permit
horizontal section must be a resident of Ontario
Other: site preparation for 1. None, other than: cabotage 1. None
mining (CPC 511*) 2. None 2. None
3. None 3. None
4. Unbound except as indicated in the 4. Unbound except as indicated in
horizontal section the horizontal section
Colombia Design, construction, 1. None 1. None
operation, and maintenance 2. None 2. None
of oil and gas pipelines 3. None 3. None
4. Unbound except as indicated in the 4. Unbound except as indicated in
horizontal section the horizontal section
Côte d’Ivoire Installation and assembly work 1. Unbound 1. Unbound
2. Unbound 2. Unbound
Prospecting, mining, or 3. None 3. Government approval, granted
processing of minerals 4. Unbound except for the entry and subject to preferential use of
temporary stay of some categories local services and employment
Energy generation, excluding of natural persons and training of local executives
wholesale or retail services and supervisors, required for
relating to equipment or enterprises
parts thereof 4. None

Ecuador Site preparation work for 1. None 1. None


mining (CPC 5115) 2. None 2. None
3. None 3. None
4. Unbound except as indicated in the 4. Unbound except as indicated in
horizontal section the horizontal section
Egypt General construction work for 1. Unbound* 1. Unbound*
civil engineering 2. Unbound* 2. Unbound*
3. Commercial presence only allowed 3. None
Long-distance pipelines, for joint-venture companies; 4. None
communication and power foreign capital equity shall not
lines (cables) exceed 49% of the total capital
required for the project
Installation work 4. None

Gas-fitting construction work


India Construction work for civil 1. Unbound* 1. Unbound*
engineering 2. Unbound* 2. Unbound*
3. Only through incorporation with a 3. None
Construction of pipelines, foreign equity ceiling of 51% 4. Unbound except as indicated in
power lines; constructions 4. Unbound except as indicated in the the horizontal section
for mining, power plants, horizontal section
and coke ovens (ex CPC 513)
Research and development 1. Unbound 1. Unbound
services on natural sciences 2. Unbound* 2. Unbound*
3. Only through incorporation with a 3. None
foreign equity ceiling of 51% 4. Unbound except as indicated in
4. Unbound except as indicated in the the horizontal section
horizontal section

continued
Trade in Energy and Energy Services 161

Table V continued

Member Sector Market access limitations National treatment limitations

Heat, light, electromagnetism,


astronomy, but excluding
atomic energy and related
matters (CPC 85101)
Engineering and technology,
including applied science and
technology for casting,
metal, machinery, electricity,
communications, vessels,
aircraft, civil engineering,
construction, information,
etc. (CPC 85103)
Malaysia Management consulting 1. None 1. None
services covering advisory, 2. None 2. None
guidance, and operational 3. Only through a locally 3. None
assistance services incorporated joint-venture 4. Unbound except for the
concerning management of corporation with Malaysian- categories of natural persons
the transmission of controlled corporations or both referred to under market access
nonconventional energy and Bumiputera shareholding in
(CPC8 650) the joint-venture corporation is at
least 30%
4. Unbound except as indicated in
1(a) and (c) in the horizontal
section
Namibia Related scientific and technical 1. None 1. None
consulting services: off-shore 2. None 2. None
oil and gas exploration (CPC 3. None 3. None
(86751) 4. None 4. None
Venezuela Contracting of works and 1. Unbound 1. Unbound
supply of services for the 2. None 2. None
national petroleum and 3. None 3. None
petrochemical industry. 4. Unbound except as indicated in the 4. Unbound except as indicated in
Petroleum technology (3) horizontal section the horizontal section
(CPC Section 5) (CPC
85103-853)

a
Source. World Trade Organization (1998). This table lists some energy-related commitments clearly defined in the schedules. It provides
only some examples of energy-related activities within the domain of other services sectors and should not be regarded as exhaustive of all
energy-related commitments contained in the schedules. Moreover, the vast majority of commitments in sectors such as distribution,
construction, management consulting, and research and development cover energy-related services also when this is not specified in the
schedule.

progress. However, developing nations in particular the consumer, commercial presence, and movement
have consistently resisted creating specific room for of natural persons suppliers of services
environmental considerations. It appears likely that 2. General obligations and disciplines, applicable
the Kyoto Protocol will force WTO members to to all services sectors, except ‘‘services supplied in the
debate the specific issue of the relationship between exercise of the governmental authority’’—that is,
multilateral environmental agreements and the WTO ‘‘any service which is supplied neither on a commer-
agreements. cial basis nor in competition with one or more service
suppliers’’ (with certain exemptions with respect to
the application of the MFN principle)
6. TRADE IN ENERGY SERVICES 3. Specific commitments, to be negotiated and
included in national schedules of commitments,
The GATS has four pillars:
covering market access and national treatment, as
1. A definition of trade in services based on the well as additional commitments that might be
mode of supply: cross-border supply, movement of achieved in specific services sectors
162 Trade in Energy and Energy Services

4. The concept of progressive liberalization, to be ered by the respective horizontal categories, whereas
implemented through negotiations some energy-related services are listed as separate
subsectors. This may seem like a petty complication;
The following services can be regarded as core
however, in practice it does not help to streamline
energy services: exploration, drilling, processing and
negotiations in the area.
refining, transport, transmission, distribution, waste
One development that observers agree may have
management, and disposal. Other services include
an important impact on the degree of liberalization
consulting, design and engineering, construction,
in the energy services sector is the phenomenon of
storage, maintenance of the network, and services
deregulation and liberalization in the United States
related to distribution, such as metering and billing.
and the European Union. As energy production,
At the time of the Uruguay Round, which led to
distribution, etc. become less state dominated and/or
the creation of the GATS, the actual commitments
monopolized, and in general less vertically inte-
arguably paled in comparison with the framework
grated, the EU and US markets will more easily call
that was created for future market openings as well
on third parties to provide vital services.
as with the establishment of core principles with
Tables III–V provide an overview of current GATS
respect to trade in services (such as MFN and
commitments for services incidental to energy
national treatment). A new round of negotiations
distribution. Proposed commitments submitted prior
for services liberalization was launched in 2000, and
to the Cancun summit in September 2003 may be
it led to a number of proposed schedules of liberal-
found on the WTO’s Web site (www.wto.org). No
ization whereby each member launches its own
progress was made in Cancun with respect to these
proposal for liberalization, with matching to take
negotiations. However the submitted proposals will
place afterward. A major difficulty in identifying
be further debated in the Council on Trade in
energy services is represented by the fact that the
Services.
industry has traditionally not distinguished between
energy goods and services. The general industrial
classification of economic activities within the SEE ALSO THE
European Community (NACE) classifies activities FOLLOWING ARTICLES
in the energy sector according to the following
categories: mining of coal and lignite; extraction of Business Cycles and Energy Prices  Corporate
peat; extraction of crude petroleum and natural gas; Environmental Strategy  Derivatives, Energy 
services activities incidental to oil and gas extraction Energy Services Industry  International Energy
excluding surveying; mining of uranium and thorium Law and Policy  Investment in Fossil Fuels
ores; manufacture of coke, refined petroleum pro- Industries  Stock Markets and Energy Prices  World
ducts, and nuclear fuels; production and distribution Environment Summits: The Role of Energy
of electricity; and manufacture of gas and distribu-
tion of gaseous fuels through mains. The North Further Reading
American Industry Classification System includes the
following categories among those relating to the United Nations Conference on Trade and Development (2000).
Agreements, petroleum and energy policies, UNCTAD/ITCD/
energy sector: electric power generation, transmis- TSB/9. United Nations, New York. [Available at http://
sion, and distribution; oil and gas extraction; coal www.unctad.org]
mining; and natural gas distribution. United Nations Conference on Trade and Development (2001,
The WTO Services Sectoral Classification List November 1). Report of the expert meeting on energy services
in international trade: Development implications, TD/B/
(Document MTN.GNS/W/120) does not include a
COM.1/42. United Nations, New York.
separate comprehensive entry for energy services. World Trade Organization (1998, September 9). Energy services,
Important energy services (transport, distribution, background note by the secretariat, S/C/W/52. World Trade
construction, consulting, engineering, etc.) are cov- Organization, Geneva.
Transitions in Energy Use
ARNULF GRÜBLER
International Institute for Applied Systems Analysis
Laxenburg, Austria

primary energy Energy as harnessed from nature such as


1. Introduction coal mined from the earth, natural gas extracted from a
well (typically by male-dominated energy companies),
2. Growth in Energy Use Quantities
or fuelwood collected directly by energy consumers
3. Changing Energy Structures (typically by female household members collecting
4. Changing Energy Quality cooking fuel).
5. Conclusion transition Change from one state of an energy system to
another one, for example, from comparatively low
levels of energy use relying on noncommercial, tradi-
Glossary tional, renewable fuels to high levels of energy use
relying on commercial, modern, fossil-based fuels.
conversion deepening Increasing fraction of primary en-
ergy converted by the energy sector into the high-quality
fuels demanded by consumers; historically, electrifica- Patterns of energy use have changed dramatically
tion has been a main driver of conversion deepening. since the onset of the industrial revolution in terms of
energy quality Characteristics of energy forms and fuels, both energy quantities and energy quality. These
such as heat value, versatility, and environmental changing patterns of energy use, where energy
performance (emissions). quantities and quality interact in numerous impor-
exergy quality Quality of energy describing its ability to tant ways, are referred to in this article as energy
perform useful work in the delivery of the services transitions and are described from a historical
demanded by the final consumer; exergy is closely
perspective as well as through future scenarios. Far
related to the versatility of different fuels, that is, the
other energy forms and services into which a particular
from being completed, many of these transitions are
energy form can be converted. continuing to unfold in industrial and developing
final energy Energy forms and fuels as sold to or as used by countries alike. Energy transitions are described here
the final consumers (e.g., households, industrial estab- in terms of three major interdependent characteris-
lishments, government agencies); typically, modern final tics: quantities (growth in amounts of energy
energy forms and fuels are generated, involving various harnessed and used), structure (which types of energy
steps of conversion from primary to final energy. forms are harnessed, processed, and delivered to the
noncommercial fuels Traditional fuels, such as fuelwood final consumers as well as where these activities take
and dried cow dung, that are collected and used by place), and quality (the energetic and environmental
energy consumers directly, without involving market characteristics of the various energy forms used).
transactions (exchange for money) or energy conver-
sions to processed fuels.
path dependency A term from systems analysis describing
persistent differences in development paths resulting 1. INTRODUCTION
from differences in initial conditions and determi-
ning factors (e.g., economic, institutional, technologi-
Prior to the industrial revolution, some 200 years
cal) responsible for growth in energy use and the like;
path dependency implies only limited convergence
ago, the energy system relied on the harnessing of
among various systems as well as ‘‘lock-in’’ in particular natural energy flows and animal and human power
development patterns accruing from the accumulation to provide the required energy services in the form of
of past decisions that are difficult (and costly) to change. heat, light, and work. Power densities and avail-
power density Amount of energy harnessed, transformed, ability were constrained by site-specific factors.
or used per unit area. Mechanical energy sources were limited to draft

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 163
164 Transitions in Energy Use

animals, water, and windmills. Burning fuelwood depending on climatic conditions and local resource
and tallow candles was the only means of converting availability. The energy historian Vaclav Smil put
chemical energy into heat and light. Harnessing these numbers in a longer term historical perspective,
natural energy flows was confined largely to rural estimating that energy use in China around 100 bc
areas and remained outside the formal (monetized did not exceed 20 GJ per capita, compared with an
and exchange-oriented) economy; in other words, energy use level of some 40 GJ per capita in Europe
most of this energy use was in the form of around 1300 and of some 80 GJ per capita for
noncommercial fuels. Energy consumption typically European settlers in the United States around 1800.
did not exceed 20 gigajoules (GJ) per capita per year. Thus, current disparities in energy use between
With an estimated global population of roughly 1 ‘‘North’’ and ‘‘South’’ appear to be deeply rooted in
billion people by 1800, this translated into approxi- the past. Nearly all of this energy use was based on
mately 20 exajoules (EJ) of global energy use. traditional renewable energy sources, collected and
Today, more than 6 billion people inhabit the used directly by the final consumers in the form of
planet, and global primary energy use has grown to noncommercial energy. Multiplying 1 billion people
some 430 EJ—more than 20 times the energy use by 20 GJ per capita yields an estimate of global
levels of 200 years ago. Nonetheless, an estimated 2 energy use around 1800 of some 20 EJ.
billion people still rely on traditional energy produc- Just over 200 years later, more than 6 billion
tion and end use patterns similar to those that people inhabit the earth (according to universal
prevailed prior to the industrial revolution. They use national population census data synthesized by the
inefficient traditional energy forms and conversion Population Division of the United Nations), and
technologies and so have inadequate access, if any, to most of their energy use is based on commercial (and
modern energy services. The other 4 billion people heavily taxed) fuels, that is, on reasonably well-
enjoy, to varying degrees, a wide variety of modern recorded statistical quantities. Leaving aside statis-
energy services in the form of electric light, motor- tical definitional differences, most notably in the
ized transportation, and new materials such as inclusion or exclusion of noncommercial fuels and
concrete, steel, and pharmaceuticals. These services the statistical accounting conventions used for
and products are made possible by the use of high- hydropower and nuclear energy, the major energy
quality fuels, predominantly derived from fossil fuels statistics (as published most notably by the United
and converted into final energy (e.g., electricity, Nations, the International Energy Agency, and
gasoline) in ‘‘high-tech’’ energy facilities (e.g., power British Petroleum) all agree that global (primary)
plants, refineries). They are used by consumers in the energy use in the year 2000 was approximately 400
numerous devices (e.g., cars, air conditioners, com- to 440 EJ (with 430 EJ being retained as the preferred
puters) that constitute a nearly universal ‘‘package’’ value in this article). Thus, global energy use has
of artifacts characteristic of current affluent lifestyles grown by a factor of more than 20 over the past 200
in industrialized countries and (for those with high years. This 20-fold increase, far in excess of world
incomes) developing countries alike. population growth (population has increased by a
factor of 6 since 1800), constitutes the first major
energy transition, a transition from penury to
abundance. This transition is far from complete
2. GROWTH IN ENERGY and is characterized by persistent spatial and
USE QUANTITIES temporal heterogeneity (i.e., differences in who uses
how much energy and where). This transition in
Estimates put the world population in 1800 at energy quantities is also closely linked to correspond-
approximately 1 billion, an uncertain estimate given ing energy transitions in terms of energy structure
that the first population censuses had just been (i.e., where energy is used and what type of energy is
introduced around that time in Sweden and England. used) as well as in terms of energy quality.
Estimates of past energy use based on (sparse) Figure 1 and Table I illustrate this first energy
historical statistics and current energy use in rural transition, the growth in energy use quantities, using
areas of developing countries suggest that (both the minimum degree of representation of spatial
primary and final) energy use per capita typically did heterogeneity, that is, by differentiating between
not exceed some 20 GJ as a global average (or Bhalf industrialized and developing countries. In Fig. 1,
a ton oil-equivalent [toe]/person/year), with a varia- the lines represent population growth (scale on the
tion of approximately 15 to 100 GJ per capita, right-hand axis), whereas the bars represent growth
Transitions in Energy Use 165

300 5

Primary energy use (EJ)

Population (billions)
200
3

2
100

0 0
1800 1825 1850 1875 1900 1925 1950 1975 2000
Year
FIGURE 1 Growth in world population (shown as lines and referring to the scale on the right-hand axis) and primary
energy use (shown as bars and referring to the scale on the left-hand axis), industrialized (open squares and bars) versus
developing (closed triangles and bars) countries, 1800–2000. Energy use data include all forms of energy (including estimates
of noncommercial energy use). Data prior to 1950 are estimates.

TABLE I trialized countries contrast with comparatively mod-


World Primary Energy Use and World Population est (linear) increases in population. Conversely, in
developing countries, a nearly exponential increase
1800 1900 2000 2100 in population has yielded (with the exception of the
period since 1975) only a proportional increase in
World primary energy (EJ) 20 50 430 500–2700
energy use. In other words, in the North, modest
‘‘South’’ (percentage) 70 45 41 66–75
growth in population has been accompanied by hefty
World ‘‘modern’’ energy (EJ) o1 20 390 500–2700
increases in energy use as a result of significant
‘‘South’’ (percentage) 0 2 34 66–75
increases in per capita energy use, whereas in
World population (billions) 1.0 1.6 6.1 7–15
developing countries, energy use has grown roughly
‘‘South’’ (percentage) 75 66 78 80–90
in line with population growth for most of history,
implying stagnant per capita energy use. However,
Note. Figures represent historical data from 1800 to 2000 and
scenario ranges for 2100 based on the IIASA–WEC and IPCC– there is substantial variation of these trends over
SRES scenario studies. Historical data from the 19th century are time. In particular, since the 1970s, energy use has
approximate orders of magnitude. grown only modestly in industrialized countries
(even declining in the reforming economies after
1990), whereas growth in energy use has been
in primary energy use (scale on the left-hand axis), at substantial in developing countries. In the scenario
25-year intervals. Table I presents the corresponding literature, this trend toward higher growth in the
numerical estimates at 100-year intervals, indicating South is almost invariably projected to continue, and
equally possible future ranges of global energy use over the long term the share of developing countries
derived from the scenario literature, most notably the in global energy use could approach their share in
Global Energy Perspectives study of the Interna- world population. Thus, the next 100 years or so are
tional Institute for Applied Systems Analysis and the likely to be quite different from the preceding
World Energy Council (IIASA–WEC) and the scenar- century, indicating that the future is unlikely to
ios developed for the Intergovernmental Panel on unfold as a mere extrapolation of the past.
Climate Change’s Special Report on Emissions Figure 2 illustrates this diverging pattern of energy
Scenarios (IPCC–SRES). demand growth. In the figure, the populations of the
Seen from a North–South perspective, the first North and South, as well as the world average (x
energy transition of increasing energy use is only axis), are plotted against their corresponding per
weakly related to population growth. Vast (nearly capita energy use (y axis). Each plotted point rep-
exponential) increases in energy use in the indus- resents a 25-year time span over the period from
166 Transitions in Energy Use

200 population in the South). Thus, although energy


use has increased in the North and South alike over
Industrialized the past 200 years, the underlying driving forces have
been radically different.
150
What explains the seeming paradox that, histori-
Per capita energy use (GJ)

cally, energy use has not grown in line with the


number of energy consumers (population growth)?
100 The answer lies in the nature of the industrialization
World average process and the defining characteristic of industria-
2000
lized countries—income growth leading to affluence
50 1950
1975 Area = 430 EJ and high levels of material (and energy) consump-
(world in 2000)
1925
1900
tion. In fact, North–South disparities in the growth
1800 of energy use roughly mirror disparities in income
Developing growth because growth in energy use is linked to
0 growth in incomes, as illustrated in Fig. 3.
0 2 4 6 8
Figure 3 synthesizes the available long-term time
Area = 20 EJ Population (billions)
(world in 1800) series of historical energy and income growth per
FIGURE 2 Growth in population (x axis) versus per capita
capita in industrialized countries and contrasts them
energy use (y axis) in trajectories of 25-year intervals from 1800 to with the range of available scenarios for the future of
2000 (based on Fig. 1). Data are for industrialized countries developing countries from the IIASA–WEC and
(squares), developing countries (triangles), and the world average IPCC–SRES scenarios. Four observations are impor-
(circles). Areas of squares connecting x- and y-axis coordinates for tant for interpreting the past as well as the possible
1800 and 2000 are proportional to total energy use. Energy use
data include all forms of energy (particularly estimates of
futures.
noncommercial energy use). Data prior to 1950 are estimates. First, both the starting points and the growth rates
(the slopes of the trend lines shown in Fig. 3) are
dependent on the economic metric used for compar-
1800 to 2000 (as shown as the temporal trend line in ing incomes across countries, be it gross domestic
Fig. 1). Connecting the coordinates on the x and y product (GDP) at market exchange rates (as in the
axes of Fig. 2 yields an area proportional to absolute figure) or purchasing power parities. For example,
energy use, shown in the figure for the world average incomes in developing countries were approximately
for the years 1800 and 2000. U.S. $850 per capita in 1990 (the base year of the
Figure 2 illustrates both the stark contrasts in scenario studies reported in the figure) when ex-
regional energy demand growth and the fallacy of pressed at market exchange rates, but they would
global aggregates. For industrialized countries, most have been substantially higher (BU.S. $2300 per
of the growth in energy use has resulted from capita) based on purchasing power parities. How-
increases in per capita consumption, whereas popu- ever, the same also applies to the long-term economic
lation growth has remained comparatively modest. history of industrialized countries that started from
Conversely, for developing countries, most of the substantially higher incomes when measured at
increase in energy use historically has been driven by purchasing power parities, as shown by the numer-
increases in population. Only since 1975 has ous studies of Angus Maddison. Thus, developing
increasing per capita energy use added significantly countries are by no means in a better position for
to the total energy demand growth accruing from ‘‘takeoff’’; they are not comparatively ‘‘richer’’ today
population growth in developing countries. Aggre- than today’s industrialized countries were some 100
gated to world averages, the two distinctly different or even 200 years ago. In terms of both comparable
trends yield a paradoxical, simple overall correlation: income measures and patterns and levels of energy
growth of population (in the South) goes hand in use, many developing countries are today at the
hand with increasing per capita energy use (in the beginning of a long uphill development path that will
North), resulting in ever increasing global energy use. require many decades to unfold and is likely to
The trend break since 1975 (the final two solid circles include many setbacks, as evidenced by the historical
in the figure) is a vivid illustration of the fallacy of record of the industrialized countries. However,
too high a level of spatial aggregation that can lead overall levels of energy use can be expected to
to comparing ‘‘apples’’ (growth in per capita energy increase as incomes rise in developing countries.
use in the North) with ‘‘oranges’’ (growth in What is important to retain from this discussion is
Transitions in Energy Use 167

400 1800 IIASA−WEO


1850 SRES
1900 A1 USA
1925 1800−1998
A2
300 1950 B1
Energy use per capita (GJ) 1975 B2
1995
Austria
200 1992−1995

Japan
1900−1998
100

0
0 5,000 10,000 15,000 20,000 25,000 30,000
GDP per capita (1990 U.S. dollars)
FIGURE 3 Growth in GDP per capita versus growth in per capita energy use. Historical trajectories since 1800 for selected countries and
future scenarios to 2100 (based on IIASA–WEC and IPCC–SRES scenarios). Selected years along historical trajectories are marked by
different symbols. Data from Grübler (1998), Fouquet and Pearson (1998), Nakicenovic et al. (1998, 2000).

the serious warning against comparing apples and capita income, illustrating an increasing decoupling
oranges in the economic development metric. Con- of the two variables as a lasting impact of the so-
sistency of measurement (be it at market exchange called ‘‘energy crisis’’ of the early 1970s, an
rates, as in Fig. 3, or at purchasing power parities) is experience shared by many highly industrialized
more important than ideological positions concern- countries (cf. the trajectory for Japan in Fig. 3). It
ing the preference of one economic metric over is also important to recognize significant differences
another in international comparisons. What is in timing. During the 100 years from 1900 to 2000,
crucial is understanding how economic development Japan witnessed per capita income growth similar to
translates into changes in the levels and patterns of that experienced by the United States over 200 years.
energy use. The overall positive correlation between This illustrates yet another limitation of simple
economic growth and energy growth remains one of inferences: Notwithstanding the overall evident
the most important ‘‘stylized facts’’ we can draw coupling between economic and energy growth, the
from history, even if the extent of this correlation and growth experiences of one country cannot necessa-
its patterns over time are highly variable. rily be used to infer those of another country, neither
The second observation concerns the lessons from in terms of speed of economic development nor in
history. Although the pattern of energy use growth terms of how much growth in energy use such
with economic development is pervasive, there is no development entails.
unique and universal ‘‘law’’ that specifies an exact Third, there is a persistent difference between
relationship between economic growth and energy development trajectories spanning all of the extremes
use universally over time and across countries. The from ‘‘high-energy intensity’’ (United States) at one
development trajectory of the United States in Fig. 3 end to ‘‘high-energy efficiency’’ (Japan) at the other.
illustrates this point. Over much of the period from Thus, the relationship between energy and economic
1800 to 1975, per capita energy use in the United growth depends on numerous and variable factors. It
States grew nearly linearly with rising per capita depends on initial conditions (e.g., as reflected in
incomes, punctuated by two major discontinuities: natural resource endowments and relative price
the effects of the Great Depression after 1929 and the structures) and the historical development paths
effects of World War II (recognizable by the back- followed that lead to different settlement patterns,
ward-moving ‘‘snarls’’ in the temporal trajectory of different transport requirements, differences in the
both income and energy use per capita). However, structure of the economy, and so on. This twin de-
since 1975, per capita energy use has remained pendence on initial conditions and the development
remarkably flat despite continuing growth in per paths followed is referred to as ‘‘path dependency,’’ a
168 Transitions in Energy Use

term coined by Brian Arthur. Path dependency scenarios describing future energy systems in which
implies considerable inertia in changing development more affluent people do not require substantially
paths, even as conditions prevailing at specific larger amounts of energy than are used currently as a
periods in history change, a phenomenon referred result of vigorous efforts to promote efficient energy
to as ‘‘lock-in.’’ Path dependency and lock-in in use technologies and lifestyles (e.g., as described in
energy systems arise from differences in initial the IPCC–SRES B1 scenario family shown in Fig. 3).
conditions (e.g., resource availability and other At the other extreme are scenarios that assume more
geographic, climatic, economic, social, and institu- or less a replication of recent development histories of
tional factors) that in turn are perpetuated by countries such as Japan and Austria (e.g., the IPCC–
differences in policy and tax structures, leading to SRES A1scenario family) and that, when extrapo-
differences in spatial structures, infrastructures, and lated to the global scale and over a comparable time
consumption patterns. These in turn exert an horizon of 100 years, lead to levels of global energy of
influence on the levels and types of technologies approximately 2000 to 2700 EJ by 2100, that is, five
used, both at the consumer’s end and within the to six times the current levels.
energy sector, that are costly to change quickly owing At this point, it may be useful to move from
to high sunk investment costs, hence the frequent describing the first energy transition (i.e., the transi-
reference to ‘‘technological lock-in.’’ The concepts of tion to higher levels of energy use) to visualizing how
path dependency and technological lock-in help to this transition could continue to unfold in the future.
explain the persistent differences in energy use Figure 4, taken from the IIASA–WEC study cited
patterns among countries and regions even at earlier, illustrates how a typical ‘‘middle of the road’’
comparable levels of income, especially when there global energy use scenario (IIASA–WEC B, project-
are no apparent signs of convergence. For instance, ing a fourfold increase by 2100) could unfold in the
throughout the whole period of industrialization and future. In the figure, the sizes of various world
at all levels of income, per capita energy use has been regions are scaled in proportion to the regions’ 1990
lower in Japan than in the United States.
Fourth, turning from the past to the future, Fig. 3
also illustrates a wide range of future scenarios with Primary energy 2100
respect to income and energy growth for developing
countries compared with the historical experience of
industrialized countries. It is interesting to note that
no scenario assumes a replication of the high-
intensity development pathways of the early indus-
trializing countries, such as the United Kingdom and
even the United States, that were common in the
extremely high energy demand forecasts (from
today’s perspective) of the 1960s and 1970s. (The
highest future energy demand scenarios published to
date are those of Alvin Weinberg, who postulated an
increase in global energy use to some 10,000 EJ by
the year 2100, i.e., by the same factor of 20 that
characterized global energy use growth from the Primary energy 2050
onset of the industrial revolution to today.) Instead,
although energy use is generally expected to increase
with rising income levels, growth is projected to
proceed along the more energy-efficient pathways of
late industrializers, such as Austria and Japan, leading
to more ‘‘modest’’ demand projections compared
Primary energy 1990
with the scenario literature of some 30 years ago.
The combination of numerous uncertain future
developments in population growth, per capita FIGURE 4 Growth in primary energy use for selected world
regions in 1990, 2050, and 2100 for an intermediate growth
incomes, and the energy use growth that these factors scenario (IIASA–WEC B scenario). Areas of regions are propor-
entail explains the wide range of energy use projec- tional to 1990 energy use. Reprinted from Nakicenovic et al.
tions for the future (Table I). At the low extreme are (1998).
Transitions in Energy Use 169

primary energy use. Thus, current disparities in 12


energy use become more transparent; for instance, Total
10
compare the size of the ‘‘energy continents’’ of Latin

Population (billions)
America and Africa with the overproportionate size 8
of North America, Europe, and Japan, as illustrated Urban

in the bottom left-hand graphic illustrating the 6


situation in 1990. With growing energy use, both 4
the absolute and relative sizes of the energy C
continents depicted in the figure change in the maps 2 AB
Rural
for the scenario years 2050 and 2100. The important
0
lesson from this figure is that the completion of the 1900
1850 1950 2000 2050 2100
first energy transition will take considerable time. It Year
may well require at least 100 years before the
‘‘energy map’’ of the world even rudimentarily FIGURE 5 Growth in world population: Rural, urban, and
total. Historical development and range to 2100 are as described
resembles the geographical maps with which we are in the IIASA–WEC scenarios. Reprinted from Nakicenovic et al.
currently so familiar. (1998).

stagnate at approximately 3 billion people. In other


words, all additional population growth between
3. CHANGING ENERGY now and the year 2030 is likely to be in urban areas.
STRUCTURES This matters insofar as the incomes and energy use
levels of urban dwellers are generally significantly
The energy transition just described—the transition higher than those of rural dwellers. Our knowledge
to higher levels of energy use—involves equally and data on urban energy use remain extremely
important transitions in the types and quality of fragmented, not least because nearly all energy
energy used. But before addressing these transitions, statistics are collected for territorial units defined
let us return to the issue of where energy is used. In through administrative or political boundaries rather
the previous section, important geographical differ- than by type of human settlement. Nonetheless, it is
ences between industrialized and developing coun- likely that urban dwellers, who account for slightly
tries were highlighted. For most of history, the less than half of the global population, use more than
industrialized countries have dominated growth in two-thirds of global energy and more than 80% of
energy use. This pattern has changed over the past the high-quality processed energy carriers such as
few decades; the center of gravity for growth in liquid transportation fuels and electricity.
energy use has moved to the South, and this pattern Urban energy use matters in particular due to two
is likely to be a main energy characteristic of the important interrelated factors: spatial power densi-
entire 21st century. ties and urban environmental quality. Spatial power
A second important transition in spatial energy densities are particularly high in urban areas due to
use is the transition from traditional energy forms, the twin influences of high population density and
collected and used largely in rural areas, to processed high per capita energy use. This has important
modern energy forms, used predominantly in urban implications for both energy quantities and quality.
settings. The pervasive global trend toward urbani- A comparative advantage of fossil fuels that led to
zation is a well-described, well-documented phenom- their widespread use with industrialization is their
enon in geography and demographics (Fig. 5). At the high power density; that is, production, transport,
onset of the industrial revolution, perhaps less than and use of energy were no longer confined by the site-
10% of the world’s population—fewer than 100 specific limitations characteristic of traditional re-
million people—lived in cities. The United Nations newable energy flows. (It is no coincidence that the
estimated that by 2000 the urban population of the English originally called coal ‘‘sea coal,’’ i.e., coal
world had reached some 2.9 billion people or about arriving to the point of end use by sea transport,
47% of the total world population. The United an option that was not economical for traditional
Nations also projects that by 2030 urbanization rates fuels, such as fuelwood, that have much lower
will increase to some 60% or to some 5 billion. In energy densities.) The same applies to modern
contrast, the rural population of the world (3.2 renewable energy forms. For example, consider that
billion people in the year 2000) is projected to the city of Tokyo consumes approximately 40,000
170 Transitions in Energy Use

kilowatt-hours (kWh) of electricity per square meter


per year, compared with an influx of solar Oil/Gas
energy of 1259 kWh per square meter, less than 20% 0% 100%
of which can actually be converted into electricity.
This does not mean that supplying Tokyo’s energy 20% 80%
needs (or those of any of the world’s megacities) Oil and gas
forever
by renewables is not feasible; it simply means that at
40% 1990 60%
the point of energy use (the cities), the energy 1970
A1
supplied needs to be in the form of high-energy density
A1F1
clean fuels (e.g., electricity, gas, hydrogen), whose 60%
B1
40%
1950 A3
delivery requires elaborate systems of energy conver- B2
A1B
B
sion and transport infrastructures. 80% 20%
A2 A2 C
Spatial power densities are also important from an 1920 Muddling
through
A1T
1900 Return Grand
environmental viewpoint. High spatial concentra- 100%
to coal 1850 transition 0%
Historical
tions of energy use quickly overwhelm the envir- Coal
0% 20% 40% 60% 80% 100%
Renewables/Nuclear
onment’s capacity to disperse the pollutants
associated with energy use. It is no coincidence that FIGURE 6 Changes in the relative shares of various fuels in
global primary energy supply: Historical trajectory to 1990 as well
the first documented energy-related ‘‘killer smog’’ as summary of IIASA–WEC and IPCC–SRES scenarios to 2100,
episodes of the 19th and early 20th centuries were regrouped into four clusters of possible developments. See text for
experienced in London, which at the time was the an explanation of the graphical representation.
largest city in the world and relied nearly exclusively
on coal to provide for its energy needs. Hence, high (renewables and nuclear) at the right. In 1990 (the
spatial concentrations of energy use require the use starting point of the future scenarios shown in the
of clean (and, in the long term, even zero-emissions) figure), their respective shares were 56% for oil and
fuels. This example illustrates some of the important gas (measured against the grid lines with percentages
linkages between energy quantities and quality that shown on the right), 26% for coal (measured against
are at work driving major energy transitions— the grid lines with percentages on the left), and 18%
historical, ongoing, and future. for nonfossil energy sources (traditional noncom-
Let us now examine in more detail the energy mercial fuels as well as modern renewables and
transitions with respect to structural changes in nuclear energy, measured against the grid lines with
energy supply, recognizing that these are closely percentages at the bottom).
interwoven with important changes in energy quality. Historically, the primary energy structure has
Three major transitions characterize historical (and evolved clockwise in two main structural shifts.
future) changes in energy supply: the transition from The first, indicated by the zigzagged line at the
traditional, noncommercial, renewable energy forms bottom of Fig. 6, illustrates the shift away from
to commercial, largely fossil-based fuels; structural traditional, noncommercial renewable fuels toward
shifts in the share of various commercial fuels (coal, fossil fuels, particularly coal. This shift, initiated with
oil, natural gas, and ‘‘modern’’ renewables and the introduction of coal-fired steam power during the
nuclear energy); and structural shifts in the various industrial revolution, was largely completed by the
fuels actually demanded by the consumer and 1920s, when coal reached its maximum market share
produced from a varying mix of energy sources, in global energy supply. Between 1920 and 1970,
leading to a corresponding ‘‘conversion deepening’’ coal was progressively replaced by increasing shares
of the energy system. of oil and natural gas, as indicated in the figure by
Figure 6 synthesizes both historical and possible the zigzagged line moving upward from the bottom-
future scenarios of structural shifts in primary energy left corner of the energy triangle toward its center.
supply in the form of an energy ‘‘triangle.’’ Presenting Since 1970, structural change in the global primary
the shifts in this way helps to reduce the complexity energy mix has been comparatively modest. It is
of the structural change processes in the global important to recognize that these two major histor-
energy supply since the onset of the industrial ical shifts were not driven by resource scarcity or by
revolution. Each corner of the energy triangle direct economic signals such as prices, even if these
corresponds to a hypothetical situation in which all exerted an influence at various times. Put simply, it
primary energy is supplied by a single source: oil and was not the scarcity of coal that led to the
gas at the top, coal at the left, and nonfossil sources introduction of more expensive oil. Instead, these
Transitions in Energy Use 171

major historical shifts were, first of all, technology wind, and solar energy) and even new forms of
shifts, particularly at the level of energy end use. nuclear energy. If indeed societies were to opt for
Thus, the diffusion of steam engines, gasoline such transitions, committing the necessary upfront
engines, and electric motors and appliances can be investments in R&D and niche market development
considered the ultimate driver, triggering important as well as providing for the necessary incentive
innovation responses in the energy sector and leading structures (e.g., in internalizing some of the environ-
to profound structural change. mental costs associated with fossil fuels), the global
Because of the long lifetimes of power plants, energy system could come ‘‘full circle’’; toward the
refineries, and other energy investments, there is not end of the 21st century, it might return to a structure
enough capital stock turnover in the future scenarios in which fossil fuels would account for only a small
prior to 2020 to allow them to diverge significantly. fraction of the global energy supply mix. At first
But the seeds of the post-2020 divergence in the glance, this might resemble the status quo prior to
structure of future energy systems will have been the industrial revolution (Fig. 6), but there remain
widely sown by then, based on research and two decisive differences. Quantities of energy har-
development (R&D) efforts, intervening invest- nessed would be orders of magnitude larger and,
ments, and technology diffusion strategies. It is the unlike 300 years ago, non-fossil fuels would no
decisions made between now and 2020 that will longer be used in their original forms but instead
determine which of the diverging post-2020 devel- would be converted into high-quality, clean energy
opment paths will materialize among the wide range carriers in the form of liquids, gases (including
of future energy scenarios described in the IIASA– hydrogen), and electricity.
WEC and IPCC–SRES studies. The large number of Thus, the scenario literature is unanimous that the
future scenarios is synthesized into four clusters in future of energy supply structures is wide open in the
Fig. 6. Three extremes of possible developments (in long term (just as it is quite narrow in the short
addition to a number of intermediary scenarios term). There is also considerable agreement on the
summarized as the ‘‘muddling through’’ cluster in continuation of a pervasive trend at the point of
the figure) are described in the scenario literature. energy end use, that is, the continuing growth of
One extreme (basically the conventional wisdom high-quality processed fuels (liquids, gases, and
scenarios under a traditional scarcity paradigm) electricity) that reach the consumer via dedicated
envisages a massive long-term ‘‘return to coal.’’ In energy infrastructure grids (Figs 7 and 8).
such scenarios, oil and gas resources remain scarce Figure 7 illustrates the structural changes in energy
and postfossil alternatives remain expensive and supply, not at the point of primary energy (as in
limited, not least because societies fail to research, Fig. 6) but rather at the point of delivery to the final
develop, and implement alternatives. The result is a consumer (i.e., at the level of final energy). Surpris-
massive return to coal. However, little of that coal is ingly, historical statistics documenting this important
used in its traditional form, being converted instead
into electricity and liquid and gaseous synthetic fuels.
Energy sold to consumers (percentage)

At another extreme are scenarios describing future 100


developments of ‘‘oil and gas forever.’’ In these 90
scenarios, focused investments in a smooth transition 80 Grids
toward unconventional oil and gas resources (even 70
tapping part of the gigantic occurrences of methane 60
hydrates) make these nonconventional hydrocarbons 50
widely available. This, combined with the insufficient 40 Liquids
30
development of postfossil alternatives, yields a Solids
20
perpetuation of today’s reliance on oil and gas well
10
into the 21st century. Finally, there are a number of
0
scenarios describing a continuation of historical 1900 1925 1950 1975 2000
‘‘grand transitions’’ in global energy systems. Con- Year
trary to the experience of the 19th and 20th
centuries, the grand transitions of the 21st century FIGURE 7 Changing structure of final energy sold to con-
sumers in the United States by energy form. Solids consist of
would involve an orderly transition away from fuelwood and other biomass and coal. Liquids consist of
today’s reliance on fossil fuels toward post-fossil petroleum products. Grids consist of electricity, gas, and district
fuels in the form of modern renewables (biomass, heat. Updated from data in Flavin and Lenssen (1994).
172 Transitions in Energy Use

Share of global primary energy (percentage)


Final energy shares (percentage)
100
50
Grids Using substitution equivalent
80 for hydropower and nuclear
40
60
A2
Liquids 30
40
B2
Liquids A1 20
20 B1
Solids B1, A2, Using direct equivalent
0 B2, A1 for nonfossil energies
10
2000 2020 2040 2060 2080 2100
Year
0
FIGURE 8 Scenarios of future global final energy structures:
1900 1925 1950 1975 2000
Solids, liquids, and grids (including synfuels) for a range of IPCC–
Year
SRES scenarios, 1990–2100. Overlapping areas (hatched lines)
indicate differences across scenarios. Adapted from Nakicenovic FIGURE 9 Share of global primary energy converted to
et al. (2000). electricity as a measure of ‘‘conversion deepening,’’ calculated on
the basis of two different accounting conventions for nonfossil
structural shift are scarce prior to the 1970s, electricity (hydropower and nuclear): The substitution equivalence
method (higher shares) and the direct equivalence method (lower
especially for developing countries. For this reason,
shares). See text for an explanation. Data prior to 1970 are
Fig. 7 illustrates the situation for the United States, preliminary estimates.
whose history is characteristic of other industrialized
countries and serves as a leading indicator of likely
similar transitions in developing countries as incomes to recognize that this particular energy transition will
grow. By the beginning of the 20th century, most take many decades, even up to a century, to unfold
energy reached the U.S. consumer in the form of completely. This illustrates the long road ahead
solids (fuelwood and coal for the home and for before all energy consumers worldwide enjoy the
industry). The shares of both liquid fuels for light, access to high-quality energy forms that an affluent
transportation, and grid-delivered energies (town gas minority in the industrialized countries currently
derived from coal and natural gas and, above all, takes for granted.
electricity) were comparatively modest. Today, solids The other side of the coin of energy forms of ever
account for less than 10% of final energy in the higher quality and more convenience is that ever
United States. Consumer choices have delivered a more primary energy must be converted into the
final verdict on the direct uses of fuelwood and coal. high-quality fuels consumers actually demand. As a
With rising incomes, consumers pay increasing result, the conversion deepening (and increasing
attention to convenience and ‘‘cleanliness,’’ favoring conversion losses) of global energy systems is likely
liquids and grid-delivered energy forms (even if their to continue to unfold along the lines of historical
costs to consumers are above those of solid energy precedents. Figure 9 illustrates this for the case of
forms). This ‘‘quality premium’’ or the ‘‘implied electricity (gaseous and liquid synfuels are not yet
inconvenience costs’’ (of bulky, difficult-to-use solid important factors for energy sector conversion
energy forms) are consequently emerging as an deepening). Around 1900, little global primary
important field of study in energy economics, where energy was converted into electricity. Today, between
traditionally the focus has been nearly exclusively on well over one-third and just over 40% of all primary
prices and quantities, ignoring important qualitative energy harnessed worldwide is converted into elec-
aspects of energy use. With rising incomes, the share tricity. The measure of conversion deepening in this
of liquid and grid-delivered energy forms has risen example depends on statistical accounting definitions
enormously in all affluent societies along the lines of (hence the range shown in Fig. 9) given that the
the U.S. experience, a trend that is likely to continue primary energy equivalence of hydropower and
to unfold in the future, as illustrated in Fig. 8 for the nuclear electricity is subject to different statistical
IPCC–SRES scenarios. Therefore, the global transi- accounting conventions. In one, the ‘‘substitution
tion toward liquids and grids is highly likely to follow equivalence’’ method, hydropower and nuclear elec-
the precedents of high-income industrialized coun- tricity are accounted for by the primary energy that
tries (depending, of course, on the rate of economic would be needed if fossil fuels were to supply the
development, i.e., income growth). Yet it is important same amount of electricity (typically at a conversion
Transitions in Energy Use 173

efficiency of o 40%), hence increasing the statistical 10 2


quantities accounted for as primary energy ‘‘con-
Hydrogen economy
sumption.’’ In the other convention, the ‘‘direct

Hydrogen/Carbon ratio
1
equivalence’’ method, only the energy generated in 10
Nonfossil
the form of electricity is considered in calculating the Gas = 4 : 1 hydrogen?

Oil = 2 : 1 Methane economy


primary energy equivalence of nonfossil energy
sources such as hydropower and nuclear energy. 10 0
Coals = 0.5 − 1 : 1
Despite these statistical accounting ambiguities, the
upward trend of increasing conversion deepening, as
10 −1 Wood = 1 0 : 1
shown in Fig. 9, remains a robust finding from
historical analysis. The fact that ever more energy
is mobilized for conversion to high-quality fuels such 10 −2
as electricity, even incurring the economic costs and 1800 1850 1900 1950 2000 2050 2100
the inevitable conversion losses dictated by the laws Year
of thermodynamics, bears witness to the importance
FIGURE 10 Evolution of the hydrogen/carbon ratio in the
of energy quality. global primary energy supply (excluding hydropower and nuclear
electricity): Historical data and future scenarios. See text for
details. Updated and modified from Marchetti (1985).
4. CHANGING ENERGY QUALITY
hydrogen economy. However, as indicated in Fig. 10,
Perhaps the single most important transition in such a hydrogen economy cannot emerge ‘‘autono-
global energy systems is that of increasing energy mously’’ through continued reliance on biomass and
quality. Two types of indicators of energy quality are fossil fuels as sources for hydrogen. Even assuming
discussed here pars pro toto. As an indicator of the emergence of a methane economy would not
energetic quality, this section considers the hydrogen/ allow a continuation of the historical trend beyond
carbon (H/C) ratio as well as its inverse, the carbon approximately 2030. From such a perspective, the
intensity of energy, which is also used here as an emergence of a hydrogen economy in the long term is
indicator of relative environmental quality. Finally, not possible without the introduction of nonfossil
the section illustrates one important linkage between hydrogen, generated via either electrolysis or thermal
energy quality and energy quantities by looking at a water splitting. It is equally important to recognize
final energy transition: the move toward higher that the secular trend toward ever higher H/C ratios
energy productivity and efficiency. has come to a standstill since the mid-1970s,
Cesare Marchetti introduced the notion that the basically resulting from limited growth of natural
historical transitions from fuelwood to coal, to oil, gas and the continued heavy reliance on coal. Given
and to gas in primary energy supply can be these shorter term developments, a rapid transition
conveniently summarized as a gradual transition toward a hydrogen economy is even less ‘‘around the
from fuels with low H/C ratios to fuels with high corner’’ than is suggested by hydrogen advocates.
H/C ratios (Fig. 10). For traditional energy carriers The important transition toward higher H/C
such as fuelwood, this ratio is 10:1; for coal, the ratio ratios illustrated in Fig. 10 omits a growing share
is 0.5–1:1 (depending on coal quality); for oil, the of electricity not generated from fossil fuels (given
ratio is 2:1; and for natural gas (CH4), the ratio is that electrification is, next to the phase-out of
4:1. In turn, these H/C ratios also reflect the traditional noncommercial fuels, the single most
increasing exergetic quality of various carbon-based important variable in improving energy quality).
fuels, and this is an important explanatory factor for Therefore, Fig. 11 provides a complementary picture
the different efficiencies at which these fuels are used of the evolution of the carbon intensity of energy use
throughout the energy system. (The highest conver- by including all energy forms. The corresponding
sion efficiency of primary energy to final energy inverse of the rising H/C ratio is the decline in the
services is currently achieved by electricity. This is the carbon intensity of primary energy use, a trend
case even if the overall chain efficiency, calculated generally referred to as ‘‘decarbonization.’’
based on the second law of thermodynamics, remains Although decarbonization is usually described as a
extremely low at B5%, indicating vast potential for phenomenon at the level of primary energy use, its
improvements.) Extrapolations of the historical shift ultimate driver is energy consumers and their
toward higher H/C ratios could ultimately lead to a preference for convenience and clean fuel—if their
174 Transitions in Energy Use

29

Carbon intensity of final energy (kgC/GJ)


South Africa
Asia
Asia
24 Pacific

China Latin
America
19 Pacific OECD

Eastern Former Western


14 Europe Soviet
Union Europe North
America

0
1,000 10,000
GDP per capita (1990 U.S. dollars)
FIGURE 11 Carbon intensity of final energy for selected world regions, 1970–1990, versus purchasing power parity GDP
per capita. Reprinted from Grübler and Nakicenovic (1996).

incomes allow. Hence, Fig. 11 presents a synthesis of biomass fuels constitutes the greatest health risk of
both longitudinal and cross-sectional data on the current global energy use, as demonstrated convin-
aggregate carbon intensity of final energy delivered to cingly by the energy environmentalist Kirk Smith.)
consumers in various world regions over the period Finally, Fig. 12 links the changes in energy quality
from 1970 to 1990 as a function of income described previously to a final major energy transi-
(expressed here as GDP per capita, calculated at tion: the improvement of energy efficiency, measured
purchasing power parities to ‘‘compress’’ income here at the aggregate macroeconomic level in terms
differences between developing and industrialized of energy use per unit of GDP, usually referred to as
countries). The overall correlation between declining energy intensity. In the figure, energy intensities are
carbon intensities of final energy and rising incomes measured both in terms of total energy divided by
across countries and time is a powerful indication GDP and in terms of commercial energy divided by
that income effects are important not only for energy GDP (for developing countries, expressed at both
quantities but also for energy quality. Reduced market exchange rates and purchasing power pa-
dependence on traditional (high-carbon intensive) rities). The figure illustrates for selected countries
noncommercial biofuels (wood and animal dung) both the overall improvement in energy intensity
and increasing preferences for high-exergy quality over time and the impact of the structural transition
fuels such as liquids and grid-delivered energy forms from noncommercial to commercial fuels as an
(gas and electricity) characterize consumer prefer- indicator of the linkages between energy quality
ences as incomes rise. Because carbon is closely and efficiency. In addition, the impacts of using
correlated with other environmental pollutants as alternative measures of GDP—market exchange
well (e.g., particulate matter, sulfur), declining carbon rates versus purchasing power parities—on energy
intensities of energy use also indicate an increasing intensity are shown.
preference for cleaner energy forms for delivery of Aggregate energy intensities, including noncom-
final energy services, even if this requires higher mercial energy use, generally improve over time and
expenditures. (High-quality, low-emissions fuels quite in all countries. For example, a unit of GDP in the
rightly have a much higher price than do low-quality, United States now requires less than one-fifth the
polluting fuels.) The end result, although desirable, primary energy needed some 200 years ago. This
nonetheless leaves room for equity concerns. It is the corresponds to an average annual decrease in energy
rich who can afford clean, convenient, and efficient intensity of roughly 1% per year. The process is not
energy, whereas the poor must rely on traditional always smooth, as data from the United States and
fuels used in inefficient devices (typically open other countries illustrate. Periods of rapid improve-
fireplaces) that are extremely polluting. (As a result, ments are interlaced with periods of stagnation.
indoor air pollution from the use of traditional Energy intensities may even rise during the early
Transitions in Energy Use 175

100

India

per GDP (2000 U.S. dollars)


total and

Energy intensity (MJ)


commercial
United States Energy per MER

10 India
total and
commercial
Japan Energy per PPP

1
1850 1900 1950 2000

Year
FIGURE 12 Primary energy intensity, commercial fuels, and total energy use (including noncommercial fuels) per GDP calculated at
market exchange rates (MER, all countries) and purchasing power parities (PPP, India) for the United States (1800–2000), Japan (1885–
2000), and India (1950–2000). Courtesy of Erik Slentoe, IIASA.

takeoff stages of industrialization, when an energy- convergence in energy intensities across countries
and materials-intensive industrial and infrastructure (especially when measured at purchasing power
base needs to be developed. parities), the patterns of energy intensity improve-
Whereas aggregate energy intensities generally ments in various countries reflect their different
improve over time, commercial energy intensities situations and development histories. Economic
follow a different path. They first increase, reach a development is a cumulative process that, in various
maximum, and then decrease. The initial increase is countries, incorporates different consumption life-
due to the substitution of commercial energy carriers styles, different settlement patterns and transport
for traditional energy forms and technologies. How- requirements, different industrial structures, and
ever, as evidenced by the total aggregate energy different takeoff dates toward industrialization.
intensity, the overall efficiency effect remains decisi- Thus, the historical evolution of energy intensities
vely positive. Once the process of substituting again provides an example of path dependency.
commercial fuels for noncommercial energy is largely The comparative levels of energy intensities of
complete, commercial energy intensities decrease in developing countries (cf. India’s level with that of
line with the pattern found for aggregate energy other countries [Fig. 12]) depend on whether they are
intensities. Because most statistics document only measured at market exchange rates or in terms of
modern commercial energy use, this ‘‘hill of energy purchasing power parities as well as on whether only
intensity’’ has been discussed frequently. Reddy and commercial fuel or total energy use (including
Goldemberg, among others, observed that the noncommercial fuel) is considered. As a rule, when
successive peaks in the procession of countries expressed at market exchange rates, energy intensities
achieving this transition are ever lower, indicating a in developing countries are very high, resembling the
possible catch-up effect and promising further energy energy intensities that today’s industrialized countries
intensity reductions in developing countries that have showed more that 100 years ago. Even considering
yet to reach the peak. Nonetheless, the apparent energy intensities per purchasing power parity GDP,
existence of a hill of energy intensity in the use of decisive North–South differences remain, reflecting
commercial fuels is overshadowed by a powerful the respective differences in income. Income matters
trend. There is a decisive, consistent long-term trend because income levels determine both the quantities
toward improved energy intensities across a wide and quality of energy affordable to consumers as well
array of national experiences and across various as the type of energy end use conversion devices
phases of development, illustrating the link between available to them (e.g., a capital-intensive, energy-
energy quality and efficiency, among other factors efficient cooking stove vs a traditional cheap but
(e.g., economic structural change). However, history inefficient one). Thus, the final energy transition
matters. Although the trend is one of conditional discussed here, the move toward more efficient energy
176 Transitions in Energy Use

future decarbonization rates depend on the repre-


Carbon intensity of world primary energy

30 sentation of technology. In the (currently dominant)


view of a largely static technology base, past and
24 future decarbonization cannot be modeled without
resort to exogenous modeling ‘‘fudge factors’’ and
(kgC/GJ)

18
constraints. Even treating the traditional energy
model variables of resource availability, demand,
12 No uncertainty static technology (1)
Uncertainty in demand, and environmental constraints (taxes) as uncertain,
6
resources, costs (2)
= (2) + uncertain C − tax (3)
justifying diversification away from current domi-
Full uncertainty nant fossil technologies, does not change this picture
(including technological learning (4))
0 significantly. Currently, the only way in which to
1850 1900 1950 2000 2050 2100 replicate historical decarbonization and generate
Year scenarios of future decarbonation in an endogenous
FIGURE 13 Carbon intensity of world primary energy: way is to use models that incorporate full uncer-
Historical development since 1850 and future scenarios to 2100 tainty, including those of increasing returns to
based on different model representations of uncertainty and adoption for new energy technologies. Thus, innova-
induced technological change. See text for details. Adapted from
Grübler and Nakicenovic (1996) and Grübler and Gritsevskyi
tion is key—even if uncertain—both for future
(2002). scenarios and for explaining the transitions that have
taken place in global energy use since the onset of the
industrial revolution.
use, is far from completed. Efficiency improvement
potentials remain large in affluent and poor societies
alike. Far from being autonomous, the pace of SEE ALSO THE
realization of efficiency improvement potentials in FOLLOWING ARTICLES
the future depends on a variety of factors. For
instance, it depends on income growth in developing Cultural Evolution and Energy  Development and
countries, making clean and efficient energy forms Energy, Overview  Economic Growth, Liberal-
and end use devices affordable to wider segments of ization, and the Environment  Energy Ladder in
society. And it depends on new technologies and Developing Nations  Environmental Change and
incentives that promote more efficient energy use. Energy  Global Energy Use: Status and Trends 
The energy transition toward higher efficiency needs International Comparisons of Energy End Use:
to be pursued actively and continuously because it Benefits and Risks  Population Growth and Energy
remains forever ‘‘unfinished business.’’  Sustainable Development: Basic Concepts and

Application to Energy  Technology Innovation and


Energy  Women and Energy: Issues in Developing
5. CONCLUSION Nations

Let us return to the trend toward energy decarboni- Further Reading


zation, but this time at the level of primary energy.
Arthur, W. B. (1994). ‘‘Increasing Returns and Path Dependence in
The good news is that at the level of both energy
the Economy.’’ University of Michigan Press, Ann Arbor, MI.
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taking place, albeit at a very slow rate (B0.3%/year Coming Energy Revolution.’’ Worldwatch Institute, Washing-
at the global primary energy level and slightly faster ton, DC.
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Grübler, A. (1998). ‘‘Technology and Global Change.’’ Cambridge
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transitions described in the preceding sections) in any technological change through uncertain returns on innovation.
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Eng. 90, 521–526. Smil, V. (1994). ‘‘Energy in World History.’’ Westview, Boulder,
Nakicenovic, N., Grübler, A., and McDonald, A. (eds.) (1998). CO.
‘‘Global Energy Perspectives.’’ Cambridge University Press, Smith, K. R. (1993). Fuel combustion, air pollution exposure, and
Cambridge, UK. (For International Institute for Applied health. Annu. Rev. Energy Environ. 18, 529–566.
Systems Analysis [IIASA] and World Energy Council Weinberg, A., and Hammond, P. (1972, March). Global effects of
[WEC]) increased use of energy. Bull. Atomic Sci., pp. 5–8, 43–44.
Transportation and
Energy, Overview
DAVID L. GREENE
Oak Ridge National Laboratory
Knoxville, Tennessee, United States

transportation. Moving people, objects, and the


1. Introduction vehicles that carry them requires the application of
2. Societal Concerns force to overcome the forces of inertia and friction.
3. History of Propulsion Technology and Energy The application of force over a distance is work and
4. Patterns and Trends in Transportation Energy Use energy is the ability to perform work. Modern,
5. Energy Efficiency and Energy Consumption mobile societies use vast amounts of energy for
passenger travel and freight transport; approximately
6. Energy Sources
one-fourth of the total energy used by humans is for
7. Transportation Energy in the Future
transportation. Today, a century after the introduc-
tion of the internal combustion engine as a means of
propulsion, approximately 95% of transportation
Glossary energy use is supplied by petroleum. Petroleum’s
alternative fuel A nonpetroleum energy source used to advantages include low cost, high energy density, and
power transportation vehicles; most often applied to up to the present, abundant supply. Burning vast
road vehicles. quantities of petroleum to power transportation does
energy density The ratio of the energy content of a fuel or significant damage to the environment in the form of
storage capacity of a battery to its volume or mass. air pollution, spills on water and land, and green-
energy intensity The quantity of energy used per unit of house gas emissions. The near-total dependence of
transportation service provided; most often measured in transportation systems on petroleum has also been a
energy use per passenger-mile (or passenger-kilometer) source of strategic and economic costs. As the
or per ton-mile (or ton-kilometer).
world’s resources of fossil petroleum are depleted,
fuel economy Vehicle-miles (or vehicle-kilometers) pro-
duced per unit of energy consumed, most often
the world’s ever-increasing demand for mobility
measured as miles per gallon of fuel consumed or as raises questions about where the energy to power
liters of fuel consumed per 100 km traveled. transportation can be obtained. Solving these pro-
hybrid vehicle A vehicle that employs two sources of blems while maintaining and expanding the mobility
propulsion, especially an internal combustion engine on which the world’s economies have come to
and an electric motor. Some definitions also require that depend is the central problem of transportation and
energy be recaptured during braking and stored in a energy.
battery or other energy storage device for later use and
that the internal combustion be shut off when it would
otherwise be idling.
mode of transportation A particular combination of 1. INTRODUCTION
transportation vehicles and media. The most basic
distinction is among highway, rail, waterborne, air, Modern, mobile societies use vast amounts of energy
and pipeline transport modes. for passenger travel and freight transport. Global
transportation energy amounted to 4 EJ in the year
2000, one-fourth of the final energy used by human
Transportation is the movement of people or objects societies for all activities. Almost all (95%) of the
from one place to another. Energy is essential to energy use for transportation was derived from the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 179
180 Transportation and Energy, Overview

30 vehicles. Petroleum fuels have four key advantages:


25 Other (1) they have high energy density per volume and
Petroleum products weight; (2) they are easily handled and stored
20 because they are liquids under ambient conditions;
(3) throughout most of the 20th century, petroleum
EJ

15
resources have been in abundant supply; and (4) they
10
are relatively inexpensive.
5

0
World Transport World Transport
2. SOCIETAL CONCERNS
1973 1973 2000 2000
Consumption of petroleum fuels has also brought
FIGURE 1 World final energy use.
problems: (1) air pollution from vehicle exhausts is
harmful to human health to animals and to vegeta-
combustion of petroleum (Fig. 1). Burning such vast tion; (2) greenhouse gas (GHG) emissions, mostly in
quantities of petroleum does significant damage to the form of carbon dioxide, have begun to alter the
the environment. For most developed economies, it earth’s climate; (3) the concentration of the world’s
also creates an economic and strategic dependence oil resources in the Persian Gulf region has con-
on imported oil. As supplies of conventional oil are tributed to international conflict and produced oil
depleted, the world’s ever-increasing demand for price shocks that triggered economic recessions; and
mobility raises questions about where energy for (4) crude oil and fuel spills and leaking storage tanks
transportation will come from in the 21st century have polluted water bodies and groundwater.
and what the consequences of its use will be. Enormous technological progress has been made
Energy is essential for transportation. Transporta- in reducing the pollution caused by the combustion
tion, the movement of people or objects from one of petroleum fuels in motor vehicles. A properly
place to another, is a form of work, as that term is operating model year 2000 automobile produces
defined in physics. Moving transportation vehicles approximately 1% of the pollutant emissions per
requires the application of force to overcome inertia kilometer of vehicle travel of a vehicle built in 1965.
and continuous force to keep vehicles moving against New, tighter emissions standards to be implemented
the opposing forces of friction from rolling resis- in the next 5 years require further reductions in
tance, aerodynamic drag, or hydraulic drag. Work is emissions. Still, because of the continued growth in
defined as the application of force through a distance the number of vehicles and kilometers traveled and
and so the essence of transportation is work. Energy because of old and malfunctioning vehicles, air
is the ability to do work and thus transportation pollution by motor vehicles remains a serious health
cannot be accomplished without using energy. concern, especially in the megacities of developing
Energy for transportation vehicles can be supplied economies.
externally (e.g., sailboats, electric trains, trolleys) or The overwhelming majority of GHG emissions
carried on board (e.g., automobiles, jet aircraft). In from transportation are in the form of carbon
the 20th century, the internal combustion engine dioxide (Fig. 2). A typical passenger car will emit
became the predominant source of power for several times its weight in carbon dioxide each year.
transportation vehicles, displacing animal, wind, Because the carbon content of petroleum fuels varies
and steam power. Internal combustion engine vehi- little, carbon dioxide emissions depend directly on
cles must carry a supply of energy on board. When how much transporting is done and the energy
energy is carried on board a vehicle, a high value is efficiency of transportation vehicles. Globally, trans-
placed on energy density because stored energy portation accounts for one-fifth of carbon dioxide
displaces payload (by weight and volume) and emissions. Thus far, reducing transportation’s GHG
because storing more energy on board facilitates emissions has proven to be much more difficult than
speed and the convenience of nonstop operation. reducing air pollutant emissions because of the lack
After a brief period of experimentation early in the of economically competitive, alternative, low-carbon
20th century, liquid fuels derived from petroleum fuels.
emerged as the clearly preferred form of energy for Because no fuel has been able to displace
internal combustion engines. By midcentury, petro- petroleum, increasing energy efficiency and reducing
leum supplied 90% of the energy for transportation motorized vehicle travel are the most effective
Transportation and Energy, Overview 181

Methane Organization of Petroleum Exporting Countries


0.2% (OPEC) hold almost 80% of the world’s proved
Nitrous reserves of conventional oil. Proved reserves, how-
oxide ever, are a stock held for future production and do
3.1% not fully reflect the extent of developable oil
resources. Considering estimated undiscovered re-
Other
1.3% sources and the potential for technological progress
in discovery and production, OPEC members still
Carbon
hold more than one-half of all the conventional oil
dioxide that remains (Fig. 3). The willingness of OPEC
95.4% members to use their position of market dominance
has enabled them to raise oil prices at the expense of
oil-producing nations and has contributed to inter-
national conflict.
FIGURE 2 Transportation greenhouse gas emissions, by type of
Though estimates vary, it appears that human
gas, in the United States in the year 2000. beings have consumed approximately one-third of all
the conventional petroleum that exists. Because
consumption has been steadily increasing, it will
remaining strategies for controlling transportation’s take no more than a few decades to reach the point at
GHG emissions over the next few decades. Since which 50% of the earth’s ultimately recoverable
1970, increasing energy efficiency has proven to be conventional petroleum resources have been con-
more effective than decreasing vehicle travel. From sumed. If that point is reached, transportation may
1970 to 2000, highway vehicle travel in the United have to begin a transition to alternative sources of
Stated increased by almost 150%. At the same time, energy if world mobility is to continue to increase.
the fuel economy of passenger cars and light trucks in One option is to make conventional fuels out of
use increased by 55% (from 13.0 to 20.1 miles per other fossil carbon resources. There are vast deposits
gallon). The increase in passenger car and light truck of unconventional oil in the form of heavy oil in
fuel economy in the United States from 1975 to 2000 Venezuela and oil sands in Canada that are beginning
reduced petroleum consumption by 2.8 million to be developed to supply petroleum fuels at
barrels per day (6.25 EJ per year), equivalent to competitive prices. In addition, excellent conven-
100 million metric tons of carbon emissions. tional transportation fuels can be made at a higher
Driven by fuel economy standards and higher fuel cost from natural gas or coal via Fischer–Tropsch or
prices, the fuel economy of new passenger cars sold similar conversion processes. The United States also
in the United States doubled from 1974 to 1985 and contains enormous reserves of oil shale, which could
that of light trucks increased by over 50%. U.S. fuel be developed at much greater expense and with
economy standards have not changed significantly increased environmental impacts. On the other hand,
since 1985 and fuel prices decreased. As a result, given the right technological advances, the energy
both new car and light truck fuel economies have for 21st century transportation systems could be
remained approximately the same and the combined
fuel economy of light-duty vehicles has declined due
2000
to the increased popularity of light trucks. It takes Rest of world
approximately 15 years for the total fleet of light- OPEC
duty vehicles in use to reach the same level of fuel 1500
Billion barrels

economy as new vehicles (older, less efficient vehicles 768

1000 412
must be scrapped and replaced by newer ones). As a
result, total light-duty vehicle fuel economy has
continued to increase slowly, reaching 19.5 miles per 500 815 854
gallon in 1991 and 20.1 miles per gallon in 2000.
Thus, it appears that in the future, carbon dioxide 0
emissions will increase at the same rate as vehicle Proved Ultimate remaining
travel grows. reserves resources
World resources of petroleum are highly geogra- FIGURE 3 Estimated quantity and distribution of world’s
phically concentrated. Nations belonging to the remaining oil resources.
182 Transportation and Energy, Overview

supplied by very different fuels, such as hydrogen to the wind, and on rivers by downstream currents. To
power fuel cell vehicles or electricity for high-speed make oared boats larger and faster, two and three
railways. banks of oars were used. At the same time, hull
designs were elongated and streamlined to reduce
hydraulic drag. From a single square or triangular
sail on a mast, more sails and more masts were added
3. HISTORY OF PROPULSION to increase the amount of wind energy that could be
TECHNOLOGY AND ENERGY used. Sails were made maneuverable to allow head-
way to be made under a greater range of wind
The history of transportation and energy is one of directions and to increase speed. Larger and faster
finding ways to apply greater power and to reduce sailing ships allowed humans to travel around the
the forces opposing motion, so that ever larger earth for the first time in the 15th century. On inland
payloads could be moved at greater speeds. Defined waterways, the construction of canals with towpaths
as the tools devised by human beings to accomplish allowed mules or oxen to take over from human
the transportation of persons and goods, vehicles power as a source of propulsion.
could include everything from domesticated animals In the latter half of the 18th century, the invention
to jet aircraft. At a minimum, a vehicle consists of a of the (external combustion) steam engine began a
structure for supporting a payload and a means of revolution in ground and water transportation. For
using energy to create motion. A wide variety of the first time, a vehicle’s source of energy, generally
forms of energy have been applied to make vehicles coal, could be carried on board. The first steam
go. The goals of increasing speed and payload have engines were large and, because they operated at low
driven transportation vehicles not only to use more pressures, provided relatively little power for their
energy, but to use it more effectively by increasing the weight and size. Because of their low power density,
efficiency with which energy is converted to propul- the first use of steam engines in transportation was
sion and by minimizing the forces of inertia and on ships. Early paddle-wheel-driven steamboats were
friction. no faster than sailing ships but had the advantages of
From the earliest times, human beings sought to more reliable propulsion and the ability to travel in
augment the mobility that their legs provided by any direction regardless of which way the wind blew.
domesticating animals and harnessing their power. In the 19th century, improvements such as higher
Horses, camels, oxen, donkeys, and even elephants pressure engines using double and triple expansion to
and dogs have been employed by humans to pull or maximize the work derived from steam, the screw
carry. Animals could be ridden or laden, but propeller, and steel hulls that could withstand the
generally this did not take full advantage of their greater forces produced by the more powerful
power. Larger amounts could be transported by engines allowed the steamship to flourish. Just before
harnessing animals to a sled or by harnessing them to the turn of the century, steam turbine engines were
two poles and dragging a load suspended between installed on ocean liners and proved to be somewhat
them. The Native Americans of the northern plains faster than the reciprocating piston steam engines.
used such vehicles (with pointed pole ends to reduce On land, early steam engines were installed on
friction) until the 19th century. The high friction vehicles that operated on roadways and on fixed
produced by dragging across the ground was guideways. Operation on steel rails proved the most
dramatically reduced by the invention of the wheel. effective because of the low friction between wheel
Wheeled vehicles in the form of carts and chariots and rail. With only 1 atm of pressure, the earliest
have been in existence since at least the second steam engines had too little power for their size to be
millennium bc. For the next 3000 years, animal effective propulsion systems for land transport. By
power provided the energy for ground transportation the beginning of the 19th century, however, steam
vehicles and technological advances focused on engines with 10 times the pressure of the early
reducing friction through the invention of rounder, engines had been invented and the age of rail began.
lighter spoked wheels and turnable front axles and Rail’s dominance of land transport lasted a full
through the improvement of road surfaces and century until a new engine emerged with much
reduction of grades. higher power density, its energy supplied by liquid
Waterborne vessels are known to have been used fuel.
for transporting people and goods as long ago as The invention of the internal combustion engine
4000 bc. Motive power was provided by rowers, by has proven to be the single most important event in
Transportation and Energy, Overview 183

the history of transportation. Almost immediately 4. PATTERNS AND TRENDS IN


after the first successful internal combustion engines TRANSPORTATION ENERGY USE
were developed in the 1870s, they were installed on
tricycles, bicycles, and carriages; after only slightly By far, highway vehicles consume more energy than
more than 10 years, the first automobiles appeared any other mode of transport. In both the developed
on the roads of Europe and North America. In 1901, economies belonging to the Organization for Eco-
425 automobiles were sold in the United States. They nomic Cooperation and Development and develop-
were chiefly toys, affordable only by the wealthiest ing economies, road vehicles account for 80% or
Americans. The introduction of the Model T by more of total transportation energy use (Fig. 4). In
Henry Ford in 1908 changed that forever. By 1929, the Unites States, light-duty vehicles (passenger cars
27 million automobiles traveled a largely inadequate and light trucks) alone account for more than one-
U.S. road system. half of the transportation sector’s total energy use.
New forms of propulsion that could displace Air travel is the second largest and fastest growing
the internal combustion engine in the 21st century energy user. Between the two, they consume more
are on the horizon. Fuel cells powering electric than 90% of transportation energy use. Other
motors have made enormous progress as a potential modes, rail, pipeline, and water, account for
propulsion system for automobiles. Fuel cells pro- approximately 1–2% each.
duce electricity by a chemical reaction between Despite the oil price shocks of the 1970s and
hydrogen (the fuel) and oxygen (usually supplied 1980s, world transportation energy use more than
from the air). Unlike a battery, the fuel cell can doubled from 1970 to 2000 (Fig. 5). Energy use in
supply electricity indefinitely as long as new fuel and developing economies grew faster (3.5% per annum)
oxygen are provided to the cell. Whereas modern than energy use in the developed economies (2.2% per
gasoline internal combustion engines can achieve year). If the growth in transportation activity con-
efficiencies of up to 30%, fuel cells coupled with tinues at this pace, and if significant improvements in
electric motors can convert up to 55% of the energy energy efficiency are not made, the world will soon be
in fuel to useful work. The hydrogen fuel cell is an searching for alternative sources of energy to fuel the
inherently clean technology; the only product of its growth of its transportation systems.
chemical reaction is water. In addition, hydrogen can
be produced from a number of energy sources
including natural gas, coal, biomass, or, via electro- 5. ENERGY EFFICIENCY AND
lysis, any source of electricity, including nuclear,
wind, or solar power.
ENERGY CONSUMPTION
Magnetic levitation could someday revolutionize
Increasing the energy efficiency of transportation
fixed guideway transportation. Magnetic forces can
vehicles has always been a key motivation for
levitate a train above its guideway for noncontact,
almost frictionless suspension, guidance, and propul-
sion at speeds up to 500 km/h. Successful technical Other
Air Road Rail Pipeline Navigation
demonstrations of maglev trains have been made in
Japan, Europe, and the United States.
For aircraft to fly at speeds greater than mach 5
222.13
(hypersonic speed, greater than 1.6 km/s), they will
need new propulsion systems and new fuels. Aero- 3.81
space researchers are developing ramjet/scramjet 21.06
engines to achieve these hypersonic flight speeds.
Unlike conventional jet engines, which mechanically 20.71
compress air prior to combustion, ramjets use the 25.19
speed of the aircraft itself to compress the air that
travels through the jet engine at subsonic speeds. In 1418.71
the scramjet, the air travels through the engine at
supersonic speeds. This requires a fuel with an
extremely fast rate of combustion. Petroleum-based
fuels combust too slowly, so a new fuel, such as FIGURE 4 World transportation energy use by mode, in the
liquid hydrogen, will be needed. year 2000 (million metric tons of oil equivalent).
184 Transportation and Energy, Overview

TABLE I
Million metric tons of oil equivalent
2000
Total
Typical Engine and Transmission Efficiencies
OECD
1500
Technology Urban driving Highway driving

1000 Gasoline engine 10–15% 25%


Diesel engine 15–22% 35%
Automatic transmission 70–80% 85%
500
Manual transmission 85–90% 90–95%

0 Source. Reprinted from Massachusetts Institute of Technology


1970 1980 1990 2000 and Charles River Associates, Inc. (2002), Table 2–3, with
permission.
FIGURE 5 World transportation energy use. OECD, Organiza-
tion for Economic Cooperation and Development.

advances in energy technology. It is useful to off the internal combustion engine during idling,
distinguish between propulsion efficiency (the effi- coasting, or braking and restarting it quickly with the
ciency with which energy delivered to a vehicle is electric motor when needed and (2) using the electric
converted into useful work) and vehicle efficiency motor as a generator during braking to convert
(the energy required from a vehicle’s propulsion kinetic energy into electricity, which is then stored in
system relative to the transportation services it a battery for future use by the electric motor.
delivers). In some circumstances (such as comparing For any given driving cycle (a driving cycle is
the environmental impacts of alternative technolo- typically defined by a schedule of velocity versus time
gies and fuels), it is important to consider the life at a given load and under ambient conditions), the
cycle or ‘‘well-to-wheels’’ energy efficiency of a energy required to propel a vehicle is determined by
complete fuel and vehicle system. the forces that oppose its motion. The amount of
Propulsion efficiency is the ratio of the output of inertial energy is determined by the mass of the
an engine in useful work to the energy content of the vehicle, since for the same rate of acceleration
fuel used. The second law of thermodynamics proportionately increased force must be applied as
requires that this ratio be less than 1 because in mass increases (Force ¼ Mass  Acceleration). To a
any reaction entropy must increase. Many other lesser degree, this also applies to the moving parts of
factors prevent engines from reaching thermody- an engine, which must also be accelerated to increase
namic efficiency limits, including internal friction, engine speed. Reducing the mass of these moving
limits on temperatures and pressures, and energy parts reduces friction and the inertial work internal
requirements of auxiliary systems. All of these areas to the engine. Force to overcome inertia must also be
constitute possibilities for technological advances to applied when vehicles change direction.
increase efficiency. The spark-ignited, gasoline, inter- The remaining forces opposing motion are fric-
nal combustion engine of a modern automobile, in tional. All vehicles moving within the earth’s atmos-
typical urban driving, converts less than 20% of the phere must overcome aerodynamic drag. Aero-
energy in gasoline into useful work at its crankshaft dynamic drag becomes increasingly important as
(see Table I). Various engine losses (especially heat vehicle speed increases because drag grows with the
rejected to the engine’s cooling system and exhaust) square of speed. As a result, the energy required per
account for more than 60% of the energy in the fuel; unit of distance to overcome aerodynamic drag
fuel consumed during idling, braking, and coasting increases in proportion to vehicle speed. At any
accounts for almost 20%. Although idling and given speed, drag can be reduced by means of
braking losses are not a function of the conversion slipperier vehicle designs with lower drag coeffi-
efficiency of the engine, they are an important cients. A bluff design with its full frontal area
component of the overall efficiency of the propulsion perpendicular to the direction of motion would have
system. It is possible to recapture much of a vehicle’s a drag coefficient of 1.0. Modern passenger cars have
kinetic energy normally dissipated as waste heat drag coefficients on the order of 0.3, whereas large
during braking. Hybrid propulsion systems that truck drag coefficients are often 0.7 or higher.
combine an internal combustion engine and an Advanced passenger car designs have achieved drag
electric motor minimize these losses by (1) shutting coefficients of 0.15. For motor vehicles, the other
Transportation and Energy, Overview 185

major frictional force, rolling resistance, is caused by measure of the aerodynamic efficiency of aircraft.
friction in wheels, axles, transmission, brakes, and Early jet aircraft had L/D ratios of approximately 16.
the contact between wheels or tires and roads or Today, long-range aircraft achieve L/D ratios of 20
tracks. Rolling resistance increases directly with and short- to medium-range aircraft have ratios of
speed so that per unit of distance traveled it is approximately 18.
approximately constant. In a modern automobile, The overall energy efficiency of air travel has also
most rolling resistance is due to the deformation of benefited from increased aircraft size (seats per
tires as they meet the pavement. aircraft) and higher load factors (average occupancy
Losses in the transmission and other driveline per seat). In 1970, airlines used 6.5 MJ per passenger-
components of an automobile use slightly more than kilometer of service. In 2000, only 2.5 MJ was
5% of the total energy in fuel. Of the 12–13% of the needed to produce 1 passenger-kilometer of service,
original energy in fuel that reaches the wheels, approximately the same as the average energy
approximately 6% goes to overcoming inertia, 3% efficiency of travel by passenger car.
to overcoming aerodynamic drag, and 4% to rolling Transportation modes differ in energy efficiency,
resistance. In highway driving, the distribution is but perhaps not as much as might be expected.
quite different, reflecting the greater importance of Measuring efficiency for modal comparisons is made
frictional forces at highway speeds: 2% to over- difficult by differences in the services that modes
coming inertia, 7% to rolling resistance, and 11% to provide. The private passenger car provides the
overcoming aerodynamic drag. ultimate in personal convenience, offering privacy,
Commercial aircraft have settled on the gas turbine point-to-point transport, and a completely flexible
engine fueled by kerosene as the propulsion system of schedule. However, passenger cars cannot yet cruise at
choice. Unlike the engines used in automobiles that 800 km/h the way jet aircraft can. Also, although
employ reciprocating pistons to compress air prior to railroads consume far less energy per ton of freight
combustion, turbines use fan blades rotating about an carried, they cannot match trucks for point-to-point
axis to achieve compression. Turbine engines are service and flexibility in scheduling. Nor can either
more efficient for the constant speed operating alone guarantee overnight transcontinental delivery as
conditions typical of most air travel. The overall can aircraft combined with trucks. Such differences in
efficiency of gas turbine propulsion is determined by service are not reflected in readily measured energy
its thermodynamic efficiency (which increases as the efficiency indicators, such as energy use per passenger-
temperatures and pressures that can be achieved kilometer or ton-kilometer. Bearing these limitations
within the engine increase) and propulsion efficiency. in mind, data for the United States indicate that
Early turbojets achieved thrust solely by accelerating energy intensities of passenger modes have tended to
the air that passed through the engine’s combustor. By decline over time and suggest a degree of convergence
accelerating air out the back of the jet engine, an across modes (Fig. 6). Air travel, the newest mode in
equal and opposite force that accelerates the aircraft terms of technological maturity, achieved the greatest
forward is created. The turbofan engine greatly reduction, most of it prior to 1980. Passenger car and
increased propulsion efficiency by also producing light truck energy intensities declined through 1990,
thrust by means of fan blades driven by the turbojet whereas most other modes’ energy intensities re-
engine to accelerate air passing around the engine. By mained the same or even increased.
1990, turbofans employed bypass ratios of 5–6; in For freight modes, data are inadequate to calcu-
2003, high-bypass engines have ratios of 8–10. It may late energy intensities for truck and waterborne
be possible to increase ratios to 15–20 with further freight. Energy use per ton-kilometer transported
gains in propulsion efficiency. The overall energy by rail in the United States was cut by one-half
efficiency of aircraft propulsion has improved dra- between 1970 and 2000. These aggregated compar-
matically over the past 50 years. In 2003, energy use isons obscure significant variations from place to
per unit of thrust produced is less than two-thirds of place and across types of service within modes.
what was required in 1960.
Aircraft must continuously overcome the force of
gravity, which is proportional to their mass. They do 6. ENERGY SOURCES
so by using an airfoil to create lift. The airfoil also
creates a frictional force (aerodynamic drag) that Early transportation vehicles relied on animal
opposes the forward motion of the aircraft. The ratio power, wind, flowing water, and gravity. With the
of the force of lift to that of drag (L/D) is the key motorization of transportation vehicles, combustible
186 Transportation and Energy, Overview

Megajoules per passenger-kilometer


18
16
14 Air
Light truck
12
Passenger car
10 Intercity rail
8 Commuter rail
6 Rail transit
Transit bus
4 Intercity bus
2
0
1970 1980 1990 2000
FIGURE 6 Energy intensities of passenger modes in the United States.

fuels and electricity became important sources of vehicles could store only approximately 30 kWh of
energy. External combustion engines, such as the energy on board (equivalent to approximately 3 gal of
steam engine (piston and turbine), played an gasoline) and took hours to refuel.
important role in water and rail transport during The electric vehicle arrived first and, initially,
much of the 19th century and early part of the 20th competed well against the noisy and frequently
century. Solid fuels, such as coal and wood, are unreliable gasoline-engine automobiles. But by
suitable for external combustion because the speed 1912, there were 33,000 electric vehicles in use in
and completeness of combustion are not of great the United States and over half a million gasoline-
importance. The low cost and abundance of coal powered vehicles. Electric vehicles had distinct
made it the fuel of choice for steam engines. The advantages in quietness, cleanness, and reliability,
combination of the development of the internal but gasoline vehicles had the decisive advantage:
combustion engine and discovery of vast resources energy storage. The costs of electricity and gasoline
of petroleum led to petroleum displacing nearly every were relatively minor factors. By either weight or
other form of energy as the predominant energy volume, more than 100 times as much energy could
source for transportation. Internal combustion en- be stored on board a vehicle in the form of gasoline
gines favor volatile liquid and gaseous fuels because versus electricity stored in batteries. In addition,
combustion must take place rapidly in a confined batteries were, and still are, expensive storage devices
space (favoring fuels that vaporize easily or are in comparison to a gasoline tank. Primarily due to
already gaseous) and combustion products must be the cost of batteries, electric vehicles in 1913 cost
fully expelled in a gaseous medium. $2000 to $3000, whereas gasoline-engine automo-
The first electric automobile was a tricycle powered biles could be purchased for less than $1000.
by lead–acid batteries, introduced to the world in Energy density remains a problem for alternative
1881. An 1882 version is known to have carried 68 kg fuels. The energy densities of gaseous and liquid fuels
of batteries with an energy storage of 1.5 kWh, are compared in Fig. 7. Diesel fuel has 11% more
enough for a range of 15–40 km traveling at approxi- energy per volume than gasoline and thus requires
mately 15 km/h. One and one-half kilowatt-hours is only 90% of the volume to store the same amount of
equivalent in energy to approximately one-sixth of a energy. Two alcohols that have been widely used as
liter of gasoline. In 1900, electric automobiles had a motor fuels, ethanol and methanol, require 50 and
tremendous advantage in energy efficiency over their 100% greater volumes, respectively, to store the
competitors. Steam-powered automobiles were get- same amount of energy. Compressed natural gas
ting approximately 2.5 km/liter, gasoline-engine vehi- (methane) needs 4 liters of storage space to equal the
cles were getting approximately 5 km/liter, whereas energy in a single liter of gasoline and liquefied
electric cars could travel up to 75 km per energy hydrogen requires almost the same volume. Com-
equivalent of 1 liter of gasoline. Unfortunately, electric pressed hydrogen at 5000 psi needs 16 times the
Transportation and Energy, Overview 187

18 million (0.2%) in total and alternative fuels constituted


16 only 0.2% of total fuel consumption by highway
14 vehicles (1.3 billion out of 680 billion liters). Non-
12
petroleum energy has had greater success in blends
Liters

10
8 with gasoline. In the United States in 2000, 11 billion
6 gasoline energy equivalent liters of methyl tertiary butyl
4 ether (made primarily from natural gas and butane)
2
0
and 4 billion gasoline energy equivalent liters of
ethanol (made from corn) were blended with gasoline.
Gasoline

Methanol
Diesel

Ethanol
LPG

hydrogen

(3000 psi)

(5000 psi)
Hydrogen
Liquid

CNG
FIGURE 7 Volume required to store the energy equivalent of 1 7. TRANSPORTATION ENERGY IN
liter of gasoline. CNG, compressed natural gas; LPG, liquefied THE FUTURE
petroleum gas.
What will transportation’s energy future look like?
volume. Batteries have even lower energy densities Will demand for mobility continue to grow indefi-
but are more often limited by weight than by volume. nitely or will a saturation point be reached and
Three hundred kilograms of nickel metal hydride growth slow to a halt? Clearly, there are no certain
(NiMH) batteries (the kind used in hybrid vehicles answers to such questions. Yet transportation re-
today) are required to store the energy in 1 kg of search has developed some useful principles that can
gasoline. The most advanced NiMH batteries avail- help one peer into the future. Future world trans-
able could store that much energy in 170 kg of portation energy use may well be determined more
batteries. by what happens in the world’s developing econo-
Another problem faced by alternative fuels is the mies than by the evolution of developed economies.
difficulty of displacing a fuel with an enormous, Not only is it likely that population growth and
efficient infrastructure. The phrase ‘‘chicken or egg’’ economic growth will be most rapid in the develop-
dilemma has been used to describe the reluctance of ing world over the next 50 years, but economic
energy companies to invest in fuel supply infrastruc- growth is likely to have the greatest impact on
ture when there are no vehicles that use the fuel and mobility in the developing world through its impact
the reluctance of vehicle purchasers to buy, and on the motorization of transport.
automobile companies to manufacture, alternative The average human being spends 1.1 h per day
fuel vehicles when there is no fuel supply infra- traveling. In addition, households not owning a
structure to support them. The economic barriers to personal car devote, on average, 3–5% of their
displacing an established technology are real and expenditures to transportation. Typical car-owning
substantial. In addition to the chicken or egg households spend 10–15%. As income grows, the
dilemma, initial problems include the lack of average time spent traveling remains approximately
diversity of choice for novel technologies and large constant, but money expenditures grow. The in-
economies of scale in automobile production. creased expenditures go to faster (and more con-
Alternative fuels without a decisive advantage venient) motorized modes of transport.
over petroleum are not likely to succeed. Petroleum Whereas motorized transport is predominant in
fuels and internal combustion engines have proven to developed economies, walking, cycling, and mass
be resilient and adaptable. In the 1980s, demands for transport are still the most commonly used modes in
cleaner cars seemed to favor inherently cleaner the developing economies. The average resident of
burning fuels, such as natural gas and alcohols. But Africa or China spends on the order of 10 min/day or
the petroleum and motor vehicle industries re- less in a motorized form of transport. The average
sponded by developing advanced emissions controls North American spends more than 1 h/day. The
and a new reformulated gasoline, whose chemistry potential for growth is enormous and so are the rates
had been tailored to meet the emissions goals of growth. In the developing world, automobile
established by alternative fuels. ownership rates are low: less than 50 vehicles per
After nearly a quarter century of efforts to promote 1000 persons in China and Africa, 100 vehicles per
alternative fuels in the United States, there were only 1000 persons in Latin America, and less than 150
456,000 alternative fuel vehicles in use out of 213 vehicles per 1000 persons in the nations of the
188 Transportation and Energy, Overview

former Soviet Union. By contrast, ownership rates Overview  Fuel Economy Initiatives: International
exceed 500 vehicles per 1000 persons in Europe, are Comparisons  Hybrid Electric Vehicles  Intelligent
over 600 vehicles per 1000 persons in Japan, and top Transportation Systems  Internal Combustion En-
out at 800 vehicles per 1000 persons in the United gine Vehicles  Lifestyles and Energy  Marine
States. In terms of motorization, China and Africa Transportation and Energy Use  Passenger Demand
are approximately where the United States was in for Travel and Energy Use  Transportation and
1915 in terms of automobile ownership. In the Energy Policy  Transportation Fuel Alternatives for
developed world, travelers are switching from cars to Highway Vehicles
airplanes to obtain more mobility out of their 1.1 h
(average) of daily travel time. In the developing
world, travelers are switching from animal and Further Reading
human power to motor vehicles. The impact on Ausubel, J. H., Marchetti, C., and Meyer, P. S. (1998). Toward
transportation energy use is likely to be enormous. green mobility: The evolution of transport. Eur. Rev. 6,
What energy sources will fuel the future growth of 137–156.
mobility? The world’s fossil resources, especially coal Davis, S.C., and Diegel, S. (2002). ‘‘Transportation Energy Data
and oil shale, are more than adequate to supply Book,’’ 22nd ed., ORNL-6967. Oak Ridge National Labora-
tory, Oak Ridge, TN.
synthetic petroleum fuels for expanding mobility Greene, D. L. (1996). ‘‘Transportation and Energy.’’ Eno Founda-
well beyond the end of this century. But will the tion for Transportation, Washington, DC.
world choose that path? It is also possible to Massachusetts Institute of Technology and Charles River Associ-
manufacture hydrogen or electricity from those same ates, Inc. (2002). ‘‘Mobility 2001: World Mobility at the End of
fossil fuels or from almost any other source of energy. the Twentieth Century and Its Sustainability.’’ World Business
Council for Sustainable Development, Geneva, Switzerland.
But will the technological challenges of fuel cells and Available at www.wbcsdmobility.org.
hydrogen storage be solved? Will passengers and Schafer, A., and Victor, D. G. (2000). The future mobility of the
freight soon speed along at 500 km/h in magnetically world population. Transport. Res. A 34, 171–205.
levitated trains driven by linear electric motors? Or Schipper, L. (1995). Determinants of automobile use and energy
will unimagined technologies provide the increased consumption in OECD countries. Annu. Rev. Energy Environ.
20, 325–386.
speed, capacity, comfort, and convenience that U.S. Congress, Office of Technology Assessment. (1994). ‘‘Saving
human societies have sought ever since the first draft Energy in U.S. Transportation,’’ OTA-ETI-589. U.S. Govern-
animals were domesticated? Regardless, an increas- ment Printing Office, Washington, DC.
ingly mobile world will demand more transporta- U.S. Department of Transportation, Bureau of Transportation
Statistics. (1996). ‘‘Transportation Statistics Annual
tion, and transportation will require energy.
Report 1996: Transportation and the Environment.’’
Washington, DC.
Weiss, M. A., Heywood, J. B., Drake, E. M., Schafer, A., and
SEE ALSO THE AuYeung, F. F. (2000). ‘‘On the Road in 2020: A Life-cycle
FOLLOWING ARTICLES Analysis of New Automobile Technologies,’’ Energy Laboratory
Report MIT EL 00-003. Massachusetts Institute of Technology,
Cambridge, MA.
Aircraft and Energy Use  Conservation Measures for Yergin, D. (1992). ‘‘The Prize: the Epic Quest for Oil, Money and
Energy, History of  Energy Efficiency, Taxonomic Power.’’ Simon and Schuster, New York.
Transportation and Energy Policy
LEWIS M. FULTON
International Energy Agency
Paris, France

transportation The movement of people and goods,


1. Recent Trends and a Forecast for the Next 30 Years providing mobility and access to desired destinations.
‘‘well-to-wheels’’ greenhouse gas (or CO2) emissions Emis-
2. Looking behind the Energy Trends
sions that occur not just from the vehicle but during the
3. Concerns for Transport Energy Sustainability entire process of producing fuel and bringing it to the
4. Is an Alternative Future Possible? vehicle; this term may also include emissions during
5. Conclusions vehicle production and disposal.

Like all human activities, transportation, the move-


ment of people and goods, is made possible by the use
Glossary of energy. Current transport systems around the world
ASIF matrix Basic structure of travel, providing a system rely nearly completely on a single form of energy—
for analysis; travel energy use is a function of the ASIF petroleum. As demand for petroleum fuels continues
components: activity, structure, intensity, and fuel type. to increase, the unsustainability of this reliance has
fuel economy Fuel consumption per kilometer of vehicle become an increasing concern. Not only is petroleum
travel (more commonly used in North America than nonrenewable, but its use produces side effects such as
elsewhere). air pollution and greenhouse gas emissions that could
fuel efficiency The efficiency with which vehicles convert contribute to climate change. However, there is a
energy into movement—not necessarily the same as fuel range of available technologies and other options for
economy; for example, one vehicle might have better
reducing petroleum consumption in transport, mostly
technology and be more fuel efficient than another, but
if it is larger and heavier than the other vehicle, it might
involving either switching to new fuels or cutting fuel
still have worse fuel economy. use by improving transport efficiency. Significant
fuel intensity Similar to fuel economy, but where the term changes in travel patterns are also possible. This
often describes the average fuel use per kilometer of the article reviews current trends and outlines the options
vehicle stock rather than of an individual vehicle. available for changing their direction so as to put
light-duty vehicles A general term to describe cars, vans, transport on a more sustainable path.
sport utility vehicles, and even small trucks commonly
used for personal transport; in the United States, more
than 50% of new vehicle sales to households are no
longer cars but rather other types of light-duty vehicles.
1. RECENT TRENDS AND
‘‘on road’’ or ‘‘in use’’ fuel economy The fuel economy or A FORECAST FOR THE NEXT
fuel intensity of vehicles in actual use; this is typically 30 YEARS
anywhere between 10 and 25% worse than the ‘‘rated’’
fuel economy of vehicles, measured on test equipment In nearly every region of the world, transport energy
using a fixed-duty cycle. use is increasing rapidly (Fig. 1) and is fueled nearly
Organization for Economic Cooperation and Development
entirely by petroleum—more than 97% of transport
(OECD) Organization that serves primarily industria-
lized, more developed countries, including North
fuel use worldwide. Because emissions of carbon
America, Western Europe, Japan, Korea, Australia, dioxide (CO2) are closely linked with consumption
and New Zealand; OECD countries have become of petroleum (and other fossil fuels), these emissions
synonymous with the developed world, and non-OECD have risen—and will continue to rise—in lock-step
countries have become synonymous with the developing with the increases in petroleum use. Gasoline and
world. diesel vehicles emit a variety of air pollutants, although

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 189
190 Transportation and Energy Policy

3500 of transport energy demand. These can be thought of


Non-OECD in terms of the ‘‘ASIF’’ equation:
3000 OECD
Million tonnes oil-equivalent

A * Si * Iij ¼ Fij ;
2500
where A is total travel activity, often measured as
2000 person-kilometers of travel and freight ton-kilometers
of travel; Si relates to the structure of travel in terms
1500
of the types of travel modes i used and how they
are used, often measured as vehicle-kilometers of
1000
travel for each mode per unit passenger-kilometer or
500 freight ton-kilometer of travel; and Iij is the energy
intensity of mode i operating on fuel type j, often
0 measured as energy use per vehicle-kilometer of
2000 2010 2020 2030 travel. For any given mode i and fuel type j, this
Year equation is an identity that determines F, that is,
FIGURE 1 IEA forecast of transportation energy use through fuel use. Emissions of CO2 can also be calculated
2030: OECD and developing world. with this equation simply by adding the appropriate
coefficient of carbon per unit fuel use, generally
fixed for any particular fuel type (although ‘‘well-to-
tightened emissions control requirements have cut
wheel’’ emissions can vary considerably, as discussed
these emissions substantially during recent years,
later).
particularly in ‘‘developed’’ (i.e., Organization for
As this equation suggests, to affect transport
Economic Cooperation and Development [OECD])
energy use, either travel activity, structure, or energy
countries. Concerns regarding energy security, parti-
intensity must be changed. This corresponds roughly
cularly ‘‘oil dependence,’’ have become focused mainly
to how much travel occurs, how it occurs, and how
on transport because most of the increase in global oil
energy intensive it is. These represent the three main
use over the past 30 years has been for the transport
areas for potential policy intervention. It is also
sector. In the developed world, oil use in other energy
worth noting that the first of these represents largely
end use sectors, such as buildings and industry, has
a behavioral issue, the second is a combination of
actually declined over this period.
behavior and more technical issues, and the third—
Recent forecasts, such as the World Energy
modal energy intensity—is largely (but not comple-
Outlook 2002 of the International Energy Agency
tely) a technical issue.
(IEA), suggest that most of the current trends are not
Travel activity is influenced by a number of
likely to change over the next 30 years or so unless
factors. Most important is wealth; as incomes rise,
strong new policies and measures are adopted by
so does travel activity, at least in terms of the average
governments. The IEA forecasts that between 2000
distance each person travels and the types of modes
and 2030, global transport energy use (and asso-
he or she chooses. The amount of time spent
ciated CO2 emissions) will nearly double (Fig. 1).
traveling is remarkably consistent across incomes as
Energy use will grow much more quickly in the
well as across regions, cultures, and even history
developing (non-OECD) parts of the world, where it
(humans have been traveling roughly an hour each
is expected to nearly triple; in OECD countries, the
day, on average, throughout much of their history).
growth is expected to be ‘‘only’’ 50%. Even by 2010,
But increasing wealth, along with improved technol-
global transport sector energy use and CO2 emissions
ogy, enables access to faster modes of travel,
are forecast to increase by nearly 50% in the
allowing humans to cover greater distances with
developing world, and only 15% in OECD countries,
the hour or so they spend traveling each day.
compared to 2000.
One of the principal challenges in slowing—and
perhaps eventually reversing—travel growth is en-
couraging people in an increasingly wealthy world to
2. LOOKING BEHIND THE reorganize their lives so as to be closer to their
ENERGY TRENDS destinations of choice (e.g., home, work, shopping,
recreation) despite their increasing ability and
Why is energy use continuing to increase in trans- apparent inclination to arrange these activities
port? It is helpful to consider the basic components farther and farther apart. Increasing the cost of
Transportation and Energy Policy 191

travel is one way in which to do this; but stronger The energy intensity of vehicles and modes is a
rules governing the way in which cities and regions function of several factors. These include the techni-
are spatially developed is perhaps the best long-term cal efficiency of propulsion systems, vehicle charac-
solution. teristics such as weight and aerodynamic design, and
The potential for travel growth around the world the manner in which vehicles are used and main-
is staggering. This becomes clear when observing the tained. For light-duty passenger vehicles (e.g., cars,
current differences in travel per capita around the minivans, sport utility vehicles [SUVs]), the actual ‘‘in
world, both in terms of amount and in terms of use’’ energy intensity of vehicles can be up to 25%
modes used (Fig. 2). Most of the world still travels higher, on average, than their rated efficiency under
far less than people do in OECD countries. But as test conditions. Human behavior enters this picture
incomes increase and people gain access to faster not only in terms of the manner in which people drive
modes of transport, such as motorcycles and cars, (which can have a significant impact on efficiency)
their travel will increase. If the entire world traveled but also in terms of the types of vehicles they choose
as much, and in the same modes, as North Americans to buy. Beyond the obvious differences between larger
do now, total world travel would increase by more and smaller vehicles, even vehicles of a similar size
than fivefold, and fuel use would increase by more can have quite different energy efficiencies due to
than that (because travel would shift to more energy- differences in the factors mentioned.
intensive modes). There are strong differences in the energy inten-
Travel structure, or the manner in which people sities of different modes (Fig. 3). Until recently,
travel in terms of the modes they use and the extent aircraft were the most energy intensive per passen-
to which they travel together or alone, is also largely ger-kilometer, but they have improved dramatically
a behavioral issue. Automobiles have become the over the past 30 years or so due to strong, steady
dominant mode of travel, not because they are efficiency improvements in aircraft and aircraft
technologically superior to buses or trains but rather engines as well as a steady trend toward larger and
because they provide a travel structure that most fuller aircraft that can carry many more passengers
people prefer—flexibility in when and where travel per unit fuel use. Today, light trucks (i.e., light-duty
occurs, comfort, convenience, and perhaps a benefit vehicles such as vans and SUVs but not cars) are the
in terms of social status. Whether the strong trends most energy-intensive vehicles. Passenger rail is by
toward car ownership and travel around the world far the most efficient mode per passenger-kilometer.
can be reversed is unclear, but such a reversal will For freight, trucks are far more energy intensive than
certainly require strong disincentives to car use, such other modes; rail and waterborne transport are very
as high fuel taxes, and significant improvements in energy efficient. Clearly, shifting some travel to more
other alternatives, such as bus and rail transit, to efficient modes could reduce overall transport energy
attract travelers back to these modes. use considerably.

25,000

Air
Kilometers per person per year

20,000 Train
Bus
Car

15,000

10,000

5,000

0
South China Latin Former World Pacific Austria, Western United
Asia America Soviet average Asia Japan, Europe States
Union and and
New Zealand Canada

FIGURE 2 Travel by mode and region, 2000. Reprinted from World Business Council for Sustainable Development (2001).
192 Transportation and Energy Policy

MJ per passenger-kilometer
7
6 1970 1997 2020

or tonne-kilometer
5
4
3
2
1
0
s il n n s l
ck ai

n
s ra io io ck

Bu

tio
at at tr
ar
ru r i i u
tt Tr
C

a
ge h
av av

ig
g
gh n l ei

av
Li se tic na Fr

N
s es io
Pa om at
D rn
te
In
FIGURE 3 Energy intensities of various modes over time (OECD averages). From International Energy Agency (2002b).

What are the current trends regarding each of  Alternative fuels will continue to play a small
these factors? The following highlights the key trends role. Although significant increases may occur in the
identified in the IEA’s forecast: use of biofuels (e.g., ethanol) and, in a few places, in
the use of gaseous fuels, the net effect is likely to be
 In OECD countries, travel activity growth is small without strong new policy interventions. The
slowing somewhat—most in OECD Pacific, less in oil share of energy in transport is expected to remain
OECD Europe, least in North America, and less for at approximately 97%.
freight than for passenger travel. Europe’s road  CO2 emissions from transportation will con-
freight travel is still growing significantly. Travel tinue to grow significantly—by about the same rate
activity in most non-OECD regions is expected to as fuel demand. Globally, these will nearly double
maintain recent high growth rates for many years to from 2000 to 2030.
come.
Thus, the overall picture provided by the IEA
 Substantial fuel economy improvements will
forecast is one of continued strong growth in both oil
likely occur only in the European Union (EU) and
consumption and CO2 emissions from transport. The
Japan. These are the only world regions with
key drivers are travel demand growth and the shift
aggressive policies to improve fuel economy. In other
from mass transit modes to personal vehicles.
regions, improvements in vehicle technology will
occur but are unlikely to translate into better new
vehicle fuel economy and lower fuel intensity of the
vehicle stock as consumers continue to opt for larger 3. CONCERNS FOR TRANSPORT
and faster vehicles rather than for more fuel-efficient ENERGY SUSTAINABILITY
ones. Even in Europe and Japan, improvements in
fuel economy probably will not be enough to offset One of the biggest long-term concerns for transport
the expected growth in travel activity. is its near total dependence on petroleum fuels. As
 In freight, rapid increases in truck travel will petroleum supplies dwindle and become increasingly
continue to raise average fuel use per ton-kilometer. concentrated in the Middle East, the risk of supply
Road freight and, increasingly, aviation freight are disruptions and price shocks will likely increase.
expected to gain shares in most regions. Small Management of these risks, such as through diversi-
commercial trucks and vans are among the fastest fication of energy sources, represents a critical aspect
growing vehicles and the most energy intensive. of long-term transport energy sustainability.
 Growth in air travel is expected to account for A second major risk to long-term transport
nearly a quarter of the projected increase in fuel sustainability is its impact on climate change. CO2
demand to 2030. Despite strong past improvements and other greenhouse gases (GHGs), including CO,
in fuel efficiency of aircraft, future reductions in fuel N2O, CH4, and certain fluorocarbons, are emitted
intensity are expected to offset only one-quarter of from all transportation modes and all types of
increases from expanding activity. vehicles to varying degrees. For alternative fuels,
Transportation and Energy Policy 193

such as natural gas, propane, and even renewable ecosystems), humankind’s willingness to allocate ever
fuels (e.g., the heavily processed corn-derived ethanol greater levels of energy to the transport system serves
in the United States), a well-to-wheels analysis of as an enabling force for an ever expanding transport
GHG emissions, including feedstock production, system, encouraging sprawling urban development.
conversion, fuel distribution, and vehicle refueling, This pattern might not itself be sustainable.
must be made to ascertain the full emissions impacts Another important determinant of global trans-
of these fuels, not just emissions occurring during port sustainability is the manner in which transport
driving. Recent studies show that most alternatives growth is handled in developing countries. Although
to gasoline and diesel have higher energy losses and it is only fair that all countries should eventually
GHG emissions during fuel production and transport achieve the same level of mobility currently enjoyed
to refueling stations. But several have lower vehicle by the wealthiest countries, the implications of a
emissions, and a few (e.g., pure hydrogen) produce world with average travel and energy use levels as
no vehicle GHG emissions. For these fuels, the OECD countries not only is probably unsustainable
challenge is to produce and transport them with low but might also be very difficult to achieve, at least
GHG emissions, and this might not be simple or with the current mix of fuels. However, changing the
cheap. As discussed later, few alternatives appear to direction of transport growth in developing countries
provide dramatic overall reductions. Those that do may in some ways be easier than doing so in OECD
include hydrogen or electricity derived from renew- countries because there is typically less of an existing
able (or nuclear) sources and some types of biofuels entrenched transport system that must be changed.
such as biodiesel from oil crops and ethanol from On the other hand, the amount of investment and
cellulosic biomass. policy effort that must be devoted to directing
Transport is currently running a ‘‘collision course’’ transport growth toward sustainable pathways in
with a world increasingly convinced of the need to developing countries, relative to what is occurring
take major steps to dramatically reduce its CO2 today, may represent an even bigger shift than what
emissions over the next 10 years and beyond. The will be required in IEA countries.
Kyoto accord, signed in 1997, targets a reduction in Transport’s central economic role and its strong
overall CO2 emissions from annex I countries influence on daily life have made rapid changes in
(mostly the developed countries, although not all this sector difficult to achieve. Its relatively weak
have ratified the treaty) so that by 2010 they are responsiveness to energy price movements and the
returned to their previous 1990 levels on average. It slow turnover of its infrastructure render it both
may be possible to meet the Kyoto commitments crucial and difficult for governments to implement
without outright reductions in transport CO2 emis- strong measures to improve sustainability. In parti-
sions over the next 10 years or so (by more than cular, twin challenges of reducing oil dependence and
offsetting transport increases with reductions in emissions of GHGs suggest that there are several key
other sectors). But a major risk for transport is that types of action needed:
the longer countries wait before beginning a shift
toward significant decarbonization of this sector, the
*
Improving vehicle and system energy efficiency
more difficult this shift may be. On the other hand,
*
Increasing the use of renewable and other low-
by waiting, it may be possible to develop and carbon energy sources
implement less expensive technologies to achieve
*
Expanding access around the world to clean and
sustainable levels of GHG emissions (which will efficient transport energy technologies and
eventually need to be far below 1990 levels). developing and deploying advanced technologies
Not all choices for our future transport systems more rapidly
will affect all aspects of sustainability equally or even
*
Developing politically acceptable, but aggressive,
in the same direction. Although the dominant (direct) policies to shift the direction of transport toward
environmental impact of energy use in transport is a more sustainable path
CO2 emissions, the types and amount of energy used
also affect emissions of other pollutants such as NOx
and particulate matter. The decisions that are made to 4. IS AN ALTERNATIVE
reduce CO2 emissions could, in some instances, FUTURE POSSIBLE?
increase the emissions of some other pollutants.
Similarly, although energy use does not directly affect Having outlined one possible scenario for achieving a
transport’s impacts on the natural environment (e.g., sustainable pathway in transport, the question arises
194 Transportation and Energy Policy

as to whether such a scenario can be realized. The TABLE I


answer depends on the following: Potential Measures to Reduce Transport Energy Use

 What policy options are available to bend the Passenger travel: Measures to reduce private vehicle travel
curves of transport energy use and CO2 emissions? Improving transit systems
 What can specific policies accomplish in terms Fuel and vehicle taxes
of oil and CO2 reductions? Travel pricing mechanisms (e.g., electronic road pricing)
 What is the feasibility of implementing a Parking-related measures
package of policies strong enough to put transport Promotion of nonmotorized modes (e.g., biking, walking)
on a new pathway? Stronger land use planning
Most countries that have tackled energy use and Promoting telematics and telecommuting (substitution of
CO2 emissions from transport have linked these communications for travel)
issues directly to comprehensive transport policy Measures to improve light-duty vehicle test and on-road efficiency
reform, with an emphasis on improving transport New vehicle fuel economy improvement
efficiency and ‘‘getting the prices right.’’ Other Improved vehicle maintenance
measures have focused on reducing the growth rate Vehicle on-board fuel use information and driver training
(or outright levels) of personal vehicle travel and Speed limit reductions and increased enforcement
improving traffic conditions. These policies typically Roadway traffic flow improvement and capacity expansion
are driven more by transport issues—congestion, Vehicle scrappage programs
safety, noise, and nuisance concerns—than by energy Alternative fuels
or CO2 reduction concerns. It is primarily in the area Incentives for marketing and purchase of advanced vehicle
technologies
of vehicle fuel efficiency and promotion of alternative
Incentives for and direct investment in refueling infrastructure
fuels that transport energy policy has been the
Removal of market barriers such as restrictions on use of specific
dominant driver. vehicle types
Probably the most important technology-oriented Highway and surface freight movement
policy measure now in place is the voluntary Technical efficiency improvement and alternative fuels in new
agreement for emissions reductions in new cars trucks
between the EU and the European Association of Trucking system and operational efficiency improvements
Car Manufacturers (ACEA). This EU–ACEA agree- Mode switching (e.g., from truck to rail and water)
ment will account for the bulk of reductions from Changes in freight demand patterns through spatial adjustments
baseline that are expected for the European countries
that were studied. If successful, this measure alone
could reduce emissions from cars by 15 to 20%
below trend by 2010, with even greater reductions vehicle efficiency, encouraging fuel switching, and
after 2010 when the more efficient new cars will have improving freight system efficiency. A listing (by no
fully penetrated the vehicle stock. means exhaustive) of potential measures is provided
Some measures to encourage modal shifts and in Table I.
nonmotorized transport modes, as well as measures
to encourage less travel, are part of all the European
programs, but it is difficult to judge what savings
4.1 Reductions in Growth of Motor
they have realized or will realize on their own.
Vehicle Travel
Improved transport services are expected from the
privatization of railways, but the ultimate effect is Measures that aim to restrain passenger travel in
unclear. Land use planning forms will complement light-duty vehicles (among the most energy-intensive
transport policy reforms, but it is also difficult to modes) and shift it to more efficient modes have
predict how much this will reduce travel or induce begun to play an increasingly important role in the
modal shifting. In the European countries studied, policy plans of many OECD governments. Other
infrastructure expansion and investment are increas- sustainability concerns, such as traffic congestion,
ingly tilting toward nonroad or intermodal facilities. urban sprawl, and ‘‘quality of life,’’ often provide the
Such efforts should at least slow the erosion of the key motivations to implement such measures. How-
share of low-CO2 modes. ever, one problem with demand restraint policies
The following subsections provide a brief outline for national governments is that many of these
of potential measures for reducing travel, improving policies are implemented on regional or local levels.
Transportation and Energy Policy 195

Demand-oriented policies can encompass pricing of factors and significant reductions in overall system
different transport activities and modes, investments CO2 emissions. However, simply expanding transit
in mass transport infrastructure and rolling stock, service by adding more routes may lead to situations
regulation and restriction of traffic, and urban and with more nearly empty busses with relatively high
land use planning. CO2 emissions per passenger-kilometer of travel, and
Apart from imposing extremely high (and con- net increases in CO2.
tinuously increasing) levels of fuel taxation, which in  A strong education/publicity campaign to en-
many countries may be one of the least politically courage society to collectively take actions to move
feasible of available strategies, reigning in travel toward a much less car-oriented society. The seeds of
probably can be accomplished only through a such efforts are now being planted in many places, as
coordinated, but ambitious, package of measures. reflected by ‘‘car-free’’ days and the like.
This package must both discourage personal vehicle
All of these measures are already well known and
travel and encourage use of alternative modes and
often considered by planners and have been im-
alternatives to travel altogether. Strong packages
plemented in various forms in many cities around the
should include several of the following elements:
world. But few places have taken an aggressive
strategy of coordinating these measures and imple-
 Widespread electronic roadway pricing, at least
menting them at levels of policy intensity sufficient to
throughout all limited-access highway systems.
come anywhere near ending the growth in personal
Cordon pricing in urban areas, such as has recently
vehicle travel. Even in cities with good transit service
been implemented in London, may also be an
and good facilities for nonmotorized travel, such as
important element.
in The Netherlands, significant problems remain
 Increased parking costs and better enforcement
with automobile traffic congestion and air pollution.
in many areas.
A relatively laissez-faire attitude about the car and
 Much stricter land use controls. These could
levels of personal vehicle travel is still evident in
potentially include growth boundaries, improve-
nearly every city in the world.
ments in pedestrian and nonmotorized travel (e.g.,
bicycle) infrastructure, restrictions on parking supply
in new construction, strong incentives for mixed-use
4.2 Improving Technical Efficiency
multimodal developments, and other elements that
of Vehicles
can help to end the current practice of building car-
dependent communities. Currently available technology offers a large poten-
 Incentives to speed the rate of adoption of tial for improving vehicle efficiency at a relatively
telecommuting, especially 1- or 2-day-a-week home- low cost. But in many countries, fuel prices have not
based telecommuting. The latter may have relatively given a strong signal to consumers to demand
small secondary impacts on relocation and genera- vehicles with higher fuel economy or to producers
tion of increases in other types of travel. These to provide vehicles with better fuel efficiency. Trends
incentives could include tax breaks to businesses and in car size and power are moving in the opposite
individuals for telecommuting equipment and even direction; as consumers around the world become
straight tax breaks to businesses per employee who wealthier, they tend to choose ever larger, more
telecommutes. powerful vehicles at the expense of fuel efficiency.
 Carefully coordinated improvements to public The net effect is fairly flat, or even deteriorating, fuel
transit that include measures to increase average economy in most regions of the world.
ridership and ‘‘load factors’’ for existing systems. Recent estimates of the penetration of various
New concepts in transit, embodied in the term ‘‘bus technologies in new vehicles in three OECD coun-
rapid transit’’ (BRT), are emerging. BRT typically tries suggest that many technologies have only just
includes features such as conversion of traffic lanes begun to be used (Fig. 4). Even without using
into dedicated bus lanes (and enforcing this mea- advanced technologies (e.g., fuel cells), there is still
sure), better bus stops or even bus ‘‘stations’’ with a large scope for technical improvements to vehicles.
prepayment of fares and rapid boarding, and bus Many of these technologies would pay for themselves
priority treatment at traffic signals. These features in fuel savings. Most of these will eventually be
can increase transit capacity, improve service (faster added to most vehicles, but at a pace that is much
travel times), and discourage personal vehicle travel slower than possible with an aggressive fuel economy
in the same corridors, potentially yielding high load policy.
196 Transportation and Energy Policy

100
90 Denmark
80 Germany
United States
70

Percentage
60
50
40
30
20
10
0
e II III II ic I II id r
VT

cy ion

rs
et ires res ybr inde

al mi al
II

I
c t II

ic
riv ion n

g
I
n

de
at

ur ran nu
n
C o

ve ss
h
re on

in
d t o / i t

io
i t t i l

m
el itu t ic t h y

lin

tim
Fo c t ma
uc n
g tuti uc at sy ced ced line ur-c

to
he bst du ed

s
au
ed il

e
i

ni ed
m
st

w r n n so fo

lv
u r t o O a
ub

ed
v va a

tro e
s

va
g n
on al au I

ec -sp
ra tio Ad Ad G GD
ls

pe
ra

-v
Fr teri

e
D d ic

El Six
ia

bl
D

-s
e f r
er

pe

ri a
ur
a
ne
at

-s
Fo

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gi
M

i ve En
F
FIGURE 4 Market penetration of selected technologies in compact cars: Denmark, Germany, and the United States, 1998.
Reprinted from International Energy Agency (2001).

Various recent studies estimate that there is examination of automobile advertising in virtually
considerable potential for cost-effective improvements every OECD country in 1997 confirms that CO2
in light-duty vehicle fuel economy during the next 10 reduction is not a major marketing theme.
years and beyond. Using just conventional technolo- The existing EU voluntary agreement and the
gies such as those shown in Fig. 4, studies estimate Japanese ‘‘Top Runner’’ fuel economy program are
anywhere from a 20 to 50% potential reduction, policies already in place that appear likely to help
albeit at varying costs. A recent IEA study estimated achieve much of the available cost-effective potential
that low-cost reductions in new car fuel use per by 2010. In the EU agreement, automakers have
kilometer on the order of 25% are possible by 2010 committed to a 25% reduction in the CO2 emissions
compared with the late 1990s. This estimate is similar of new vehicles between 1995 and 2008. As of 2001,
to the goals of the EU manufacturer association they were on track to meet their target. The Japanese
(ACEA) voluntary agreement to improve fuel econo- program identifies the most fuel-economic vehicles in
my. Increasing sales of diesel cars and avoiding each vehicle weight class and requires all new vehicles
purchase shifts to larger, heavier cars could contribute to approach this level over time. In North America,
to these targets. After 2010, introduction of some there is not currently any policy that appears to be
advanced technology vehicles with radically improved pushing the market toward taking advantage of these
engine and drivetrain efficiency (e.g., advanced hybrid new technologies given that the U.S. corporate
electric and fuel cell vehicles) could provide significant average fuel economy (CAFÉ) standards have not
additional fuel economy improvements. changed significantly in nearly 20 years. Without
Figure 5 shows that although implementing a full additional policy efforts, much of the available
set of technologies could result in much lower fuel technology may be used to increase vehicle size,
consumption per kilometer from new cars in the weight, and horsepower while holding fuel economy
future, much of this improvement is likely to be lost to constant, as has occurred over the past 10 years or so.
shifts in consumer purchases to larger heavier vehicles. There are several types of policies that could be
The figure, which shows the U.S. scenario, focuses on implemented to help maximize the fuel economy
just one size class of vehicles: compact cars. Further benefit of existing technology. In addition to volun-
erosion in fuel economy improvements is likely to tary agreements and ‘‘top runner’’-style policies,
come from purchase shifts from this car class to larger implementing fuel economy-based fees and rebates
heavier classes such as large cars, minivans, and SUVs. (also called ‘‘feebates’’) and market incentives for the
Thus, although the availability of cost-effective adoption of advanced technologies could play useful
technologies holds promise, these technologies might roles in North America and elsewhere.
not be deployed to save energy and CO2 without To achieve early market penetration of advanced
strong market signals in that direction. An IEA technologies, such as hybrid electric and fuel cell
Transportation and Energy Policy 197

9.00
8.50
Cost-effective
8.00 technologies:

Liters per 100 km


7.50 High vehicle
attribute shifting
7.00 case
Cost-effective
6.50 technologies:
6.00 Constant vehicle
attributes case
5.50 Cost-effective at
$100/ton CO2
5.00
4.50
4.00
1990 1995 2000 2005 2010 2015 2020
Year
FIGURE 5 Cost-effective technologies implemented in cars over time in the United States: Three scenarios. Reprinted from
International Energy Agency (2001).

propulsion systems, governments might need to trated the vehicle market around the world. There
provide relatively large rebates on these vehicles so are several fuels and propulsion systems that offer
as to make them attractive to consumers (and the possibility of displacing oil and lowering vehicle
attractive to producers to build). As an alternative CO2 emissions, including natural gas, liquefied
to a broad feebate program (which could itself petroleum gas (LPG), alcohol, and biodiesel for
provide significant rebates for very fuel-efficient cars), internal combustion engine vehicles; electricity for
more targeted incentives could be used to overcome battery-powered vehicles; and hydrogen (produced
the very high initial capital costs and risks of from any number of different fuels) for fuel cell-
producing such vehicles and to encourage consumers powered vehicles. All of these options are making
to purchase vehicles containing such technologies. only slow progress in the marketplace due to factors
Vehicle purchase incentives could be implemented in such as higher costs of the vehicles and/or fuel, lack
the form of price subsidies, either for vehicles of available vehicle models, and lack of widespread
possessing specific technologies or simply for vehicles retail fuel availability. Most fuels and accompanying
meeting a certain standard for fuel economy or CO2 vehicle technologies also have one or more other
emissions per mile. The latter approach has the drawbacks such as lower driving range, longer
advantage of encouraging the development of new refueling times, smaller trunk space, and poor
technologies to meet societal goals. Such subsidies acceleration performance. As a result, consumers
could also be designed to target both reductions in have so far been reluctant to embrace any of these
CO2 and reductions in pollutant emissions. options. Without strong regulations or the creation
An example of ‘‘next generation’’ technology price of significant price advantages, alternative fuels are
incentives is found in Japan, where there is a rebate making little headway.
of U.S. $3500 per vehicle for purchases of hybrid Although all alternative fuels offer an opportunity
electric vehicles. Japan is the first country with to displace petroleum fuel, many offer only relatively
significant sales of these advanced technology vehi- small CO2 reductions on a life cycle or well-to-
cles. A time-phased approach, which includes large wheels basis (Fig. 6). Only four options clearly can
initial subsidies per vehicle that decline through time provide greater than a 50% reduction in CO2-
as vehicle sales increase (and as vehicle costs decline), equivalent emissions per kilometer of driving:
may produce a much more rapid buildup in alcohol derived from cellulosic biomass (and using
production volumes and the rate of learning than a biomass as the process fuel), biodiesel from oil crops,
scenario where expensive vehicle technologies must hydrogen produced from a low-GHG source (e.g.,
compete on their own during the early phases. renewably powered electricity) and used to run fuel
cell vehicles, and low-GHG electricity itself when
used with electric vehicles. These options all are
4.3 Shifting to Alternative Fuels
relatively expensive, and the latter two would require
Alternative fuels continue to hold promise, but for a large investments in new types of vehicles and
variety of reasons none has yet significantly pene- refueling infrastructure.
198 Transportation and Energy Policy

Diesel
Liquefied petroleum gas

Compressed natural gas

Liquefied natural gas

Methanol−natural gas

Methanol−cellulose

Ethanol−cellulose

Ethanol−starch

Biodiesel

Hydrogen

Dimethylether−natural gas

0.0 0.5 1.0 1.5 2.0 2.5


CO2-equivalent emissions per vehicle-kilometer relative to gasoline vehicles
(gasoline vehicles = 1)
FIGURE 6 Alternative fuels: Near-term CO2-equivalent reduction potential compared with conventional gasoline vehicles
(well-to-wheel). The shaded and hatched areas represent bands of uncertainty around the middle vertical line on each bar, with
the middle line being considered the ‘‘reference’’ case. Reprinted from International Energy Agency (2001).

As a result, few OECD countries consider alter- derived hydrogen, this technology could provide
native fuels as an important near-term option for near-zero life cycle CO2 emissions. However, during
mitigating energy security concerns and GHG emis- the 2000–2010 time frame, fuel cells are not likely to
sions. Because the best alternatives would be be produced in large numbers due to ongoing
expensive and would require substantial (and risky) technical hurdles, their current very high cost, and
investment, most countries are taking a longer view lack of hydrogen refueling infrastructure. The
of these options—focusing on developing niche refueling infrastructure problem could be alleviated
markets, funding research and development by using hydrogen-rich fuels (e.g., methanol, gaso-
(R&D), and taking other preparatory actions. line) and reforming these fuels on-board fuel cell
Although not strictly an alternative fuel—or at vehicles to produce hydrogen, but this option
least not a nonpetroleum fuel—diesel can provide appears to be falling out of favor with most car
significant potential for lower net fuel intensity and companies. The complexity and cost of on-board
CO2 emissions and does as well as many alternative reforming appear to offset the benefits it may
fuels such as compressed natural gas (CNG) and provide. Furthermore, vehicles with on-board re-
LPG. New light- and medium-sized diesel cars in forming will not be zero emissions for either
Europe with turbo-direct injection (TDI) offer up to pollutants or GHGs (because reforming fuels on-
25% lower fuel consumption than do similar gaso- board produces some emissions), significantly redu-
line vehicles. On the other hand, diesel fuel is taxed cing the benefits of switching to fuel cells.
much more lightly than gasoline in some countries; Whether or not electric vehicles ever reach a
not surprisingly, its consumption is associated with commercial stage of production (prevented so far
significantly higher car travel. Diesel TDI is also primarily due to shortcomings in battery technol-
appearing on heavier American-style vans in Europe, ogy), electric drive systems (including electric trans-
bringing fuel-driving costs for such larger vehicles mission systems and even motors) are likely to
down to more affordable levels. Thus, the net impact become a feature on all vehicles in the future.
of Europe’s trend toward ‘‘dieselization’’ is difficult Although hybrid electric vehicles now being sold in
to determine after its ‘‘behavioral’’ impacts are taken OECD countries run on gasoline, with the hybrid
into account. system used to boost fuel economy, these vehicles
Over the longer term, perhaps the most promising introduce motors and larger battery systems into
option is the fuel cell vehicle running directly on vehicle propulsion design and help to pave the way
hydrogen fuel. With renewably or nuclear power- for future electric or fuel cell systems. If battery
Transportation and Energy Policy 199

technology improves, hybrid vehicles could take on EU, a small share of transport fuel is blended up to
larger battery storage systems and eventually be 10% with ethanol fermented from the sugars in grain
‘‘pluggable’’ (rechargeable), offering a bridge to crops (e.g., corn, wheat). The processes used require
electric vehicles. substantial fossil fuels to drive them, and the net
Electric- or hydrogen-powered propulsion systems displacement of petroleum fuel is less than 30% in
may offer attractive ways in which to eliminate most cases (i.e., it takes 0.7 unit of fossil fuel to
internal combustion, and the emissions it produces, produce 1 unit of ethanol). As a result, GHG
from vehicles, but they may simply move this process reductions are also generally no better than 30%
to central power plants (which produce the fuel). per liter of gasoline displaced by ethanol.
This would help to move pollutant emissions away However, considerable research is under way to
from cities, but unless electricity or hydrogen is develop new conversion processes that would allow
produced in a manner with low carbon emissions, ethanol to be produced from ‘‘cellulosic biomass,’’
the net GHG benefits may be small. The most specifically the green portions of plants made of
obvious options for low-carbon production of cellulose. Using advanced enzymes and processes for
electricity and hydrogen are renewable fuels and conversion of cellulose to alcohol, and using cellulose
nuclear power. These currently account for less than as the process fuel (rather than natural gas or another
20% of electricity generation around the world. fossil fuel), cellulosic ethanol could bring life cycle
How could a low-carbon hydrogen or electric GHG emission reductions of 80% or more compared
vehicle scenario come about? One transition path is with fossil fuels on a well-to-wheel basis. This
for governments to strongly encourage development approach is still in the R&D phase of development,
and commercialization of fuel cell (or electric) and although it appears to have strong cost reduction
vehicles, especially demonstration programs and potential, it is unclear when it will become cost-
small-scale production to speed learning. Concurrent effective or even more cost-effective than current
with (or slightly preceding) the beginnings of grain-to-ethanol processes (which themselves cost up
significant vehicle sales in targeted areas, a strong to twice the cost of producing conventional gasoline).
push toward developing hydrogen (or electric) Biodiesel fuel, typically a methyl ester produced
refueling infrastructure will be needed. Policies such from oil crops such as rapeseed, can be blended with
as tax credits for installation of refueling infrastruc- conventional diesel fuel in any proportion and used
ture could be applied, or governments could invest in today’s diesel vehicles. Biodiesel has been esti-
directly in infrastructure. The level of investment mated to provide anywhere from 30 to 70%
needed over 30 years to pay for refueling infra- reductions in well-to-wheel GHG emissions, but it
structure and other support systems (e.g., garages is very costly. Biodiesel in countries such as Germany
that are trained to repair the vehicles) and the and France, where it is publicly available, costs up to
incremental costs of fuel cell vehicles over this time three times the cost of conventional diesel fuel.
both are likely to be quite large. Society must be Even if substantial cost reductions in biofuel
prepared to help pay these costs if it is to have a production costs are achieved, a separate question
reasonable chance to achieve the desired transition. is whether biomass resources are best used for
Willingness to pay these costs will largely reflect the transportation fuels (as opposed to using them, e.g.,
level of determination of the public to move to produce electricity). Liquid fuel production
transport onto a more sustainable course. Of course, requires substantial energy input per output unit of
ongoing R&D programs can help to reduce costs useful energy, and biomass feedstock might have
before a transition begins, especially in the areas of more cost-effective use elsewhere.
fuel cell system production cost and on-board
hydrogen storage. But chances are that the initial
4.4 The Role of Fuel Taxation
costs of both vehicles and refueling infrastructure
will be high. Fuel taxation plays an important role in all of the
Biofuels, such as ethanol from crops, holds the policy areas covered here. Fuel price at the pump
potential for substantial oil displacement and GHG provides an incentive to consumers to drive less, to
reduction, although current production practices fall choose more efficient cars, and (potentially) to choose
far short of this potential. An important advantage of cars running on alternative fuels. Increases in taxation
biofuels over most other alternative fuels is that they can help to limit the ‘‘rebound’’ effects of other
can be blended with conventional fuels and used, to a policies that reduce fuel costs, for example, by making
point, in current vehicles. In the United States and the vehicles more efficient. Differentiated fuel taxes can
200 Transportation and Energy Policy

be applied to support or limit the use of specific fuels. cantly, resulting in far fewer kilometers of truck
Fuel tax increases help to restrain growth in transport travel and much less fuel use per ton-kilometer of
activity and have ramifications for the relative goods movement. Systems are now being installed in
competitive advantages of various modes. many places to improve freight logistics, but the
Yet one should not overstate the role of taxation, relative fragmentation of the truck industry impedes
especially as an isolated measure, or the potential to the types of cooperation needed to maximize the
increase its role in the future. The response to fuel tax potential efficiency gains. Governments could take a
increases tends to be very limited in the short term, much more active role to change this in the future.
although it is somewhat greater in the long term.  Rationalization of locations of goods producers,
Many studies across the OECD have estimated that a distributors, and end users. There is some evidence to
10% increase in fuel taxes will reduce travel by only suggest that many ‘‘upstream’’ (nonretail) activities
1 to 3%. Furthermore, in many countries, fuel taxes could be moved much closer to other steps in the
appear to already be at levels that are not politically chain of taking a product through various stages of
popular, and significant additional increases in the production and, in some cases, delivery to the end
near future may be problematic. It may be that more user. However, this is a particularly difficult problem
selective pricing mechanisms, such as congestion to address because shipping costs are typically such a
charges and other road user charges, may be more small part of location decisions that they are not
viable. likely, even with much higher taxes placed on
transport costs, to drive significant changes in many
location decisions. But there may be other ways in
4.5 Increasing the Efficiency of which to assist companies in optimizing location
Freight Movement decisions that should be pursued aggressively.
There are four ways in which freight travel (at least
truck travel), energy use, and GHG emissions could
be dramatically reduced:
5. CONCLUSIONS
 Increasing investment in rail and waterborne
transport modes and increasing investments in This article has sketched out some of the key issues
intermodal facilities around the world to allow as regarding transport energy sustainability, outlined
much use of these modes as possible, reserving truck where transport energy use and GHG emissions
transport for relatively short-distance trips. Pricing appear to be heading over the next 30 years, and
incentives can also play an important role in pushing identified a variety of potential technologies and
such shifts to the maximum extent feasible. policy areas that could be used to move transport
 Fuel shifting in medium and heavy trucks. Just away from its current trends. The current path is far
as hydrogen fuel cell propulsion systems is probably from any reasonable characterization of a sustain-
the closest thing to a ‘‘silver bullet’’ for light-duty able path.
vehicles, this is also true for most types of heavy-duty Among the first steps for moving in a new
vehicles. Fuel cell engines are being developed for direction will be for governments to convince citizens
many types of heavy-duty vehicles, including trucks, of the need for aggressive action and to educate
buses, and trains, and applications in some market people about the risks associated with the current
niches (e.g., urban transit buses) may become cost- path and how important a role transport must play
effective before light-duty vehicle applications. On in reducing oil dependence and CO2 emissions.
the other hand, diesel engines are very cost-effective Without strong public support and understanding,
and durable and are very popular with truck there will be little political will to enact policies.
operators. Under such conditions, even low-cost actions that
 Incentives and government infrastructure sup- provide clear societal benefits beyond fuel savings
port to rapidly develop much more sophisticated and CO2 reductions can be blocked by individual
systems and linkages between suppliers and their stakeholders who may stand to lose. Governments
clients, and with each other, to significantly increase also need to overcome ‘‘traditions’’ that no longer
the efficiency of goods delivery in metropolitan areas. make sense such as company car policies, very high
Truck load factors, the numbers of ‘‘back haul’’ trips fixed (but low variable) taxation, and traditions of
where trucks run empty, and the sizes of trucks for generally cheap fuel (in a few countries). Govern-
various applications all could be improved signifi- ments need to become more entrepreneurial. The
Transportation and Energy Policy 201

presence of good transit or walking/biking facilities and Energy Use  Transportation and Energy, Over-
does not necessarily translate into high use of such view  Transportation Fuel Alternatives for Highway
facilities; the public has to be convinced that the Vehicles  Vehicles and Their Powerplants: Energy
benefits that these modes offer—lower traffic con- Use and Efficiency
gestion, cleaner air, and lower CO2 emissions—are
worthwhile and that they will be attainable only if
people are willing to make changes to their lifestyles. Further Reading
Governments would be well served to identify
American Council for an Energy Efficient Economy. (1998).
their own points of sustainability and sketch out ‘‘Transportation, Energy, and Environment: How Far Can
sustainable pathways, such as the ones presented Technology Take Us?’’ (J. M. DeCicco and M. Delucchi,
here, to help develop a plan of action that has any Eds.). ACEEE, Washington, DC.
hope of yielding the desired path. Sharing such Greene, D. L., and DeCicco, J. (2000). Engineering–economic
scenarios with the public—indeed, involving the analyses of automotive fuel economy potential in the United
States. Annu. Rev. Energy Environ. 25, 477–536.
public in a meaningful way and investing in wide- Greene, D., and Wegener, M. (1997). Sustainable transport.
spread dissemination of such efforts—may also be a J. Transport Geogr. 5, 177–190.
critical element in generating a social consensus on International Energy Agency. (2001). ‘‘Saving Oil and Reducing
what pathway the public most supports, taking into CO2 Emissions from Transport: Options and Strategies.’’ IEA,
account both the benefits of achieving such a Paris.
International Energy Agency. (2002a). ‘‘Annual Energy Outlook
pathway and the costs of getting there. 2002.’’ IEA, Paris.
International Energy Agency. (2002b). ‘‘Transportation Projections
in OECD Regions.’’ IEA, Paris. [http://www.iea.org]
SEE ALSO THE Schafer, A. (2000). Regularities in travel demand: An International
Perspective. J. Transport. Stat. 3(3), 1–31.
FOLLOWING ARTICLES Schipper, L. J., Steiner, R., Figueroa, M. J., and Dolan, K. (1993).
Fuel prices and economy: Factors affecting land travel.
City Planning and Energy Use  Equity and Transport Policy 1(1), 6–20.
Distribution in Energy Policy  European Union Sperling, D. (1994). ‘‘Future Drive: Electric Vehicles and Sustain-
Energy Policy  Fuel Economy Initiatives: Interna- able Transportation.’’ Island Press, Washington, DC.
Sperling, D., and Delucchi, M. (1989). Transportation energy
tional Comparisons  Global Energy Use: Status and futures. Annu. Rev. Energy 16.
Trends  Lifestyles and Energy  National Energy World Business Council for Sustainable Development. (2001).
Policy: United States  Passenger Demand for Travel ‘‘Mobility 2001.’’ WBCSD, Geneva, Switzerland.
Transportation Fuel Alternatives
for Highway Vehicles
DANILO J. SANTINI
Argonne National Laboratory
Argonne, Illinois, United States

sulfur content. The World Fuels Charter provides


1. Blends versus Neat and Near-Neat Fuels: 1970s recommended fuel specifications for areas of the world
to Present as a function of seriousness of need for emissions
control. The greater the need for (or requirements for)
2. Fuel Properties and Fuel Switch Efforts
emissions control, the lower the recommended lead and
3. Fuel Properties and Centuries-Long Transportation sulfur content of the fuel. Lead is scheduled to be
Fuel Switches
completely removed.
4. Conclusion cetane An indicator of the combustion quality of fuel for
CI engines, such as diesel fuel. As cetane rises, the top
speed (rpm) of compression ignition engines designed
for the fuel rises. This, however, does not necessarily
Glossary correspond to engine efficiency. Low-speed diesels are
biodiesel Soybean, rapeseed, and sunflower oils can be usually more efficient than high-speed diesels. The
burned in compression ignition engines, but cause cetane rating of diesel fuels used for low-speed CI
deposits and considerably higher maintenance require- engines (100 to 500 rpm) is 25 to 35. For medium
ments. Esterification with methanol or ethanol can speed engines (300 to 1500 rpm), cetane can range from
largely eliminate these problems. The modified ester is 35 to 45, while for high-speed diesels such as those
called biodiesel. The more common form is a methyl found in heavy trucks and passenger cars, cetane ranges
ester. Soy-based biodiesel is used in the United States, from 45 to 55.
while rapeseed based biodiesel is used in Europe. Clean Air Act (CAA) and Clean Air Act Amendments
carbon dioxide (CO2) CO2 is the leading greenhouse gas. (CAAA) The original CAA preceded the oil price
Volumes of CO2 produced as a result of combustion shocks of the 1970s and CAFE. One of the sets of
account for well over 99% of the volume of exhaust amendments occurred in 1990. The CAA and its
gases. amendments created the rules and regulations that are
carbon monoxide (CO) Tailpipe pollutant that is a largely responsible for the removal of tetraethyl lead
primary pollutant, which is worst in winter and at high from gasoline and the introduction of alternative octane
altitude. Per unit of fuel burned, gasoline-fueled vehicles enhancers, including ethanol and, to a lesser extent,
produce more CO than diesel-fueled vehicles. MTBE, for blending into gasoline. The unintended
catalytic converter Device used to convert hydrocarbons, introduction of ethanol blends in the early 1980s
carbon monoxide, or nitrogen oxides to innocuous followed the first CAA by many years and preceded
chemicals such as carbon dioxide, water, oxygen, or AMFA and EPACT by about a decade.
elemental nitrogen. The need for unleaded fuel to allow compressed natural gas (CNG) CNG has high octane and
catalytic converters to successfully reduce tailpipe is readily used as a fuel for spark-ignited (SI) engines,
emissions of gasoline-fueled motor vehicles is one of but only with diesel fuel ignition assist in compression
the major factors (aside from health damages of lead ignition engines. Because NG displaces air (oxygen) in
itself) causing removal of the highly effective octane the cylinder, NG engines of a given technology have less
enhancer tetraethyl lead from gasoline and the exclusive peak power than gasoline or diesel-fueled versions.
U.S. use of unleaded gasoline. Ethanol was one of the compression ignition (CI) A method of initiating combus-
octane enhancers that got its start in part from this tion in an internal combustion engine (ICE) in which
sequence of events (see E10). The next wave of heat of compression causes ignition. The CR of CI
improvements in fuel composition to enhance the engines can range from 16 to 22 when diesel fuel is
performance of catalytic converters is reduction of fuel used. Suitable CRs for natural gas, EtOH, or MeOH fall

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 203
204 Transportation Fuel Alternatives for Highway Vehicles

between those for gasoline and diesel fuel. These fuels estimate the contribution of an individual signatory
are more naturally suited to use in SI engines. nation (the United States is not a signatory). Six gases
compression ratio (CR) CR is a measure of the degree of are so specified. The most important by far is carbon
expansion of volume in a cylinder of an ICE from dioxide, the predominant gas emitted as a result of
minimum to maximum, with the ratio being maximum/ combustion, and the predominant GHG. However,
minimum volume. As a rule of thumb, the higher the methane (CH4) and nitrous oxide (N2O) are also
CR of an engine, the greater is the efficiency. specified GHGs. The former is somewhat important to
corporate average fuel economy regulations (CAFE) These account for in use of natural gas fuels, the latter in
are government regulations originally adopted in the ethanol fuels.
1970s. The adoption of these regulations, along with oil heavy oil Approximately, crude oil with American Petro-
price shocks in the 1970s, led to a doubling of new leum Institute (API) gravity degrees in the low 20 s is
light-duty vehicle fuel economy from the early 1970s to heavy. Concentrations and most production from heavy
mid-1980s. oil are from California, Canada, and Venezuela.
E10 A blend of 90% gasoline and 10% volume ethanol, hybrid electric vehicle (HEV) A hybrid is a vehicle that
also called gasohol. uses both electrical and mechanical systems to provide
E85 A blend of 15% gasoline-like hydrocarbons and 85% power to drive the vehicle. Many configurations are
volume ethanol introduced in the 1990s, after M85- possible. Commercially available light-duty vehicle
fueled vehicles failed in the market. HEVs run on gasoline, while heavy-duty vehicle HEVs
electric vehicle (EV) Since very little of electricity is run on diesel. It is possible to configure a hybrid so that
generated by use of petroleum products, electric vehicles it can be plugged in to the electric grid, to provide part
are effectively alternatively fueled vehicles. of the energy used to move the vehicle. When electrically
Energy Policy Act of 1992 (EPACT) This act ‘‘required’’ operated, such a vehicle would be alternatively fueled.
purchases of alternatively fueled vehicles by many This type of hybrid is not presently receiving much
classes of industry and government, as a way of starting attention, but the Electric Power Research Institute
a movement away from petroleum. Like AMFA, it continues to evaluate it. Also, the California Air
‘‘required’’ alternatively fueled vehicles but not use of Resources Board provides incentives in its emissions
alternative fuel. Further, it contained a broad exception regulations (see CALEV) for future plug-in hybrids.
that requirements need not be met if the alternative fuels hydrocarbons (HC) Chemical constituents of gasoline and
and vehicles were not economically competitive. It had diesel that are also a tailpipe and evaporated pollutant.
a goal (unrealized) of 10% replacement of gasoline in Gasoline is more volatile than diesel fuel and con-
2000, 30% by 2010. tributes more hydrocarbons to air pollution than diesel
ethanol or ethyl alcohol (EtOH) (also called E100) Pro- fuel. The chemicals in gasoline (and those in alternative
duced in the United States from corn and in Brazil from fuels) have a wide variation in ‘‘reactivity’’ in ozone
sugarcane. Selected woods and grasses, urban waste, formation. Many regulations of gasoline and alternative
sugar beets, and rice straw are candidate feedstocks for fuels are designed to change the composition of the fuel
expanded ethanol production. to reduce its reactivity and contribution of hydrocar-
Fischer-Tropsch (FT) processes Processes used to convert bons to ozone.
natural gas or coal to liquid fuels that can be used in hydrogen (H2) There are many technologies and feed-
conventional vehicles. These processes—particularly for stocks from which hydrogen can be extracted, one of its
planned facilities—primarily produce fuel suitable for great potential advantages. It is presently predominantly
use in compression ignition (diesel) engines. Due to need produced from natural gas. Hydrogen is a gas with very
for much lower cost natural gas than available in North low energy per unit volume. It is costly to transport and
America, none of the announced plants are in North store, and it causes significant power loss relative to
America. The diesel fuel produced (FTD) is high quality gasoline or diesel fuel used in engines of comparable
with respect to sulfur content (very low or zero) and technology. It is the fuel that allows the fuel cells
cetane (high). presently considered the leading candidate for use in
flex fuel vehicle (FFV) A vehicle that can switch between motor vehicles to work.
gasoline and an alcohol fuel (E85 or M85) in the same liquefied natural gas (LNG) LNG is created when natural
tank. gas is cooled to 1271C. LNG tends to be used instead
fuel cell (FC) Instead of combustion, FCs use chemical of CNG on heavy-duty trucks to reduce fuel storage
reactions to directly produce electricity. The proton volume. An LNG fuel storage system requires about
exchange membrane (PEM) FC, the leading FC candi- half the volume of a CNG system. Still, LNG contains
date for vehicle propulsion, reacts hydrogen and oxygen only about 50% of energy per unit volume as diesel fuel.
to produce electricity and water. For ocean shipping of NG, liquefaction is used in
greenhouse gas (GHG) For purposes here, a gas specified especially designed tankers.
in the Kyoto international protocol on global warming liquefied propane gases, or liquefied petroleum gases
whose emissions are to be calculated and weighted to (LPG) Despite the latter name, these gases are primarily
Transportation Fuel Alternatives for Highway Vehicles 205

derived from condensing out NGLs from natural gas. reformulated gasoline (RFG) This term arose after the
The process that condenses these gases results in two Clean Air Act Amendments of 1990. This law mandated
streams. The lighter of these streams is primarily changes in gasoline used within nine areas of the United
propane, with small amounts of butane and ethane. States that were and are in violation of ozone air quality
This is marketed as LPG. The heavier fraction is standards. The blending agent most commonly used in
generally added to gasoline to control volatility. Some RFG is MTBE. Sulfur content of RFG was lowered, as
of the propane used in LPG is also a by-product of was reid vapor pressure (RVP). In addition to summer-
refining. Among gaseous fuels, a major advantage of time gasoline reformulation for ozone, wintertime
LPG is that it can be liquefied with relatively little reformulation to reduce carbon monoxide (CO) re-
pressure. As stored in a lightly pressurized vehicle fuel quired 2.7% oxygen in gasoline. This was met with
tank, it has a much higher energy density than CNG or either MTBE or ethanol.
hydrogen. LPG is used exclusively in spark-ignited shale oil A much lower quality source of hydrocarbons
internal combustion engines. than heavy oil or tar sands. Early 1980s estimates
M85 A blend of 15% gasoline-like hydrocarbons and indicated that ‘‘high-quality’’ (a misnomer) shales
85% volume methanol introduced in the late 1980s. contained the energy equivalent of about half of that
The hydrocarbons are included for flame luminosity, of conventional crude oil. Such shale oil reserves were
cold starting, and as a denaturant. estimated to be concentrated in the United States (12
methane The predominant gas in natural gas. Relative to gigatonnes), Canada (6.5), Brazil (7), the former Soviet
the many different hydrocarbons in gasoline, methane is Union and Eastern Europe (4), and China (4).
nonreactive when it comes to forming ozone and is tar (or oil) sands These have an API gravity of less than
therefore not a regulated air pollutant in the United 121 and could be called very heavy oil. Venezuela was
States. However, methane is a greenhouse gas that is estimated in the early 1990s to have 4000  109 bbl of
included for control in other nations according to the reserves; Canada, 1350; Russia, 600; and the United
international Kyoto protocol on greenhouse gases States, 28.
contributing to global warming. tetra-ethyl lead (TEL) The predominant gasoline octane-
methanol or methyl alcohol (MeOH) (also called enhancing additive used from the late 1920s to mid-
M100) Predominantly produced from natural gas, but 1980s in the United States. MTBE and EtOH have been
also producible from any hydrocarbon containing the predominant octane enhancing additives used since
feedstock. TEL was phased out of gasoline in the 1980s.
methyl tertiary butyl ether (MTBE) A gasoline octane
enhancing and emissions reducing additive made Alternative transportation fuels are here defined as
primarily from methanol and isobutylene. Isobutylene fuels produced from feedstocks other than petroleum.
in turn uses butane from NG processing and excess For petroleum, both conventional and unconventional
butane from petroleum refining.
oils are included in the umbrella term petroleum.
natural gas (NG) A combination of gases that is pre-
Thus, unconventional oils such as oil sands in Canada
dominantly methane. Larger volumes of other (con-
and heavy crude oils in Venezuela are not alternative
densable) gases include ethane, propane, and butane.
fuels, even though they can allow extension of the
natural gas liquids (NGL) NGLs are condensable liquids
from natural gas production. Propane is a leading NGL. time that transportation can rely on refined liquid
Ethane is another. By the definition used here, when fossil fuels while continuing to use the same types of
used by refiners to expand the volume of products, powertrains and fuel delivery infrastructure now in
NGLs are alternative fuels. use. Oil shale—also an unconventional oil—is also
nitrogen oxides (NOx) Tailpipe pollutant resulting from defined here as petroleum. Oil shale is the most costly
combination of oxygen and nitrogen during combus- source of petroleum feedstock that would provide
tion. Per unit of fuel, diesel fuel tends to contribute far petroleum for refineries producing diesel or gasoline.
more NOx to air pollution than gasoline. NOx is also a Accordingly, oil shale is not presently a feedstock used
primary pollutant (itself regulated). in refined petroleum products. Since gasoline and
octane Index of ability of a fuel to resist preignition diesel fuel can be produced from hydrocarbon feed-
(knock) in a SI ICE. As octane rises, compression ratio stocks other than the sources defined here as
can rise, and thermodynamic efficiency can also rise.
petroleum, we use the terms petro-gasoline and
There are two methods of measuring octane, the
research (R) and motor (M) methods.
petro-diesel to refer to gasoline or diesel fuel refined
ozone Air pollutant for which standards exist that are from conventional or unconventional oil.
typically violated in major urban areas on clear hot The distinction here relies on replacement of
summer days. Ozone is created primarily by reactions of refining capacity as the dividing line that defines
hydrocarbons and nitrogen oxides. Carbon monoxide is alternative fuels. For example, in the 1970s, Mobil
also a minor contributor. Corporation developed a process to produce gasoline
206 Transportation Fuel Alternatives for Highway Vehicles

from methanol that was in turn produced from involves removal of some chemicals from gasoline,
natural gas and built a plant in New Zealand. New such as highly volatile butane.
Zealand has a slow turnover of its vehicle fleet and Table I lists the leading alternative fuels in the
does not produce its own vehicles. Accordingly, the United States, by our definition. The first two—
discovery of natural gas offshore at a time when oil methyl tertiary butyl ether (MTBE) and ethanol—are
prices were high (1970s) led to implementation of the each separately used in considerably larger quantities
gasoline from natural gas choice, rather than attempt as blending agents in gasoline than are all other
to use methanol (an intermediate, cheaper product) alternative fuels combined. To supplement corn-
directly in newly purchased vehicles designed for use based ethanol, the U.S. Department of Energy is
of methanol. However, following the decline of developing technology to produce ethanol from other
world oil prices in the mid 1980s, gasoline produc- biomass feedstocks, including grasses and trees. On a
tion from this plant ceased. There is no discussion at percentage and total volume basis, Brazil uses more
the present time of reviving this inefficient method of ethanol in gasoline than any nation, producing it
producing transportation fuel. By this discussion’s from sugarcane. In 1989, Brazil consumed
definition, this gasoline was an alternative fuel, 11.9  109 liters of ethanol, while the United States
though its properties as a vehicle fuel were nearly consumed 3.6  109 liters in 1990. Quantities have
identical to gasoline refined from petroleum. varied in Brazil since that time, while quantities have
Similarly, by this discussion’s definition, transpor- moved relatively steadily upward since then in the
tation fuels produced from coal or natural gas via the United States. However, 2002 U.S. consumption is
Fischer-Tropsch process are also alternative fuels. still well below the 1989 level in Brazil.
South Africa long produced a diesel fuel substitute Vehicles designed to use only ethanol were the
from coal with the Fischer-Tropsch process, but this majority of SI ICE-powered vehicles produced in
was done for political reasons, since inexpensive Brazil in the mid-1980s, but this program was
oil was not available to South Africa. Though an reversed after ethanol shortages occurred and oil
inconsequential alternative fuel at this time, Fischer- prices dropped sharply from the historical highs of
Tropsch diesel fuel from natural gas feedstock is in the early 1980s. However, production of ethanol
production and is scheduled for rapid expansion from sugarcane and use in motor vehicles has been
(from a small base) worldwide. This fuel is similar, estimated to allow significant reductions in green-
though not identical, to diesel fuel processed from house gases, and oil prices are high as this discussion
petroleum. Negligible sulfur content is a distinct is written, so interest in a second wave of expansion
advantage for future environmental needs. of ethanol use in Brazil is under way.
MTBE—a common gasoline additive to reformu-
lated gasoline in the 1990s—is produced, on average,
from additional processing of a combination of
petroleum-derived and natural-gas-derived chemi-
1. BLENDS VERSUS NEAT AND cals. The predominant natural gas derived chemical
NEAR-NEAT FUELS: 1970s feedstock for conversion to MTBE is another
TO PRESENT alcohol, methanol. Early in the 20th century,
methanol was produced from wood and called wood
If a fuel produced from a nonpetroleum feedstock is alcohol. However, now it is predominantly produced
substantially like gasoline or diesel fuel, it is evident from natural gas feedstock and is an important
that it could be blended into such a fuel, and perhaps industrial chemical. The U.S. EPA has funded past
not recognized as having any difference from petro- research to produce methanol from biomass, as was
gasoline or petro-diesel. In fact, number of chemicals done early in the 20th century, but funding for this
other than gasoline or diesel fuel are blended into approach has been dropped. Since MTBE is pro-
those fuels in order to alter their properties. In duced from a combination of chemicals derived from
particular, for gasoline, properties such as octane, petroleum and natural gas (methanol and isobutylene
sulfur content, and volatility can be altered by from butane), with natural gas likely contributing
blending chemicals—often produced from feedstocks more than half of the available energy, it does qualify
other than petroleum—into the gasoline in relatively as an alternative fuel under the definition used here.
small percentages. For diesel fuel, the key properties The term neat, or near-neat, refers to a fuel used in
that can be affected are cetane and sulfur content. its pure form (neat) or with a small percentage of
Blending for improved properties also generally additives (near neat). Among such fuels, E95 (a blend
Transportation Fuel Alternatives for Highway Vehicles 207

TABLE I
Some Key Alternative Fuel Attributes

Cetane/octane
(motor/ 2002 Sulfur Energy/ Pressure for Vapor pressure at
Name Primary feedstock (s) research) content volume (kj/L) storage 381C

Gasoline Petroleum 80–90 (M) 300 ppm (40 in 30–33 N/A 54–62 after 1992 (48
CA) in CA)
88–100 (R)
Diesel No.2 Petroleum 40–55 300 ppm 35–37 N/A o1
Methyl tertiary Natural gas, Isobutylene 100–118 (pure Max. 10 ppm Not obtained N/A Lower than gasoline
butyl ether from natural gas or state) by weight
(MTBE) refining
98–120 (M)
115–135 (R)
(blending)
Ethanol Corn, sugarcane, or 96–130 (pure None unless 21.1 7–21 kPa 15.9 kPa at 381C
(EtOH) beet, switchgrass, state) included in (pure state); causes
poplar and other denaturant nonlinear increase
biomass in gasoline vapor
pressure in blends.
100–104 (M)
132–135 (R)
(blending)
LPG (Propane Natural gas liquids, 112/97 Not obtained 23 43.5 kPa 1303
data) refining byproducts
Methane Processed natural gas 120 Not in 9 at 20700 kPa (CNG) at 17– N/A
(CNG, methane, 25000 kPa
LNG) varies in
CNG
Electricity Numerous.
Oil % in U.S. only 2 to Not applicable Not applicable N/A N/A
3%
Methanol Natural gas 89 (M) Near zero 15.8 7–21 kPa 32 kPa at 381C
(MeOH) (pure state); causes
nonlinear increase
in gasoline vapor
pressure in blends.
109 (R)
(purestate)
98–100 (M)
132–134 (R)
(blending)
Fischer- Natural gas Near zero N/A o1
Tropsch
diesel
Biodiesel Soybeans, rapeseed, 52 None 32 N/A o1
waste cooking oils
Hydrogen Many No rating None 2 as gas, 7 425000 kPa N/A
liquid

Note. Values in this table are for illustration only. See state, federal, and national regulations and industry association and professional
society recommendations before making any technical judgments about these fuels. Some cited values vary considerably, depending on local
requirements and needs, or even test equipment capability.
208 Transportation Fuel Alternatives for Highway Vehicles

of 95% ethanol and 5% hydrocarbons) and M100 Diesel fuel tends to be used in engines that do not
(100% methanol) are both compression ignition use sparkplugs and instead use heat from compres-
engine fuels. Both may be regarded as failures, having sion of air to ignite injected fuel—so called compres-
been tried in urban buses in the early 1990s and sion ignition (CI) engines—which are more
found wanting. Neither of these fuels is currently of commonly known as diesels. Diesel-fueled CI engines
any importance in the United States. The alcohol- are generally used in trucks (heavy-duty vehicles),
fueled urban buses were abandoned due to consider- locomotives, and ship engines to move freight, or in
able maintenance problems emerging after several buses to move large numbers of people. Diesel fuels
tens of thousands of miles of operation and dis- use cetane rating as the figure of merit rather than
appointing fuel economy. Ethanol and methanol have octane. Among candidate fuels for use in internal
very low cetane ratings and do not ignite well in CI combustion engines (ICEs), octane and cetane tend
engines at low loads (idling conditions). Since urban to be inversely related.
buses spend a high percentage of engine hours idling, Some analysts distinguish engines by normal
this experiment was ill fated. Attempts to develop operating speed, in revolutions per minute (rpm).
economically competitive cetane-enhancing additives Generally, as the size and power of an engine drops,
for alcohols in CI engines were not successful. its normal operating speed rises. For petroleum-based
LPG and CNG are used as neat fuels in spark fuels, the quality of fuel used and degree of refining
ignited light-duty vehicles. CNG and LNG are used in needed tends to increase as normal engine operating
both spark-ignited and compression-ignited engines in speed increases. Ship engines use one of the lowest
heavy-duty vehicles. Both CNG and LPG enjoy far quality refined petroleum products, residual oil, and
greater success in 2002 than E95 and M100. M85 operate in the hundreds of rpm. Locomotive engines
was used in FFVs in light-duty vehicles with spark- also use low-quality distillate oil, while truck engines
ignited engines in the early 1990s (but no longer), use relatively high-quality distillate oil and are capable
while E85 can be used (but generally is not) in the of peak rpm of about 4000. Light-duty passenger cars
numerous E85 FFVs sold in the late 1990s and at the and trucks generally use spark-ignited engines and
present time. Electricity was used for electric vehicles, gasoline fuel, which is more highly refined than diesel
especially in California, but also more aggressively fuels. These engines can peak at 5500 rpm and greater.
than elsewhere in Georgia and Massachusetts. How- The sulfur content of refined petroleum fuel declines
ever, automakers are no longer producing full- as its quality increases. Volatility is important for
function electric vehicles, after marketing several spark ignition engines. Gasoline is more volatile than
models in the late 1990s. Fischer-Tropsch diesel is diesel fuel. Volatility is an environmental problem
blended into petro-diesel in very small quantities, if it leading to evaporative emissions, so the volatility of
is used at all. However, a few large Fischer-Tropsh gasoline was required to be reduced considerably
plants are scheduled for construction in Southeast since the 1970s. It remains true, however, that the
Asia and the Middle East, so this fuel may be used volatility of gasoline (RVP, Table I) is considerably
increasingly in the next decade. It can be used in higher than diesel fuel. The mix of engines used has
existing compression ignition engines, especially when actually been adapted over the years to the mix of
blended with petro-diesel fuel. The Alternative Fuels products that can be (and is) produced via refining.
Data Center provides information on numbers and One of the problems of near neat alternative fuels
locations of five neat or nearneat alternative fuels— is that they consistently have different properties than
CNG, E85, LPG, electricity, biodiesel, and LNG. gasoline or diesel fuel. Gases have to be compressed
Presently the fewest stations nationally among these for convenient storage and behave differently if they
five types are those providing biodiesel. leak. Alternative fuels have different octane or cetane
For motor vehicles used worldwide, there tends to ratings, requiring an engine to be adapted to make
be a correspondence between fuel properties, engine best use of such fuels. Natural gas, ethanol, and
types, and size (duty) class of vehicle. Gasoline is methanol all have higher octane ratings than petro-
used in engines that use sparkplugs to initiate gasoline and lower cetane ratings (if there is a cetane
combustion (spark ignition). Such engines use fuels rating) than petro-diesel. Unfortunately, if the engines
that have high-octane ratings. Except in Europe, are adapted to make best use of the properties of the
where diesel fuel is taxed at a much lower rate than alternative fuels, then they may not be able to run on
gasoline, gasoline tends to be the dominant fuel available refined petroleum products. Thus, using
in light-duty vehicles used primarily for movement alternative fuels most efficiently, in engines optimized
of persons. and exclusively suited for them, creates a fuel supply
Transportation Fuel Alternatives for Highway Vehicles 209

problem. Dedicating the engine to a scarce alternative Among nations, the United States has required
fuel makes it improbable that an average consumer more sophisticated and highly refined fuels for
would use vehicles designed to use only that purposes of low emissions and pays more for suitable
alternative fuel because of a lack of refueling stations. oil than other nations. One exception to the rule of
The response to this is to design what are called thumb that the United States requires the most
dual fuel or flex fuel vehicles, or to limit target refined and cleanest fuel is Sweden, where a very
markets to fleets of vehicles that use the same refueling clean (low-sulfur) diesel fuel is required for use in
facility. Gaseous fuels in a dual fuel vehicle that can urban areas. Within the United States, cities with
use refined petroleum products require two separate severe air quality problems use the most sophisti-
fuel tanks. Thus, the term dual fuel is applied to these cated and highly refined petroleum products for
vehicles. Vehicles that can switch between near-neat emissions control. As a result of the Clean Air Act
alcohol fuels and gasoline in the same single tank are Amendments of 1990, nine areas with severe ozone
called flex-fuel vehicles. Many flex fuel vehicles sold air quality violations were required to introduce
are capable of using both E85 and gasoline, but there reformulated gasoline to reduce the emissions of
are relatively few E85 stations, and it almost always the light-duty gasoline burning fleet of vehicles in
costs more to run on E85 than on gasoline. Public those areas.
policy is responsible for the existence of these vehicles, The state with the worst air quality problems has
since the vehicle manufacturer is allowed under the been California. As a result of uniquely severe
AMFA to assume that the rated fuel economy is problems, California developed the first emissions
doubled from its gasoline rating. Since fuel economy is regulations, followed by the federal government.
regulated under the Corporate Average Fuel Economy California has since retained the legal authority to set
(CAFE) regulation, and consumers are buying larger more strict regulations. One result is that the most
and less fuel-efficient vehicles, the incorrect assump- costly and most highly refined reformulated gasoline
tion that these E85 flex fuel vehicles actually use E85 in the country is required in California. Prior to the
is beneficial to automakers wishing to provide larger Clean Air Act Amendments of 1990, California
vehicles to U.S. consumers. adopted regulations that included a requirement for
On the other hand, should oil supplies become zero-emissions vehicle sales, starting in 1998. The
tight and oil prices rise sharply, having these vehicles states containing the nine regions required to use
on the road could allow biomass-based ethanol reformulated gasoline in the Clean Air Act Amend-
production facilities to be built, and a refueling ments of 1990 were allowed to adopt the California
infrastructure, during the approximate average 13- standards if they chose to do so. New York,
year lifetime of these vehicles. The prior sales of E85 Massachusetts, and other New England states
FFVs could then allow successful marketing of attempted to do so, but legal challenges by the
biomass-based ethanol. Such ethanol would also automobile industry were fought throughout the
reduce greenhouse gases significantly, so the exis- 1990s. Nevertheless, as a result of a negotiated
tence of these vehicles does provide the United States agreement with California, electric vehicles were
with some degree of energy security and an produced and test-marketed by major manufacturers
additional environmental option, should it need through the latter part of the 1990s, and electric
these in the early 21st century. However, in the short refueling infrastructure was set up by several states.
run, these options are made available by selling Most noteworthy, of course, was California.
vehicles that consume more refined petroleum During the 1990s, the additive MTBE, an alter-
products than would otherwise be the case under native fuel by the definition used here, was the
CAFE regulations. If significant expansion of ethanol dominant additive in reformulated gasoline. Ex-
fuel for transportation is to be achieved, biomass- panded use of reformulated gasoline led to expanded
based ethanol production must move from corn to use of MTBE and, in effect, expansion of the amount
woody biomass or switchgrass feedstock. There is of natural gas feedstock used in transportation fuels.
little evidence that plans are under way to accom- The oil and automobile industries have exhibited and
plish such an expansion in the United States within continue to exhibit a strong preference for MTBE as
the lifetime of the E85 FFVs that have been placed in an octane-enhancing and emissions-reducing additive
the fleet in the early 21st century. This contrasts with rather than ethanol. It can even be safely asserted
plans for expansion of FTD production from natural that, absent regulation to the contrary, tetraethyl lead
gas outside the United States and considerable remains the preferred octane enhancer. However,
expansion of production of Canadian oil sands. lead removal regulations are spreading worldwide,
210 Transportation Fuel Alternatives for Highway Vehicles

and only the lowest income nations still allow their argued to reduce dependence on foreign petroleum.
refiners to take advantage of its powerful octane- The political advantage of these arguments in states
enhancing effects. Footnotes in the World-Wide Fuel in which corn production is a major part of the
Charter make it clear that lead is still not gone and its economic base is clear. As a result of this combina-
content must be regulated. This publication by tion of factors, and one more, the E10 blend of 10%
automakers (no oil companies are coauthors) states, ethanol by volume and 90% gasoline—so called
‘‘leaded gasoline should be removed as soon as gasohol—has become prevalent in the Midwestern
possible.’’ Recommendations for gasoline are for United States. EPA rules revisions in 1979 and 1981,
unleaded gasoline, not gasoline generically. For the at the peak of real oil prices since World War II,
dirtiest of the four unleaded gasoline types, lead allowed gasohol to be marketed as a gasoline
content equal to a ‘‘maximum level of 0.005 g/l is substantially similar to industry average gasoline.
acceptable during the transition period.’’ Ethanol use in gasoline has reasonably steadily
At the same oxygen concentrations, blending expanded since that time.
ethanol causes an increase in volatility and, as a The other factor that played an important role in
result, refining severity must be greater to obtain a the success of ethanol was the 1980s discovery that
specified volatility for the gasoline-oxygenate blend. gasohol reduced the wintertime emissions of carbon
Further, ethanol has an affinity for water and is a monoxide in the front range of Colorado, helping
stronger solvent than gasoline. As a result, it cannot that area deal with its wintertime air quality
be blended at the refinery and piped to customers, problems. This was also true of MTBE. The reduction
while a gasoline MTBE blend can. Ethanol is often occurred primarily in older vehicles using carbure-
splash-blended at a location close to the final tors, but the timing was such that this reduction was
customer. Ethanol and associated impurities are perhaps the final winning argument in favor of
more likely than MTBE to have materials compat- ethanol expansion in Colorado and elsewhere in the
ibility problems with fuel systems. Accordingly, the cold Midwestern United States. Though the amount
World Fuels Charter explicitly indicates a preference of reduction of carbon monoxide by using gasohol in
for ethers rather than ethanol. This preference is modern fuel injected vehicles is negligible, the 1980s
stated despite the fact that the dominant ether MTBE proponents did not wish to wait for the advanced fuel
is being removed from gasoline in the United States injected 1990s vehicles to reduce carbon monoxide,
because of its contribution to water pollution. and they further pushed ethanol (along with MTBE)
In the Midwestern United States, the political into the gasoline blend market.
support for blending of ethanol produced from corn Ethanol also had opponents who estimated that it
into gasoline was very strong starting in the 1980s, required so much energy to produce that it was
after the two oil price shocks of the 1970s. It must be actually a loser in terms of energy use and green-
remembered that, although most analysts focus house gases. However, in the 1990s, reinvestigation
almost exclusively on the politics of support for of the efficiency of production of corn and of ethanol
ethanol, ethanol and tetraethyl lead were the two led to estimates that corn ethanol produced in the
competing additives to increase octane in 1920s 1990s and since actually reduces greenhouse gases.
gasoline. Tetraethyl lead won the first battle to be the While it was true that ethanol of the 1980s increased
octane enhancer of choice, but by the 1980s it was greenhouse gases, the experience with production of
being removed from gasoline both because of its ethanol led to improvements in plant design, and
toxic side effects and its poisoning of the newly refinement of existing plants, increasing efficiency of
required tailpipe emissions reducing catalytic con- ethanol production. In the meantime, the productiv-
verters. After 1975, all gasoline marketers were ity of corn growing rose steadily, and fertilizer use
required to provide at least one grade of unleaded per bushel produced dropped (reducing emissions of
gasoline. The removal of lead from gasoline meant the greenhouse gas nitrous oxide), so the contribu-
that refiners needed other additives or additional tion of corn farming to the greenhouse gas emissions
refining investment to provide octane that was being of ethanol also dropped significantly. Thus, ethanol’s
lost as lead was removed. So one of the technical success in getting into the market and staying there
arguments that could properly be brought to bear by has been the result of a diverse set of factors and to
ethanol advocates was its ability to provide octane evolving emphasis on key attributes. For the early
that was needed as tetraethyl lead was phased out. 21st century, it appears that the absence of negative
Similarly, ethanol is a domestically produced fuel, so effects of ethanol on groundwater is going to give
its substitution into gasoline also was correctly it an advantage relative to MTBE, and it will
Transportation Fuel Alternatives for Highway Vehicles 211

likely expand in use as a gasoline additive for yet but the extent of their addition is limited by
another reason. undesirable deterioration in other properties. In
Ethanol is only blended into gasoline. However, particular, the octane blending benefits of tetraethyl
research is ongoing on blending ethanol into diesel. lead, ethanol, and MTBE are highly nonlinear, and
Many problems have been noted (often similar in these components are almost always considerably
nature to those for adding ethanol to gasoline), so the more costly than gasoline. Thus, the amount blended
World-Wide Fuels Charter recommends that more into gasoline tends to be minimized to give the desired
research is needed before motor vehicle and engine properties. In the case of gasohol, governments got
manufacturers and governments could acceptably around this attribute by specifying subsidies only for
agree that ethanol blends in diesel fuel are technically a 10% blend. This property also meant that it was
suitable for use. more difficult for refiners to cope with the last small
There are multiple state and federal subsidies or amounts of tetraethyl lead removed from gasoline
tax relief programs for ethanol. Generally, in the than the previously removed quantities.
Midwest, there are state subsidies and tax exemption Another important point is that the blending
programs that supplement federal subsidies/exemp- octane of ethanol and MTBE tends to be higher than
tions, leading to a much higher market penetration of the octane rating of the pure compound. Accord-
ethanol blends into the Midwest. In addition to ingly, when used primarily for purposes of providing
regulations and subsidies promoting gasohol octane, ethanol and MTBE have a higher value
throughout the Midwest, there is a federal oxygenate blended into gasoline than used in near-neat form in
requirement for reformulated gasoline. Since both a vehicle (see Table I).
MTBE and ethanol contain oxygen, this requirement To a far greater extent than alternative fuels that
can be met with either. Since ethanol contains a are suitable blending components, neat fuels will
higher proportion of oxygen, a lesser proportion of have properties that require significant adaptation of
ethanol blended into reformulated gasoline can meet the system. Mechanics have to be retrained. New fuel
a given gasoline oxygen percentage requirement. The infrastructure has to be built or existing facilities
percentages of ethanol in reformulated gasoline, adapted. For example, diesel fuel pools on the floor if
when ethanol is present, are often considerably less it leaks and is quite difficult to ignite. Natural gas
than the 10% portion in gasohol. rises in the air if it leaks and ignites readily in the
Compared to most refined petroleum products, presence of a spark if its concentration is high
alternative fuels are generally less complex chemi- enough. Electric resistance heaters at the roof of a
cals. Refined petroleum products are a soup of diesel bus maintenance garage could not ignite
chemicals tailored to match the attributes of the leaked diesel fuel, but if natural gas were to leak,
engines and fuel delivery system developed for them an explosive fire could easily result. For this and
over the years. If alternative fuels cannot fit into this other reasons, conversion of bus maintenance facil-
preexisting system with little required modification, ities to safely maintain natural gas buses can be
then a significantly different system has to be costly. This is but one example.
developed. This is known as the infrastructure
problem. Blends that allow alternative fuels to make
use of existing fuel delivery infrastructure obviously
represent the easiest way to get alternative fuels into 2. FUEL PROPERTIES AND FUEL
the system, but they nevertheless have limitations. SWITCH EFFORTS
Generally these limitations are defined by their
chemical properties in interaction with the gasoline The 1980s and 1990s show that introduction of
(or diesel fuel) with which they are blended. A alternative fuels is quite difficult. At the time of
mixture of gasoline and an alternative fuel never has publication, energy security was a major concern,
the properties of either fuel. Since the fuel delivery due to high oil prices and elevated dependence on oil
and maintenance systems (as well as vehicles) are from politically unstable nations. Interest in alter-
designed for gasoline or diesel fuel properties, the native fuels waxes and wanes as oil prices rise and
limiting factors tend to be set by rules, regulations, fall. When the United States Energy Policy Act
and practices originally established for the existing (EPACT) of 1992 was passed, memory of a 1988–
dominant fuels. Usually, the alternative fuels are 1990 oil price shock heightened by the Iraq-Kuwait
blended into gasoline or diesel fuel because they war of 1990, followed by a recession, had caused
provide desired enhancement in various properties, elevated concerns with petroleum dependence by the
212 Transportation Fuel Alternatives for Highway Vehicles

United States. This act nominally called for the onmentally concerned citizens. The CAAA of 1990
United States to be using 10% alternative fuels in resulted directly from this reversal of progress.
highway transportation by 2000, and 30% by 2010. California and others thought that M85-fueled
The act was exhortative and had loopholes if vehicles and electric vehicles might be used to
economics did not support use of alternative fuels. address the need for even lower vehicle and refueling
For most of the 1990s, oil prices were well below the delivery system emissions. However, as work pro-
levels that induced the writing of the EPACT, and gressed on the CAAA, oil prices were rising, and a
economics did not support use of alternative fuels to war between Iraq and Kuwait occurred, increasing
the extent envisioned in the EPACT. Nevertheless, the interest in alternative fuels for energy security
one may take a glass partially full perspective toward reasons. EPACT followed 2 years later, and alter-
the 1990s, since expansion of use of alternative fuels native fuel advocates were excessively optimistic.
did occur, and numerous potentially valuable at- The share of alternative fuels in use in highway
tempts to implement alternative fuels were made. transportation in 2000 fell far short of the 10%
While it is possible to emphasize the perspective EPACT goal, and the probability of falling short of
that energy security was the primary driver behind the 30% goal for 2010 is almost 100%. Instead of
the EPACT, this would be misleading. Prior to the electric and M85 vehicles, the more successful
EPACT, the Clean Air Act Amendments of 1990 alternative fuels are ethanol and MTBE blended into
(CAAA90) were passed. At the time, alternative fuels gasoline. Such fuels are termed replacement fuels in
were also regarded as cleaner fuels than gasoline. the Energy Policy Act of 1992, while they are referred
Prior to these amendments, California had developed to here as alternative fuels. The more successful neat
low-emission vehicle regulations with far-reaching and near neat alternative fuels are compressed
implications for automobile makers. The California natural gas (CNG) and ethanol, not electricity and
regulations included requirements for introduction of methanol, the seeming leaders when EPACT was
zero-emissions vehicles, as well as other low-emis- written. But the true success of ethanol and natural
sions vehicles much cleaner than the motor vehicle gas to date are not as neat or near-neat fuels, but as a
industry could produce. Prior to writing of the constituent of gasoline. The vast majority of ethanol
California zero-emissions vehicle requirements, Gen- fuel produced in the United States is blended into
eral Motors had announced that it would develop a gasoline. The amount of natural gas as a feedstock
commercial electric vehicle. Zero emissions at the making its way into light-duty vehicles is consider-
time implied electric vehicles. California had also ably greater in MTBE than in CNG.
been experimenting with methanol as an alternative
fuel and anticipated that methanol vehicles would
have considerably lower emissions than gasoline
2.1 Status of Alternative Fuels and Trends
vehicles. An extremely clean experimental vehicle
Under Way
dedicated to the use of methanol was highlighted in
research of the time. This vehicle was contrasted The U.S. Department of Energy’s Energy Information
with a methanol FFV that had less power, slower Agency began compiling the amount of alternative
acceleration, and higher emissions. The automobile fuels and alternatively fueled vehicles sold in the
industry had worked with California to develop United States, by region, by fuel type, and by vehicle
versions of its standard vehicles capable of running class since passage of the EPACT. Thus, there is a
on M85 and gasoline. record of what has happened during the 1990s. The
The summer of 1988 had been an unusually hot Alternative Fuels Data Center, maintained by the
summer. As the environmentally motivated removal National Renewable Energy Laboratory, lists refuel-
of the toxic but highly effective octane enhancer ing stations by type of alternative fuel and provides
tetraethyl lead from gasoline was coming to an end, technical details on alternatively fueled vehicles. The
oil companies added volatile chemicals such as Electric Vehicle Association of America, since re-
butane to keep the gasoline octane at levels named to the Electric Drive Vehicle Association,
previously offered to consumers. This caused greater provides data on the history of electric vehicles, by
amounts of evaporation of hydrocarbons, which class of vehicle. The Natural Gas Vehicle Coalition
tended to cause ozone air quality to deteriorate. provides information on natural gas vehicles and
Combined with the hot summer, this led to a reversal public policy (incentives) information for consumers.
of years of consistent declines of summertime ozone The Fuel Economy Guide, maintained by the U.S.
concentrations and an alarmed response by envir- EPA and Department of Energy, provides fuel
Transportation Fuel Alternatives for Highway Vehicles 213

economy ratings of alternatively fueled vehicles in its unburned MTBE emitted from motor vehicle tail-
published version of the guide. In the Web version, a pipes, so its gradual buildup, in light of public alarm
weighted ranking from zero to ten (ten is best) is over taste of MTBE contaminated water at several
provided on ‘‘criteria pollutant’’ emissions (emissions prominent locations, has led to widespread concern,
for which standards exist). Information on full fuel and movements to remove MTBE from gasoline.
cycle greenhouse gas emissions is also provided on Early in the 21st century, ethanol use as a blending
the Web site. component of gasoline will increase, while MTBE
use will decrease. The net effect will likely be a
2.1.1 Blended Alternative Fuels significant tapering off of growth of alternative fuels
According to Energy Information Agency (EIA) data, blending into gasoline —perhaps even a decline.
in the early years of the 21st century, the share of
MTBE in gasoline was about 2.5%. The share of 2.1.2 Neat and Near-Neat Alternative Fuels
natural gas feedstock versus petroleum feedstock for Liquefied petroleum gases (LPG) are the leading neat
MTBE is not available, but 50% is a good rough or near-neat alternative fuels in the United States
estimate. Thus, about 1.25% of gasoline is derived Despite the name, a large fraction of the fuel is
from natural gas feedstocks. Ethanol is blended into derived from natural gas liquids, propane in parti-
about 0.8% of gasoline. Thus, by the definition of cular. LPG technically can be a mix of gases. The mix
alternative fuels used here, a little over 2% of is generally butane and propane, with the percentage
gasoline is presently alternative fuel. Note, however, of butane limited. The abbreviation sometimes
that diesel fuel, residual oil, and jet fuel are also stands for liquefied propane gas, because propane is
petroleum products used in transportation, so the the primary constituent. Only two models of light-
share of alternative fuel blended into refined petro- duty LPG vehicles are listed in the 2002 Fuel
leum products is probably a bit over 1%. However, Economy Guide. Both are versions of the Ford
this does not account for the use of hydrogen and F150 pickup truck, the leading selling vehicle model.
natural gas liquids to produce other blendstocks used Among vehicle body types, pickups are sold in higher
in refined petroleum products. These are not reported quantities in rural areas than any other. There is also
by EIA in its alternative fuel statistics. Hydrogen a medium-duty truck that uses LPG. In any case,
produced for such purposes is usually derived from LPG is predominantly an alternative fuel sold in rural
natural gas, so the percentage of nonpetroleum areas. Vehicles are often converted to use LPG. These
feedstocks in refined petroleum products probably are generally in areas where air quality is not a
exceeds 1% by a significant margin. problem and vehicles are not inspected for emissions.
The future for MTBE in the United States is According to EIA, LPG sales in the United States for
troubled. It was adopted to reduce tailpipe emissions. transportation have been about 250 million gallons
The risks of its leakage and its effects if it did leak of gasoline equivalent since about 1994. For com-
into aquifers were mistakenly judged to be small parison purposes, 1% of the 2001 gasoline market
relative to the air quality benefits. In very small was 1260 gallons, about five times as much as the
quantities it ruins the taste of water. It also is highly gasoline equivalent sales of LPG. Thus, sales of LPG,
resistant to biodegradation and has negative health at about 0.2% of gasoline, are far less than ethanol
effects at small concentrations. The flaw in regula- blended into gasoline (about 0.8%) or natural gas
tory analyses of MTBE were that the concerns over used in MTBE blended into gasoline (about 1.25%).
concentrations in water were based on health effects Further, sales are not growing. Thus, according to
rather than taste, which has a considerable economic earlier calculations, merchant hydrogen is probably
value, even if the water is safe to drink. Health effects already used in refined petroleum products to an
of concern are not reached until concentrations reach extent similar to the leading neat alternative fuel,
those well above the point where it fouls the taste of LPG. The use of merchant hydrogen by refiners is
water. The effect on taste appears to be the Achilles’ probably rising.
heel of MTBE. Due in part to leaks of underground Among neat and near-neat alternative fuels,
storage tanks and in part to unburned fuel in two natural gas is second in sales to LPG. In 2001, sales
stroke boat motors, MTBE has tainted the water of natural gas in transportation were estimated to be
supplies of a number of localities, leading to a about 105 million gallons of gasoline equivalent, up
backlash against it and widespread concern over its from about 20 in 1993. So growth of sales of natural
long-term environmental effects. Small quantities are gas is significant, but in 2001, natural gas as a neat
being found in many locations as a result of fuel represented 0.1% of gasoline sales, far less than
214 Transportation Fuel Alternatives for Highway Vehicles

the 1.25%-plus share of natural gas feedstock that obtain almost the same rating as electric vehicles. It
works its way into refined petroleum products via was stated that LPG tends to be a rural fuel, and few
MTBE and hydrogen. clean LPG vehicles are available from manufacturers.
After natural gas, not one of the remaining
alternative fuels constitutes more than about 0.01%
2.2 Location Patterns
of gasoline sales. This includes liquefied natural gas,
M85, E85, M100, E100, and electricity. Since EPACT was enacted, efforts to introduce
According to the 2002 Fuel Economy Guide, the alternative fuels have included installation of refuel-
mix of new 2002 light-duty alternative fuel vehicles ing stations to provide the fuels. Electric refueling
offered to consumers was considerably out of stations and E85 refueling stations are highly
balance with the relative success of alternative fuels concentrated geographically, while natural gas re-
to date. Twenty-seven E85 FFV models were offered, fueling stations are not.
versus eight CNG models. As noted, there were two The cleanest of vehicles, the CNG and electrics,
LPG models and two electrics. The number of have had infrastructure for them preferentially
electric vehicles offered had dropped sharply from installed within a 25-mile radius of large metro
earlier years, and the number of CNG models areas. The share of LPG stations rises sharply in the
had dropped moderately. Numbers of E85 vehicles 25- to 50-mile annular ring outside metro areas.
had expanded rapidly. No M85 vehicles were Small metro areas have a higher proportion of LPG
offered in 2002. Such vehicles had been available stations than the nation as a whole, and they have a
early in the decade. Methanol and electricity, at the considerably larger share than within a 25-mile
end of a decade or so of experimentation, appear radius of large metro areas. The proportion of
now to be abandoned as alternative fuels for vehicles electric vehicle stations drops far more sharply in
designed to clean the environment or to provide the small metro areas than does the other clean fuel,
energy security. CNG. Where electric vehicle stations exist, the
It has been pointed out that a prime motivator for proportion of electric refueling stations found within
several of the alternative fuels has been emissions the 25-mile radius of the metro area is consistently
reduction rather than energy security. MTBE has greater than for other fuels. It is fair to say that
been used in reformulated gasoline for that purpose. attempts to introduce electric vehicles have focused
Ethanol’s ability to reduce carbon monoxide emis- on the core of large urban metro areas with ozone
sions in the 1980s fleet of vehicles helped it expand air quality problems. It is also clear that the mix of
its market share. Electric vehicles were the hoped for fuels being sold is far different from the mix of
zero-emissions vehicle for California and other states refueling stations available to refuel them with an
that wished to adopt the California low-emissions alternative fuel.
vehicle standard under rules written into the Clean Various states and metro areas choose different
Air Act amendments. Natural gas was also advo- fuels for primary emphasis and have different levels
cated as a clean fuel. Compressed natural gas vehicles of effort at developing an alternative fuel infrastruc-
designed to use only natural gas have proven to be ture. The shares of electric stations in major metro
very clean, on average. Figure 1 illustrates an average areas of California are greater than elsewhere.
rating emissions index rating from the Fuel Economy California has the most electric vehicles in the
Guide’s 2002 models. It shows that CNG vehicles nation. However, California is also listed as the state
with the most LPG vehicles, amounting to about nine
times as many as electrics. California also leads the
10
Note: Neither LPG model rated. nation in number of CNG vehicles and has about five
8 9 in times as many CNG vehicles as electric vehicles. In
CA,
6 NY, fact, California is estimated to have over twice as
Score

VT,
MA,
many methanol vehicles as electrics, as a result of
4 ME. methanol vehicles remaining from the methanol
2 7 in programs of the early 1990s and small numbers of
Rest
0
f electric vehicles sold since then.
Electrics Hybrids CNG E85 FFVs Diesels Metro areas outside of California that also have
FIGURE 1 Average air pollution score of non-gasoline light- electric vehicle refueling stations have not empha-
duty vehicles and hybrids on the EPA Fuel Economy Guide Web sized electric stations to the degree that California
site (10 is best, 0 is worst). has. There, CNG is the fuel with the largest
Transportation Fuel Alternatives for Highway Vehicles 215

proportion of alternative fuel stations, not electricity. toward lower carbon content, with hydrogen at the
The only metro area that has chosen to emphasize end of the sequence. As far as the percentage of
E85 refueling stations is Minneapolis. Minneapolis carbon versus hydrogen in the molecular weight of
has no ozone violations, but it is in violation of the past and candidate future transportation fuels is
CO standard. Minnesota is the state with the most concerned, the percentage declines as one moves
E85 FFVs actually using the fuel. from wood to coal to petroleum to natural gas
Among the metro areas examined, those not (methane) to hydrogen. There are debates about a
including electric vehicles also generally have fewer transition to hydrogen. Some argue that natural gas
alternative fuel stations. Milwaukee, Chicago, and will be the next major alternative transportation fuel,
Houston have about the national proportion of LPG followed by hydrogen. Others assume that natural
stations and a considerably higher proportion of gas will not be used in significant quantities in
CNG stations than the average. Texas is the leader in transportation and hydrogen will be the next major
LPG vehicle totals, while Illinois is third. California, neat fuel.
Texas, and New York lead in implementation of The primary argument for an expectation that
CNG vehicles, consistent with their populations. nonpetroleum fuels will be dominant in the 21st
Only a few states are estimated to have more century is that petroleum will be depleted. Those
alternatively fueled vehicles using ethanol, natural who advocate this argument generally use a deple-
gas, or electricity than LPG. For Arizona, Arkansas, tion model known as the Hubbert curve. By this
Delaware, Nevada, Utah, and West Virginia, natural model, petroleum will first be depleted, then natural
gas vehicles are the leaders. Delaware, the District gas depletion will follow within a very few decades.
of Columbia, Maryland, New Jersey, Utah, and If natural gas were to be more abundant than
West Virginia have more CNG stations than any presently estimated, then perhaps methane could be
other type. The District of Columbia, Hawaii, a significant worldwide transportation fuel well into
Minnesota, and North Dakota are estimated to the 21st century. If not, then the argument that
have more E85 vehicles than any other type. Only hydrogen will be the dominant fuel can be based on
Minnesota has more E85 stations than any other the projection that both petroleum and natural gas
type. Only Puerto Rico is estimated to have more will be depleted.
electric vehicles than any other type. California, Hydrogen is seen as an energy carrier that can be
Georgia, and Puerto Rico have more electric produced via a large number of feedstocks and
refueling stations than any other type. processes. A hydrogen delivery infrastructure for the
21st century would be analogous to the present
electricity transmission and distribution system,
where electricity fed into the system comes from
3. FUEL PROPERTIES many different primary sources. Presently, hydrogen
AND CENTURIES-LONG is produced predominantly from natural gas, which
TRANSPORTATION FUEL SWITCHES is the cheapest resource for high-volume hydrogen
production. In fact, the hydrogen production capa-
Clearly, many detailed properties of alternative fuels city in existence is as large in energy terms as most
are important to their success or failure. Never- alternative fuels. Hydrogen production outside of
theless, it is also necessary to consider the over- refineries was estimated in 1995 to be equivalent to
arching general properties and their role when taking two days of gasoline consumption. Expressed on a
a long view. Cost, a function of abundance of percentage basis, this would be 0.55%. The leading
feedstock for the fuel, is, of course, a primary use of hydrogen in 1988 was for ammonia produc-
consideration. However, whether a fuel is a solid, tion, while the second leading use was as a refinery
liquid, or a gas is also important. Use of solid fuels in input. Worldwide, in that time frame, 77% of
19th century transportation (grains for horses, wood, hydrogen was estimated to be produced from natural
and coal for steam locomotives) gave way to use of gas, 18% from coal, and less than 1% from oil. In
refined liquids from petroleum in the 20th century. 1988, it was estimated that 37% of hydrogen was
Some energy forecasters hold the belief that the used by refineries. Thus, hydrogen production
transportation fuel of the 21st century will be a gas— dedicated to transportation fuel may be on the order
hydrogen. One argument in favor of the logic of a of 0.2% of gasoline production or more. Since 1988,
transition to hydrogen is that there is a natural use of hydrogen in refining has likely increased
transition from fuels with higher carbon content significantly. A large portion of the hydrogen
216 Transportation Fuel Alternatives for Highway Vehicles

produced is actually used in petroleum refining to to methane and hydrogen, and third to multiple
upgrade refined petroleum products to the tighter primary sources of hydrogen. By this argument,
specifications being imposed largely for environmen- transitions themselves are inherently difficult, so
tal reasons, and these restrictions have become avoiding intermediate transitions and jumping to a
tighter in the 1990s. In this sense, petroleum feed- long-term solution is desirable. Economists do not
stock is already being replaced by natural gas make such an argument, but some scientists,
feedstock for production of gasoline and diesel fuel environmentalists, and motor vehicle manufacturers
in ways completely transparent (unknown) to the (for which transitions are indeed costly) do, for
average consumer. different reasons. Some environmentalists tend to
Another way that domestic natural gas use in stress the opportunities to produce hydrogen from
refining has likely increased is through the expanded nonfossil primary sources such as wind, hydro, and
use of natural gas liquids. While oil production in the solar power. Some scientists stress production of
United States has typically declined, production of hydrogen via nuclear power as a source of abundant
natural gas liquids has increased. One of the markets supply. Some in the automobile industry want to
for these liquids has traditionally been in gasoline spend scarce research dollars to develop reliable,
refining. reasonable cost hydrogen powertrain technology for
Even if the transportation system were to make a vehicles before proceeding to a hydrogen-based
transition directly to hydrogen-fueled vehicles in- transportation system.
stead of an intermediate transition to methane-fueled An argument against hydrogen is that liquids are
vehicles, it is probable that natural gas would be the the ultimate fuel for transportation because of their
primary feedstock for the hydrogen used. Past and energy density and ease of handling in a fuel system.
recent research on the costs of hydrogen production In this regard, the advantage of a liquid is clear for
and delivery indicate that hydrogen will be signifi- internal combustion engines (ICEs). Gases tend to
cantly more costly than gasoline or diesel fuel, a clear reduce the peak power output of an ICE of a given
drawback. Hydrogen is also more costly per unit of size and also require bulky pressurized tanks that
energy than natural gas or ethanol, but it has the require a lot of physical volume relative to liquids.
potential advantage of being converted to tractive Converting an ICE to hydrogen does offer promise of
energy in a fuel cell vehicle more efficiently than elimination of hydrocarbon and carbon monoxide
these two fuels in spark ignited internal combustion emissions, but not nitrogen oxides. Further, the
engines. The high cost per unit of delivered hydrogen effective efficiency of the vehicle will decline due
is directly related to the fact that hydrogen is a gas largely to the power loss, which will require a larger
with a low amount of energy per unit volume. It and heavier powertrain. While projections indicate
would also be possible instead to use the natural gas that hydrogen powered ICEs could be advanced to
directly in vehicles rather than convert it to hydro- have considerably lower greenhouse gas emissions
gen. Credible sources obtain differing estimates of than present ICEs, it is also true that present ICEs
the relative total full fuel cycle energy and green- can also advance. At any level of technology, Ricardo
house gas emissions of future transportation tech- Consulting Engineers estimated in 2002 that hydro-
nologies. Depending on the source consulted and gen-fueled ICEs using hydrogen from natural gas will
time frame examined, one can find estimates that (1) cause higher greenhouse gas emissions than compar-
petro-diesel used in advanced hybridized conven- able technology petro-diesel vehicles. So according to
tional compression ignition engine vehicles, (2) Ricardo’s estimate, unless there is some unequivocal
natural gas used in advance hybridized spark ignited great long-term advantage to immediately starting to
engine vehicles, (3) hybridized hydrogen fuel cell convert to a natural gas derived hydrogen fuel
vehicles, or (4) electric vehicles will result in the least infrastructure, there is no clear reason to switch to
greenhouse gas emissions. Electric vehicles, however, hydrogen ICEs instead of petro-diesels. Ricardo
have limited driving range relative to the other three constructed estimates of two pathways to hydrogen,
types. This has proven to be a show-stopper for with the early introduction pathway taking advan-
electric vehicle experiments of the 1990s. tage of ICE engines converted to use hydrogen and
When one considers a half century or full century the late introduction pathway waiting until fuel cell
time frame, then the issue of adequacy of natural gas vehicles are ready for the market, estimated by
supply as a feedstock for hydrogen production leads Ricardo to be about 2020. Still, by Ricardo’s
some to argue that there is no sense in attempting estimates, very advanced hydrogen ICEs could
three transitions—first to methane and CNG, second compete with hydrogen fuel cell vehicles in terms
Transportation Fuel Alternatives for Highway Vehicles 217

of efficiency, so they may be worth examining on a is promoted by the estimated high efficiency of the
research basis since they may be considerably PEM FC using hydrogen stored on board the
cheaper than hydrogen fuel cell vehicles. vehicle.
It should be pointed out that technology exists and Thus, many think, with good reason, that the
has been demonstrated to produce gasoline and hydrogen-fueled PEM FC vehicle powertrain will be
diesel fuels from unconventional oils, from shale, and the prime mover and fuel combination for transpor-
from coal. However, use of these technologies in tation in the 21st century. To the extent that this
their demonstrated forms would increase greenhouse combination relies on natural gas feedstock, most
gas emissions and probably would cause other analysts estimate that it will extend the life of natural
environmental difficulties. One possible solution to gas resources relative to use of CNG in ICEs. As
this problem would be to sequester carbon dioxide previously noted, using wind, solar, geothermal,
produced when coal or other heavy fossil fuels are biomass, coal, or nuclear electric power to produce
converted to hydrogen. If this could be done at hydrogen would also be technically possible. Com-
reasonable cost and in an otherwise environmentally pared to use of CNG in ICEs, the hydrogen-fueled
acceptable manner with abundant coal, then coal PEM FC could significantly reduce urban emissions
might actually again provide significant quantities of of carbon monoxide, hydrocarbons, and nitrogen
transportation fuel. The effort to develop hydrogen oxides (the hydrogen ICE can also eliminate the
fuel cell vehicles is, in effect, a long-term effort to former two and probably sharply reduce the latter).
reduce urban motor vehicle emissions to inconse- Some see the hydrogen PEM FC as the zero-emission
quential amounts. Without environmental concerns vehicle that can succeed, now that electric vehicles
over ambient air pollution and greenhouse gases have failed to garner consumer support.
to drive this process, it is likely that reliance on Counterarguments against a switch to hydrogen
fossil fuels could and would continue perhaps essentially involve cost. Arguments that hydrogen is
through the entire 21st century. Given these con- excessively costly imply many decades of reliance on
cerns, energy sources such as nuclear, biomass, wind, the technologies and fuels discussed in the prior
hydro, and solar could provide original energy for section. High overall hydrogen transportation sys-
hydrogen production for transportation instead of tem cost is because of the shift to an entirely new
fossil fuels. powertrain type that presently appears inherently
It is quite likely that if the clean fuel of the future more costly than ICEs and a shift of fuel delivery
is hydrogen, it will bring with it an entirely new infrastructure, which is inherently more costly than
powertrain. Just as steam and coal were matched for refined petroleum products or natural gas. The
for the 19th century and petroleum and the ICE cost of the needed fuel infrastructure shift could be
for the 20th, the advocate of hydrogen will note avoided to some degree if the fuel feedstock to be
that hydrogen and the fuel cell will be matched used in all cases is natural gas, while the powertrain
for the 21st century. The fuel cell is the prime could be reduced in cost by using NG directly in a
mover (a generic term for the primary power source natural gas-fueled internal combustion engine. In
for a motor vehicle) for highway vehicles for this regard, CNG can be burned in either spark-
which pure hydrogen is clearly the ideal fuel from ignited engines for light-duty vehicles or in com-
a thermodynamic efficiency perspective. In parti- pression-ignited engines for heavy-duty vehicles. An
cular, at this time, a type of fuel cell called a extensive natural gas delivery infrastructure exists,
polymer electrolyte membrane (PEM) fuel cell is but it would be completely inadequate for the
the candidate of the future. It is possible to obtain significant use of natural gas in transportation as
a jump in peak efficiency with FCs relative to long as other users of natural gas continue to use it.
ICEs—especially SI ICEs—if hydrogen is the fuel. Thus, the cost issue would be the cost of new
FC powertrains using liquid fuels—methanol in natural gas infrastructure versus new hydrogen
particular—are also being developed, but such a infrastructure, unless a single infrastructure compa-
powertrain’s efficiency is not as high as for one tible with either natural gas or hydrogen could be
equipped with PEM cells fueled by hydrogen stored developed.
on board. This is because, in addition to the fuel Fischer-Tropsch diesel fuel produced from natural
cell, the methanol fuel cell vehicle requires a gas can be used in compression ignition engines,
reformer—a chemical processing device to convert which are presently dominant in the United States in
methanol to hydrogen and carbon dioxide. So the heavy-duty vehicles. It is, of course, suitable for light-
perceived need to evolve toward gaseous hydrogen duty diesels as well, which are common in Europe.
218 Transportation Fuel Alternatives for Highway Vehicles

Fischer-Tropsch diesel fuel is very clean with respect 4. CONCLUSION


to sulfur and tailpipe emissions, and in present
applications it is generally a premium-priced fuel Neat and near-neat alternative fuels and alternatively
stored in separate tanks from normal diesel. How- fueled vehicles contribute very little to the transpor-
ever, this is only necessary where emissions are tation services of the United States. Where there has
problematic. Otherwise, Fischer-Tropsch diesel can been a small degree of success, the states, localities,
be shipped and stored in the same equipment and businesses involved have generally chosen to
presently used for diesel fuel. According to most emphasize only one or two alternative fuels. LPG is
studies of light-duty vehicles, natural gas and Fischer- the largest neat alternative fuel in the market to date,
Tropsch diesel fuel pathways use more energy and but where cleaner natural gas or electric vehicles
cause greater greenhouse gas emissions than hydro- have been pursued, LPG seems to have been de-
gen in fuel cell vehicles. However, the differences are emphasized. Natural gas and ethanol fuels have a
not large, and the cost of hydrogen is presently tiny share of the market, but are still growing.
estimated to be considerably greater. A third Electric vehicles attained an even tinier share of the
nonhydrogen option is biomass-based ethanol (not market and appear now to have been an experiment
corn-based). This fuel could be burned in the many that will be abandoned.
E85 flex fuel vehicles being sold into the market. It One reason for abandoning electric vehicles is the
does require a separate infrastructure for delivery of promise that hydrogen fuel cell vehicles can also
the fuel. This option can actually reduce greenhouse provide zero tailpipe emissions with far more con-
gases by more than hydrogen fuel cell vehicles for sistent reductions in greenhouse gases and at a cost less
which the hydrogen is produced from natural gas. A than for electric vehicles, with considerably greater
comparison of a scenario heavily dependent on overall satisfaction to the consumer. Beyond this,
hydrogen and fuel cells versus one using the more many anticipate hydrogen to be the leading candidate
conventional technologies discussed in this para- fuel for light-duty vehicles for the 21st century.
graph was one evaluated in 2003 in a joint U.S. Nevertheless, for the next few decades the role of
Department of Energy and Canadian Energy Mines petroleum as the leading transportation fuel seems
and Resources study. secure. However, projections that this cannot continue
The results of that study indicated that it is quite for the entire century are now conventional wisdom.
possible to envision an evolutionary shift of fuels for One question to ask at this time is whether it is
ICE engines that would make use of a combination wise to abandon the alternative fuels experiments of
of CNG and Fischer-Tropsch diesel fuel from natural the 1990s and wait another decade or two until
gas feedstocks and ethanol from biomass. This hydrogen is technically (and, it is hoped, economic-
shift could well provide the same level of service as ally) demonstrated, or should ongoing trends be
if a single hydrogen with FC transition pathway reinforced, refined, and expanded via public policy
were pursued, provide greenhouse gas emissions as or corporate investment. Another is whether im-
low as for the hydrogen pathway, and use no more proved transportation energy efficiency—largely ig-
natural gas. The CNG would most likely be used nored in this discussion—should instead be the
predominantly in spark ignited ICE engines in urban primary goal for the next two decades.
areas with more severe air quality problems. As
such, it would be the clean gaseous fuel used where
air quality needs are greatest, instead of hydrogen.
E85 would also be used in spark-ignited ICE SEE ALSO THE
engines, in areas where air quality was less of a FOLLOWING ARTICLES
concern. Fischer-Tropsch diesel fuel would be used
in compression ignition engines in heavy-duty Biodiesel Fuels  Biomass for Renewable Energy and
vehicles. Fuels  Ethanol Fuel  Fuel Cell Vehicles  Fuel Cycle
The two drawbacks of this latter option, which Analysis of Conventional and Alternative Fuel
relies far more heavily on liquids than the hydrogen Vehicles  Fuel Economy Initiatives: International
transition, are (1) once natural gas was depleted, a Comparisons  Internal Combustion Engine Vehicles
transition to hydrogen and fuel cell vehicles would  Oil Sands and Heavy Oil  Oil Shale  Transporta-

probably still be necessary, and (2) there would be no tion and Energy, Overview  Transportation and
zero-emissions vehicles in the mix of vehicles Energy Policy  Vehicles and Their Powerplants:
available to deal with air quality problems. Energy Use and Efficiency
Transportation Fuel Alternatives for Highway Vehicles 219

Further Reading Natural Gas Vehicle Coalition (NGVC) (2002). Web site,
www.ngvc.org.
‘‘Alcohols and Alcohol Blends as Motor Fuels’’ (1986). Interna- Owen, N., and Gordon, R. (2002). ‘‘Carbon to Hydrogen:
tional Energy Agency Report (Energy Information no. 580) Roadmaps for Passenger Cars: A Study for the Department
prepared by the Swedish Motor Fuel Technology Co. (SDAB),
for Transport and Department of Trade and Industry,’’
Stockholm.
‘‘Alternative Fuels’’ (2000). U.S. Energy Information Agency Web RCEF.0124.31.9901. Ricardo Consulting Engineers Ltd. De-
site, www.eia.doe.gov. partment of Transport, United Kingdom. November 8.
Alternative Fuels Data Center. U.S. Department of Energy Website, Plotkin, S., Patterson, P., and Singh, M. (2003). ‘‘Overview of the
www.afdc.nrel.gov. 2050 Study.’’ Presentation at the 82nd Annual Meeting of the
Bechtold, R. (1997). ‘‘Alternative Fuels Guidebook: Properties, Transportation Research Board. Session 687. Transportation
Storage, Dispensing and Vehicle Facility Modifications.’’ Energy Use in the Long Term, Part 1—Insights from Long-
Society of Automotive Engineers, Warrendale, PA.
Range Studies. Argonne National Laboratory, January 15,
Electric Drive Transportation Association of America. (EDTA)
Washington, DC.
Web site, http://capwiz.com/evaa/index.htm.
Wang, M. Q., Saricks, C. L., and Wu, M. (1999). Fuel Ethanol
Franklin, P. M., et al. (2000). Clearing the air: Using scientific
information to regulate reformulated fuels. Environmental Produced from U.S. Midwest Corn: Help or Hindrance to
Science and Technology 34(18), 3857–3863. the Vision of Kyoto? J. Air Waste Management Assn. 49,
‘‘Fuel Economy Guide’’ (2002). U.S. EPA Web site, www.fueleco- 756–772.
nomy.gov. Weiss, et al. (2000). ‘‘On the Road in 2020: A Life-Cycle Analysis
General Motors Corp., et al. (2001). ‘‘Well-to-Wheel Energy Use of New Automobile Technologies’’ MIT Energy Laboratory
and Greenhouse Gas Emissions of Advanced Fuel/Vehicle Report No. MIT EL 00-003, Energy Laboratory, Massachusetts
Systems—North American Analysis, Executive Summary Re-
Institute of Technology, Cambridge, MA, October.
port.’’ In 2003, available electronically at Argonne National
‘‘World-Wide Fuel Charter.’’ (2002). European Automobile
Laboratory’s Transportation Technology Research and Devel-
Manufacturers Association, Brussels; Alliance of Automobile
opment Center Web site, www.transportation.anl.gov.
Graham, R., et al. (2001). ‘‘Comparing the Benefits and Impacts of Manufacturers, Washington, DC; Engine Manufacturers Asso-
Hybrid Electric Vehicle Options.’’ Final Report, July 2000, ciation, Chicago; Japan Automobile Manufacturers Associa-
Electric Power Research Institute, Palo Alto, CA. tion, Tokyo; December.
Turbines, Gas
LEE S. LANGSTON
University of Connecticut
Storrs, Connecticut, United States

(usually combusted fuel) is added in a combustor


1. Introduction between the two rotating components to heat the gas
2. Gas Turbine Applications flow and power the turbine. Gas turbines are used to
3. Gas Turbine Cycles produce either thrust power (e.g., an aircraft jet
4. Gas Turbine Components engine) or shaft power (e.g., to turn an electric
5. Gas Turbine Usage generator). The thermal efficiency and power output
of a gas turbine are dependent on the compressor
pressure ratio and on the gas flow temperature at the
inlet to the turbine. Gas turbines range in size from
Glossary hand-held units to whale-size units, weighing from a
Aeroderivative An aviation propulsion gas turbine (jet few kilograms to 300,000 kg, and producing power
engine) used in a nonaviation application (e.g., an electric from tens of kilowatts up to 250 MW.
power plant) to provide shaft power.
Brayton Cycle Ideal gas cycle that is approximated by a
gas turbine simple cycle.
Cogeneration A gas turbine operating to produce shaft
power and to supply heat from its exhaust for some
1. INTRODUCTION
useful purpose.
Combined-Cycle Power Plant The combination of a gas In the broad sense, a turbine is any kind of spinning
turbine power plant and a steam turbine power plant. device that uses the action of a fluid to produce work
The gas turbine exhaust energy is used as heat input to or power (work per unit time). Typical fluids are air,
generate steam. water, steam, gaseous combustion products, and
Gas Generator The compressor, combustor, and turbine helium. Windmill turbines, water turbines in hydro-
components of a gas turbine. electric dams, and steam turbines have been used for
Isentropic A process that is reversible and adiabatic; decades to turn electrical generators to produce
having constant entropy. electrical power for both industrial and residential
Jet Engine An aviation gas turbine used for aircraft
consumption. Simple turbines date back centuries,
propulsion thrust power.
with the first known appearance in ancient Greece
Rankine Cycle Ideal gas cycle that is approximated by a
simple steam turbine power plant cycle. (Hero’s turbine).
Thermal Efficiency Useful output power divided by costly In the history of energy conversion, the gas turbine
input energy rate, expressed as a percentage. is a relatively new energy converter, or prime mover.
Working Fluid In the case of gas turbine, the gas (usually The first practical gas turbine used to generate
air) that flows through the machine to produce work or electricity ran at Neuchatel, Switzerland, in 1939
power. and was developed by the Brown Boveri firm. The
first gas turbine-powered airplane flight also took
The first jet engine-powered aircraft flight and the place in 1939 in Germany using the gas turbine
first electric power produced by a land-based gas developed by Hans P. von Ohain. In England in the
turbine both occurred in 1939, making the gas 1930s, the invention and development of the aircraft
turbine one of the youngest energy conversion gas turbine by Frank Whittle resulted in a similar
devices. A gas turbine consists of a rotating assembly British flight in 1941.
of a compressor to draw in a gas (usually air) and a Table I presents a list of energy converters and the
turbine to extract power from the gas flow. Energy year in which a first working device was successfully

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 221
222 Turbines, Gas

run. The gas turbine is by far the ‘‘youngest’’ of the Because the 1939 origin of the gas turbine lies
energy converters listed. Note that the common both in the electric power field and in aviation, there
automotive gasoline engine (Otto engine) has been has been a profusion of ‘‘other names’’ for the gas
around a long time (1876), as has the fuel cell (1839). turbine. For land and marine applications, it is
The name ‘‘gas turbine’’ is somewhat misleading, generally called a gas turbine, but also a combus-
for it implies a simple turbine that uses gas as a work- tion turbine, a turboshaft engine, and sometimes a
ing fluid. Actually, a gas turbine (as shown schema- gas turbine engine. For aviation applications, it is
tically in Fig. 1) has a compressor to draw in and usually called a jet engine, and various other names
compress gas (usually air), a combustor (or burner) to (depending on the particular aviation configura-
add combusted fuel to heat the compressed gas, and tion, or application), such as jet turbine engine,
a turbine (or expander) to extract power from the turbojet, turbofan, fanjet, and turboprop or prop
hot gas flow. The gas turbine is an internal combus- jet (if it is used to drive a propeller) are also
tion (IC) engine employing a continuous combustion sometimes used. The compressor–combustor–turbine
process, as distinct from the intermittent combustion part of the gas turbine (Fig. 1) is commonly termed
occurring in a Diesel or Otto cycle IC engine. the gas generator.

TABLE I
History of Energy Converters
2. GAS TURBINE APPLICATIONS

Energy converters Date of first working device In an aircraft gas turbine, all of the turbine power is
used to drive the compressor (which may also have
Steam engine 1769
an associated fan or propeller). The gas flow leaving
Fuel cell 1839
the turbine is then accelerated to the atmosphere in
Otto engine 1876
an exhaust nozzle (Fig. 1A) to provide thrust or
Steam turbine 1884
propulsion power. Gas turbine or jet engine thrust
Diesel engine 1897
power is the mass flow momentum increase from
Gas turbine 1939
engine inlet to exit, multiplied by the flight velocity.

A
2 Combustor 3

Fuel

Thrust
power
Compressor Shaft Turbine Nozzle
Exhaust
1 4
Inlet 3'

B
2 Combustor 3

Fuel

Exhaust 4
Shaft
power
Compressor Shaft Turbine Power
turbine

1 3'
Inlet

FIGURE 1 Schematic for (A) an aircraft jet engine and (B) a land-based gas turbine.
Turbines, Gas 223

A typical jet engine is shown in Fig. 2. Such mostly for electric power generation. It is constructed
engines can range from approximately 100 lbs of for heavy duty, ruggedness, and long life, where
thrust (445 N) to as high as 100,000 lbs of thrust weight is not a major factor as it is with a jet engine.
(445,000 N), with dry weights ranging from approxi- Typically, frame machines are designed conservatively
mately 30 lbs (134 N) to 20,000 lbs (89,000 N). The and have made use of jet engine technical advances
jet engine shown in Fig. 2 is a turbofan engine, with a when it has made sense to do so.
larger diameter compressor-mounted fan. Thrust is Lighter-weight gas turbines derived from jet
generated both by air passing through the fan (bypass engines (such as in Fig. 2) and used for nonaviation
air) and by air passing through the gas generator applications are called aeroderivative gas turbines.
itself. With a large frontal area, the turbofan Aeroderivatives are used to drive natural gas pipeline
generates peak thrust at low (takeoff) speeds, making compressors, to power ships, and to produce electric
it most suitable for commercial aircraft. A turbojet power. They are particularly used to provide peaking
does not have a fan and generates all of its thrust and intermediate power for electric utility applica-
from air that passes through the gas generator. tions. [Peaking power supplements a utility’s normal
Turbojets have smaller frontal areas and generate electric power output during high-demand periods
peak thrusts at high speeds, making them most (e.g. summer air conditioning in major cities).]
suitable for fighter aircraft. Some of the principle advantages of the gas
In nonaviation gas turbines, part of the turbine turbine are as follows:
power is used to drive the compressor. The remainder,
the ‘‘useful power,’’ is used as output shaft power to (1) It is capable of producing large amounts of
turn an energy conversion device (Fig. 1B), such as an useful power for a relatively small size and weight.
electrical generator or a ship’s propeller. As shown in (2) Since motion of all its major components
Fig. 3, shaft power land-based gas turbines can involves pure rotation (i.e., no reciprocating motion
become very large (as high as 240 MW). The unit in as in a piston engine), its mechanical life is long and
Fig. 3 is called an industrial or frame machine, used the corresponding maintenance cost is relatively low.

FIGURE 2 A modern jet engine used to power Boeing 777 aircraft. This is a Pratt and Whitney PW4084 turbofan, which
can produce 84,000 lbs (374 kN) of thrust (B63 MW at 168 m/s). It has a front-mounted fan of 112 in. (2.85 m) in diameter, a
flange-to-flange length of 192 in. (4.87 m), and a mass of B15,000 lbs (6804 kg).
224 Turbines, Gas

FIGURE 3 A modern land-based gas turbine used for electrical power production and for mechanical drives. This is a
General Electric MS7001FA frame machine with a length of B61 ft (18.6 m) and a mass of B377,000 pounds (171,000 kg). It
produces shaft power of 159 MW (213,140 hp) at 3600 rpm.

(During its early development, the deceiving simpli- more fuel-efficient gas turbines are in the planning
city of the gas turbine caused problems, until aspects stages, with simple-cycle efficiencies predicted as
of its fluid mechanics, heat transfer, and combustion high as 45–47% and combined-cycle machines in the
were better understood.) 460% range. These projected values are signifi-
(3) Although the gas turbine must be started by cantly higher than those for other prime movers,
some external means (a small external motor or such as steam power plants.
other source, such as another gas turbine), it can be
brought up to full-load (peak output) conditions in
minutes, as contrasted to a steam turbine plant, 3. GAS TURBINE CYCLES
whose startup time is measured in hours.
(4) A wide variety of fuels can be utilized. Natural The ideal gas Brayton cycle (1876, and also proposed
gas is commonly used in land-based gas turbines, by Joule in 1851), shown in graphic form in Fig. 4A
whereas light distillate (kerosene-like) oils power as a pressure–volume diagram, is an idealized
ship and aircraft gas turbines. Diesel oil or specially representation of the properties of a fixed mass of
treated residual oils can also be used, as can gas (working fluid) as it passes through a gas turbine
combustible gases derived from blast furnaces, in operation (Fig. 4B).
refineries, land fills, sewage, and the gasification of A unit mass of ideal gas (e.g., air) is compressed
solid fuels such as coal, wood chips, and bagasse. isentropically from point 1 to point 2. This represents
(5) The usual working fluid is atmospheric air. As the effects of an ideal adiabatic (isentropic) compres-
a basic power supply, the gas turbine requires no sor (Figs. 1 and 4B) and any isentropic gas flow
coolant (e.g., water). deceleration for the case of an aviation gas turbine in
flight (Fig. 1A). The ideal work necessary to cause the
In the early days of its development, one of the compression is represented by the area between the
major disadvantages of the gas turbine was its lower pressure axis and the isentropic curve 1–2.
efficiency (hence higher fuel usage) when compared The unit gas mass is then heated at constant
to other IC engines and to steam turbine power pressure from 2 to 3 in Fig. 4 by the exchange of heat
plants. However, during the past 50 years, contin- input, Q23. This isobaric process is the idealized
uous engineering development work has pushed the representation of heat addition caused by the
thermal efficiency (18% for the 1939 Neuchatel gas combustion of injected fuel into the combustor in
turbine) to approximately 40% for simple-cycle Figs. 1A, 1B, and 4B. The mass flow rate of the fuel is
operations and up to 60% for combined-cycle opera- very much lower than that of the working fluid
tions (i.e., when combined with a heat-recovery (approximately 1:50), so the combustion products
steam-generation unit and a steam turbine). Even can be neglected as a first approximation.
Turbines, Gas 225

The unit gas mass is then isentropically expanded heat Q41 is rejected. Most gas turbines operate in an
(lower pressure and temperature and higher volume) open cycle mode, in which, for instance, air is taken
from 3 to 4 in Fig. 4, where P4 ¼ P1. In Fig. 4B, this in from the atmosphere (point 1 in Figs. 1 and 4) and
represents flow through the turbine (to point 30 ) and discharged back into the atmosphere (point 4), with
then flow through the exit nozzle in the case of the jet exiting working fluid mixing to reject Q41. In a
engine (Fig. 1A) or flow through the power turbine in closed-cycle gas turbine facility, the working fluid is
Fig. 1B (point 4). In Fig. 4, the area between the continuously recycled by ducting the exit flow (point
pressure axis and the isentropic curve 3–30 represents 4) through a heat exchanger (shown schematically in
the ideal work, W330 , derived from the turbine. This Fig. 5) to reject heat Q41 at (ideally) constant
work must be equal to the ideal compressor work pressure and back to the compressor inlet (point 1).
W12 (the area bounded by curve 1–2). The ideal Because of its confined, fixed-mass working fluid,
‘‘useful work,’’ W30 4, in Fig. 4 (the area bounded by the closed-cycle gas turbine is not an internal
the isentropic curve 30 –4) is that which is available to combustion engine. The combustor (shown in
cause output shaft power (Figs. 1B and 4B) or thrust Fig. 1) is replaced with an input heat exchanger,
power (Fig. 1A). supplied by an external source of heat. Closed-cycle
The Brayton cycle is completed in Fig. 4 by a designs were developed in the 1960s for providing
constant pressure process in which the volume of the power to space satellites on deep space missions,
unit gas mass is decreased (temperature decrease) as using a radioisotope heat source to heat helium gas

Heat added
through combustion
Q23
2 3
Output work to
run compressor
W33'
W12
Pressure

Pressure is increased
through compressor
as volume is reduced
3' Useful work
W3'4 available for
shaft power
or thrust

Start 1 Q41 4
Exhaust
heat
0 Volume of air

B 2 3
Combustor

Fuel
4
Exhaust
Shaft
power
Compressor Turbine Power
turbine

3'
1 Inlet

FIGURE 4 (A) Brayton cycle pressure-volume diagram for a unit mass of working fluid (e.g., air), showing work (W) and
heat (Q) inputs and outputs. (B) Gas turbine schematic showing relative points from the diagram for the Brayton cycle.
226 Turbines, Gas

Heat
2 exchanger 3

Shaft
power
Compressor Shaft Turbine Power
turbine

1 3' 4
Inlet Exhaust

Heat
exchanger
to cool
exhaust gases

FIGURE 5 Closed-cycle system. Heat exchangers interact with external heat reservoirs.

as the gas turbine working fluid and a space radiator values for ZT, ZC, r, and T3. For modern gas turbines,
for cycle heat rejection. Development work to use a ZT can be as high as 0.92–0.94 and ZC can reach 0.88.
nuclear reactor (e.g., a pebble bed reactor) to heat A gas turbine that is configured and operated to
helium gas in a closed-cycle gas turbine to be used for closely follow the ideal Brayton cycle (Figs. 4 and 5)
electric utility power generation in the 100 MW is called a simple-cycle gas turbine. Most aircraft gas
range is in progress. turbines operate in a simple-cycle configuration since
The ideal Brayton cycle thermal efficiency, ZB, can attention must be paid to engine weight and frontal
be shown to be area. However, in land or marine applications,
T4 1 additional equipment can be added to the simple-
ZB ¼ 1  ¼ 1  ðk1Þ=k ; ð1Þ cycle gas turbine, leading to increases in thermal
T3 r
efficiency and/or the net work output of a unit. Three
where the absolute temperatures T3 and T4 corre- such modifications are regeneration, intercooling,
spond to points 3 and 4 in Fig. 4, k ¼ cp/cv is the ratio and reheating.
of specific heats for the ideal gas, and r is the Regeneration involves the installation of a heat
compressor pressure ratio, exchanger (shown in Fig. 6A) through which the
P2 turbine exhaust gases (point 4 in Fig. 6A) pass. The
r¼ : ð2Þ compressor exit flow (point 2 in Fig. 6A) is then
P1
heated in the exhaust gas heat exchanger (regen-
Thus, the Brayton-cycle thermal efficiency increases erator, and also called a recuperator) before the flow
with both the turbine inlet temperature, T3, and enters the combustor. If the regenerator is well
compressor pressure ratio, r. Modern gas turbines designed—that is, if the heat exchanger effectiveness
have pressure ratios as high as 30:1 and turbine inlet is high and the pressure drops are small—the cycle
temperatures approaching 30001F (16491C). efficiency will be increased over the simple-cycle
The effect of real (nonisotropic) compressor and value. However, its relatively high cost must also be
turbine performance can be easily seen in the taken into account. Regenerated gas turbines can
expression for the net useful work Wnet ¼ W30 4 increase efficiency by 5–6 percentage points and are
 
1 even more beneficial for part-load operation.
Wnet ¼ ZT cp T3 1  ðk1Þ=k Intercooling also involves the use of a heat
r
exchanger. An intercooler, as shown in Fig. 6B, is a
cp T1 ðk1Þ=k
 ½r  1; ð3Þ heat exchanger that cools compressor gas during the
ZC compression process. For instance, if the compressor
where cp is the specific heat at constant pressure, and consists of a high-pressure unit and a low-pressure
ZT and ZC are the thermal (adiabatic) efficiencies of unit, the intercooler can be mounted between them
the turbine and compressor, respectively. This expres- (Fig. 6B) to cool the flow and decrease the work
sion shows that for large Wnet one must have high necessary for compression in the high-pressure
Turbines, Gas 227

Exhaust
A

Heat
exchanger
(Regenerator)

2 Combustor 3

Fuel 4

Shaft
power

Compressor Turbine Power


turbine

1 3'
Inlet

B
Coolant
(air, sea Combustor
water, etc.) 2 3
Intercooler
Fuel
Exhaust 4

Shaft
LP HP HP LP power
Power
Compressor Compressor Turbine Turbine turbine
Twin spool shaft
3'
1 Inlet

C
Combustor Combustor
2 3

Fuel Fuel
4
Exhaust
Shaft
LP HP HP power
Compressor LP Power
Compressor Turbine Turbine
Twin spool shaft turbine

1 Inlet 3'

FIGURE 6 Modifications available for the simple Brayton cycle.

compressor. The cooling fluid could be atmospheric plished by adding an afterburner at the turbine
air or water (e.g., sea water in the case of a marine exhaust, thereby increasing thrust, with a greatly
gas turbine). The net work output of a given gas increased fuel consumption rate.
turbine is increased with a well-designed intercooler. A combined-cycle gas turbine (CCGT) power
Studies of gas turbines equipped with extensive plant, shown schematically in Fig. 7, is essentially
turbine convective and film cooling show that an electrical power plant in which a gas turbine
intercooling can also allow increases in thermal provides useful work (WB) to drive an electrical
efficiency by providing cooling fluid at lower generator. The gas turbine exhaust energy (QBR) is
temperatures, thereby allowing increased turbine then used to produce steam in a heat exchanger
inlet temperatures [T3 in Eq. (1)]. (called a heat recovery steam generator) to supply a
Reheating, as shown in Fig. 6C, occurs in the steam turbine whose useful work output (WR)
turbine and increases turbine work without changing provides the means to generate more electricity. [If
compressor work or exceeding the material tempera- the steam is used for heat (e.g., heating buildings),
ture limits in the turbine. If a gas turbine has a high- the unit would be called a cogeneration plant.] Figure
pressure turbine and a low-pressure turbine, a 7 is a simplified thermodynamic representation of a
reheater (as shown in Fig. 6C, usually another CCGT and shows it to be two heat engines (Brayton
combustor) can be used to ‘‘reheat’’ the flow between and Rankine) coupled in series. The ‘‘upper’’ engine
the two turbines. Reheat in a jet engine is accom- is the gas turbine (represented as a Brayton-cycle heat
228 Turbines, Gas

Eq. (4) does not account for efficiencies associated


with transferring QBR (duct losses, irreversibilities
Q In Air intake due to heat transfer, etc.). Actual efficiency values as
high as 52 to 57% have been attained with CCGT
units during the past few years, thus coming close to
values given by Eq. (4).
Gas
turbine WB
ηB
4. GAS TURBINE COMPONENTS

Q BR Hot exhaust A greater understanding of the gas turbine and its


operation can be gained by considering its three
Combined cycle
major components (Figs. 1, 2, and 3): the compres-
efficiency Heat exchanger sor, the combustor, and the turbine. The features and
ηCC characteristics of these components are briefly
examined here.
Steam

4.1 Compressors and Turbines


Steam The turbine and compressor components are mated by
WR
turbine a shaft, since the former powers the latter. A single-
ηR
shaft gas turbine has but one shaft connecting the
compressor and turbine components. A twin-spool gas
turbine has two concentric shafts, a longer one
Q Out connecting a low-pressure compressor to a low-
pressure turbine (the low spool), which rotates inside
a shorter, larger-diameter shaft (e.g., see Figs. 6B and
FIGURE 7 Schematic of a combined-cycle gas turbine plant. 6C). The latter connects the high-pressure turbine with
Overall efficiency (Zcc) is a combination of the efficiency of the the higher pressure compressor (the high spool), which
Brayton gas turbine cycle (ZB) and the Rankine steam turbine cycle rotates at higher speeds than the low spool. A triple-
(ZR). Total combined-cycle efficiency Zcc ¼ ZB þ ZRZBZR. spool engine would have a third, intermediate-pressure
compressor-turbine spool.
Gas turbine compressors can be centrifugal, axial,
engine), whose energy input is QIn. It rejects heat or a combination of both. Centrifugal compressors
(QBR) as the input energy to the ‘‘lower’’ engine (the (radial outflow) are robust, generally cost less, and are
steam turbine, represented as a Rankine-cycle heat limited to pressure ratio of 6 or 7 to 1. They are found
engine). The Rankine heat engine then rejects in early gas turbines or in modern, smaller gas turbines.
unavailable energy (heat) as QOut by means of a The more efficient, higher capacity axial flow
steam condenser. The combined thermal efficiency compressor is used on most gas turbines (e.g., Figs. 2
(ZCC) can be derived fairly simply and is given as and 3). An axial compressor is made up of a number
ZCC ¼ ZB þ ZR  ZB ZR ; ð4Þ of stages, with each stage consisting of a row of
rotating blades (airfoils) and a row of stationary
where ZB ¼ WB/QIn and ZR ¼WR/QBR are the ther- blades (called stators) configured so the gas flow is
mal efficiencies of the Brayton and Rankine cycles, compressed (adverse or unfavorable pressure gradi-
respectively. Taking ZB ¼ 40% (a good value for ent) as it passes through each stage. It has been said
modern gas turbines) and ZR ¼ 30% (a reasonable that compressor operation can founder on a meta-
value under typical CCGT conditions), the sum phoric rock, and that rock is called stall. Care must
minus the product in Eq. (4) yields ZCC ¼ 58%, a be taken in compressor operation and design to
value of combined-cycle efficiency greater than either avoid the conditions that lead to blade stall, or flow
of the individual efficiencies. separation. The collective behavior of blade separa-
This remarkable equation gives insight into why tion can lead to compressor stall or surge, which
CCGTs are so efficient. The calculated value of ZCC manifests itself as an instability of gas flow through
represents an upper bound on an actual CCGT, since the entire gas turbine.
Turbines, Gas 229

Turbines are generally easier to design and operate new ‘‘lean premixed’’ combustion systems designed
than compressors, since the flow is expanding in an to meet lower NOx emission regulations. System
overall favorable pressure gradient. Axial flow pressure oscillations brought about by combustion
turbines (Figs. 2 and 3) will require fewer stages mechanisms that not yet fully understood have been
than an axial compressor for the same pressure given descriptive names ranging from humming to
change magnitude. There are some smaller gas hooting, screech, chub, buzz, and rumble. Manufac-
turbines that utilize centrifugal turbines (radial turers have taken a number of paths to deal with this
inflow) but most utilize axial turbines (e.g., Figs. 2 problem (which, if left unattended, can shake a
and 3). machine apart), such as the use of catalysis,
Turbine design and manufacture are complicated resonators, fuel schedule timing, active controls, or
by the need to ensure turbine component life in the simple cutting back on power output levels.
hot gas flow. The problem of ensuring durability is
especially critical in the first turbine stage, where
temperatures are highest. Special materials and 5. GAS TURBINE USAGE
elaborate cooling schemes must be used to allow
metal alloy turbine airfoils that melt at 1800 to Although they are used in an ever-increasing variety
19001F (982 to 1038oC) to survive in gas flows with of applications, gas turbines are used extensively in
temperatures as high as T3 ¼ 30001F (16491C). two areas: aviation and electric power generation.
It is difficult to remember a time when the aviation
gas turbine—the jet engine—was not part of aviation.
4.2 Combustors
Before jet engines, an aviation piston engine manu-
High-pressure air leaves the compressor (Figs. 1, 2, facturer could expect to sell 20–30 times the original
and 3) and enters the gas turbine combustor, where, cost of piston engines, in aftermarket parts. With the
in a very short space and at high flow rates, heat is advent of the jet engine, this aftermarket value
added to it by the combustion of fuel (gas or liquid). dropped to 3–5 times the original cost (an important
Modern gas turbine combustors are of three types: reduction that made air travel affordable and reliable,
cans (individual cylindrical chambers arranged cir- and airlines profitable). Technology and airline/
cumferentially), annular (consisting of a cylindrical military demands made on jet engine manufacturers
single inner and single outer shroud), and can– have resulted in even longer lasting engine compo-
annular (a fusion of the can and annular geometrics). nents, dropping the aftermarket value even lower.
Because of the high temperatures in the combustors, A well-managed airline will regularly try to keep a
combustor parts are regularly inspected and will jet-powered plane in the air as much as 18 h per day,
require repair and/or replacement during the lifetime 365 days a year, to produce revenue. The airline
of the gas turbine. expects the engines, if well-maintained, to remain in
Compared to some other energy converters [such service and on the wing for up to 15,000–20,000 h of
as the Diesel or Otto (gasoline) engines listed in Table operation, depending on the number of takeoffs and
I], gas turbines produce very low levels of combustion landings experienced by the plane. After this period
pollution, such as unburned fuel, carbon monoxide, (or time between overhauls), the jet engine will be
oxides of nitrogen (NOx), and smoke. New electric taken off of the wing and overhauled and usually
power plants using gas turbines drastically reduce area hot-section (combustor and turbine) parts will be
pollution when they replace older steam- or diesel- replaced as needed. (An experienced air traveler can
powered plants. For instance, due to new strict generally believe the numbers presented here, by
environmental restrictions being placed on Alaskan reflecting how few (if any) times he or she has
cruise vessels, new cruise ships are installing gas experienced an in-flight shutdown of a jet engine
turbines, as the only means available to comply with while flying.)
the emission levels that have been put in place. The life of electric power gas turbines are much
Gas turbine combustion systems must have very longer that those of their aviation counterparts,
low pressure losses and be carefully designed to because they run at constant speeds and are not
provide a stable flow, free of pressure pulsations and usually subjected to the wide range of power settings
characterized by uniform exit temperatures (flow experienced by jet engines. Modern power plant
‘‘hot spots’’ can damage turbine gas path parts, such operators expect trouble-free units to run as long as
as stationary vanes). New electric power gas turbines 30,000–50,000 h, depending on load conditions,
have experienced serious pressure oscillations with maintenance procedures, and the level of turbine
230 Turbines, Gas

inlet temperatures. Overhauls usually involve repla- pulsion, natural gas pipeline compression) is ap-
cement or refurbishment of hot-section parts in the proximately equal to that for aviation thrust power
combustor and turbine sections. Normally, these will applications.
take place approximately three or more times during
the life of a gas turbine unit.
In summary, the power spectrum of the gas SEE ALSO THE
turbine units produced is larger than that of most
other prime movers, spanning a range that varies by
FOLLOWING ARTICLES
a factor of 10,000. New microturbines [weighing
Aircraft and Energy Use Life Cycle Analysis of
little more than 100 pounds (45 kg)] are being
Power Generation Systems Turbines, Steam
produced in the range of B25 kW to provide
electrical power and heat for fast-food restaurants.
Base-load electric power gas turbines as large as 250 Further Reading
MW [weighing as much as 330 tons (300,000 kg)] Bathie, W. W. (1996). ‘‘Fundamentals of Gas Turbines.’’ 2nd Ed.
are being installed to drive electric generators and to Wiley, New York.
supply heat for steam turbines in combined-cycle Cohen, H., Rogers, G. F. C., and Saravanamuttoo, H. I. H. (1987).
operations, with resultant thermal efficiencies ap- ‘‘Gas Turbine Theory.’’ 3rd ed. Longman Scientific and
proaching 60%. In an evolving role as the engineer’s Technical, Essex, England.
Horlock, J. H. (1993). ‘‘Combined Power Plants.’’ Pergamon,
most versatile energy converter, gas turbines produce Oxford, England.
thrust power [as much as 120,000 pounds thrust Huang, F. F. (1988). ‘‘Engineering Thermodynamics.’’ 2nd ed.
(534,000 N) for the largest commercial jet engines] Macmillan, New York.
to propel most of the world’s military and commer- Kerrebrock, J. L. (1980). ‘‘Aircraft Engines and Gas Turbines.’’
MIT Press, Cambridge, MA.
cial aircraft. In closing, it can be noted that at the
Transactions of the ASME, published quarterly by the American
time this article is being written, the annual Society of Mechanical Engineers, New York. Two ASME gas
worldwide value of production of gas turbines for turbine journals are Journal of Turbomachinery and Journal of
shaft power applications (electric power, ship pro- Engineering for Gas Turbines and Power.
Turbines, Steam
ENRICO SCIUBBA
University of Roma 1 ‘‘La Sapienza’’
Rome, Italy

similarity The property of two ‘‘objects’’ (physical dimen-


1. Some Basic Concepts sions, components, or flow patterns) that have the same
ratio of a certain number of homologous characteristic
2. Energy Transfer in a Turbine
features.
3. Outline of a General Procedure for Preliminary Steam solidity (r) At a certain radius, the ratio of the blade chord
Turbine Design to the interblade spacing.
4. Off-Design Considerations specific diameter (ds) A dimensionless group linking one
5. Conclusions characteristic dimension, volumetric flow rate, and
stage enthalpy drop.
specific speed (ns) A dimensionless group linking angular
velocity, volumetric flow rate, and stage enthalpy
Glossary drop.
supercritical A steam turbine in which the feed steam is
back-pressure turbine A steam turbine that discharges above the critical conditions.
the steam (usually at p41 bar) into a pressurized swirl The tangential component of the absolute or relative
system. velocity.
condensing turbine A steam turbine at whose exit the
steam is condensed in an air- or water-cooled condenser;
the pressure in the condenser (and at the turbine exit) is
usually less than 1 bar. Turbines are machines that convert the energy
degree of reaction (Rq) Ratio of the static enthalpy drop in carried by a continuous flow of fluid into mechanical
the rotor to the total enthalpy drop in the stage. shaft rotational power. Their essential feature is that
dimensional analysis A mathematical theory that derives they do not contain parts in alternating motion;
dimensionless groups by proper combination of dimen- therefore, the flow of both mass and energy through
sional parameters, with the goal of extracting from them, except for secondary transitory phenomena,
these groups further and more general physical in-
may be considered steady. This is in contrast to
formation.
piston-based machinery, where the energy exchange
extraction turbine A steam turbine in which a portion
of the working fluid is tapped between stages and is fundamentally linked to the alternating motion of
used for purposes other than generating mechanical the piston. Traditionally, and in spite of the fact that
power. the basic physics of the energy exchange is not much
flow coefficient (u) Ratio of the local average meridional different, hydraulic turbines, where the working fluid
absolute velocity component to the local peripheral is incompressible, are treated separately from gas and
velocity. steam turbines, where compressibility phenomena
head coefficient (w) Ratio of the local average tangential play a major role in the fluid/machine coupling. In
absolute velocity component to the local peripheral compressible flow turbines, it makes little difference,
velocity. from a theoretical point of view, whether the
impulse stage A stage with zero degrees of reaction.
working fluid is a ‘‘gas’’ that follows an ideal gas
isentropic A thermodynamic transformation in which
the initial and final points have the same specific
law or a ‘‘steam’’ described by one of the variants of
entropy. van der Waals’s equation of state. Physically, the only
reaction stage A stage with a degree of reaction larger than difference is that gases are farther away from their
zero. two-phase region, so that the variation of their
secondary flows Conventionally defined as all fluid mo- specific heat with temperature is less complicated.
tions extraneous to the ideal ‘‘mean’’ flow path. But in practice, there are enough differences in the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 231
232 Turbines, Steam

design procedures to grant separate treatment of gas rotational momentum. At rotor exit (station 2), the
and steam turbines. steam is at a lower pressure and energy level than at
station 0 and is discharged through the outlet scroll
or diffuser channel. Station ‘‘out’’ is the outlet section
of the stage. The purpose of the inlet channel is to
1. SOME BASIC CONCEPTS guide the flow from the turbine inlet port to the
statoric vanes with the minimum possible loss in
1.1 The Flow through a Turbine total pressure. If the first stage after the admission
Figure 1 shows a schematic cross section of an axial throttle is axial, the inlet is usually shaped as a
(Fig. 1A) stage and a radial stage (Fig. 1B) of a pseudo-conical transition piece between the inlet
modern steam turbine. High-pressure steam enters duct and the (larger in diameter) stator. In this case,
the machine at station ‘‘in’’ (throttle valve exit no flow deviation is imposed and only a modest
section), passes through the inlet channel, and acceleration is attained. For intermediate axial
reaches the stator inlet (station ‘‘0’’). The stator stages, the inlet is missing and the flow from the exit
accelerates the flow by expanding it by a fraction of the previous stage flows directly onto the stator of
bst (1Zbst40) of the total stage pressure drop and the following stage. Radial turbines can be centripe-
introduces a tangential velocity component (inlet tal (flow inward) or centrifugal (flow outward).
swirl). The steam jets exiting the stator (station ‘‘1’’) Because the only significant centrifugal application
impinge on the rotoric blades that deviate the flow so is the Ljüngstrm turbine, shown in Fig. 2 and
as to decrease this inlet swirl and, thus, absorb discussed at the end of this section, ‘‘radial turbine’’

A
1 2 3 α1

Tip C1
Cα1
Annulus
area A N R
Cw 2
Root
U
Nozzle blades V2 Cα 2
α2 β2
C2
rr 3 rt3
Cw3
U
Rotor blades
Cα 3 C3 β3
V3
α3

FD

FIGURE 1 (A) Axial turbine stage. (B) Radial turbine stage. Notice the two-stage rotor (R1 and R2) and the flow deviator
(FD).
Turbines, Steam 233

A Exhaust to B
condenser

Incoming steam
Concentric
labyrinth rings (to
reduce leakage)

FIGURE 2 The Ljüngstrm radial turbine. (A) Meridional section through turbine. (B) Blading arrangement and directions
of rotation.

implies centripetal in the remainder of this article. *


To attain the above with the minimum possible
Radial turbines are usually single-staged with a irreversible dissipation
tangential inlet. The flow is admitted into the statoric
vanes through a scroll of variable cross section that Rotors consist of a large number of curved, airfoil-
accommodates the decreasing mass flow rate in the like blades that turn the oncoming flow so as to cause
tangential direction. a decrease in its angular momentum, thereby generat-
The purpose of the stator is as follows: ing a tangential force on each blade. The blades are
solidly attached to the turbine shaft by a disk whose
*
To induce a tangential velocity component (swirl) only purpose is to transfer the resulting torque. Axial
in the flow blades resemble twisted airfoils, with their chord
*
To transform a portion bst of the stage expansion decreasing from hub to tip, and are attached to the
ratio b ¼ pin/pout into kinetic energy disk on their hub side. Radial blades look more like
*
To attain the above with the minimum possible paddles attached to the disk on their hub side and
irreversible dissipation strongly twisted in three dimensions. Axial blades can
*
To serve as an auxiliary structural support for the be forged onto the disk, but more commonly they are
casing individually inserted into proper circumferential
grooves machined on the external surface of the disk
Stators consist of a large number of rather thick, and are firmly held in position by spacers and
curved, airfoil-like blades that turn the oncoming stiffeners. For smaller rotors, they may be machined
flow, whose main flow component is parallel to the together with the disk from a single, cylindrical,
turbine axis, in the tangential direction. Axial and forged ‘‘raw’’ disk. Radial blades are most commonly
radial stators differ in shape, as shown in Fig. 3. If an integral part of the rotor, being forged or machined
large variations of the steam mass flow rate are from one initial pseudo-conical billet.
foreseen, variable geometry stators are often em- It is often convenient, for design reasons, to let the
ployed where the individual vanes may rotate about flow exit the stage with substantial kinetic energy.
a radial (in axial turbines [Fig. 3C]) or meridional (in This lowers the stage exit pressure and increases the
radial turbines [Fig. 3D]) axis. stage expansion ratio bs. In addition, it allows
The purpose of the rotor is as follows: handling the same mass flow rate with a smaller
flow passage area (a smaller diameter implies a less
*
To extract energy from the main flow by costly machine). The kinetic portion of the total
recovering its tangential velocity component enthalpy can be partialy recovered in the diffuser,
*
To transfer this energy to a rotating shaft which is a passage of increasing flow area (visible in
234 Turbines, Steam

A B V0

V1
W1
ωr 1

V2 W2
ωr 2
r1 r2 r 1
r2

Center of rotation

+ +

Closed

Open Throat areas

FIGURE 3 (A) Axial stage geometry. (B) Radial stage geometry. (C) Variable geometry axial stator. (D) Variable geometry
radial stator.

Figs 1A and 1B). If the area increase is obtained by and provides it to the shaft, and is a stator in the sense
increasing the average radius, there is the additional that it introduces a (relative) tangential velocity com-
advantage that the exit swirl is recovered as well. ponent for the next blade row. Ljüngstrm turbines are
Ljüngstrm turbines (Fig. 2), are atypical in more used when axial size constraints are very stringent
than one sense. The steam enters the machine radially because their power density is higher than that of other
from slots in the casing or in the shaft and proceeds types of turbines. However, their use is restricted to
radially outward. The wing-like blades are inserted in lower mass flow rates due to blade length limitations.
two counterrotating disks, with the arrangement being
such that each blade row rotates between two rows 1.1.1 Partial Admission
attached to the opposite disk. Each blade row is a If the throttle pressure is very high, the incoming
rotor in the sense that it extracts energy from the flow steam into the first stage has a very high density;
Turbines, Steam 235

1 Nozzle

2 Rotor

FIGURE 4 Partial admission. FIGURE 5 Avery’s 1831 reaction turbine.

therefore, even for large flow rates, the required much older. In the first century bc, Hero of
passage area may be relatively small. Because the Alexandria, in his treaty ‘‘De Re Pneumatica’’
external diameter (both in axial and radial stages) is (literally ‘‘On Fluid Flow’’), described what in
selected on the basis of the best attainable efficiency modern terms would be defined as a ‘‘single-stage,
and provides an optimal ds, this may lead to pure reaction turbine’’ (Fig. 6). Hero, who seemed to
extremely low blade heights, which increase the imply that the ‘‘turbine’’ had been actually built prior
end wall losses and decrease the practical stage to his description of it, provided no indication about
efficiency. To uncouple (at least to a certain extent) practical uses for this device, although other sources
the blade height from the external diameter, the indicate that similar machines were used to power
statoric nozzles of the first stage of class 4 and 5 the opening mechanisms of the heavy bronze doors
turbines are so constructed as to limit the steam of some Egyptian or Babylonian temples. (This
injection angle to a value ao3601 (Fig. 4). Thus, only indicates that the turbine provided B0.5 kW with a
the statoric channels within this angle a will be steam mass flow rate of B0.01 kg/s, which seems
active, and for a given external diameter, the blade unfeasible for those times because it implies a nozzle
height can be increased of 1/a without efficiency diameter of B15 cm.) Be that as it may, the
penalties. This configuration is called partial admis- technological level of those times clearly had no use
sion and can be introduced only in pure impulse for such machines, and for centuries hydraulic and
stages, where the steam in the rotoric passages is not wind turbines were the only turbomachines em-
subject to a streamwise Dp (otherwise, massive ployed in power generation. Much later, there were
leakage into the inactive adjacent channels would isolated attempts to convert the motive energy of
destroy the regularity of the flow). steam (now called stagnation exergy) to mechanical
shaft power. Giovanni Branca’s machine (in Italy in
1629 [Fig. 7A]) was actually inspired by an earlier
1.2 Brief Historical Background
illustration (from 1551) contained in a sort of
The word ‘‘turbine’’ was first proposed in its modern technological almanac compiled by the Arab histor-
usage by the French Claude Burdin in 1820, with ian Taqi-al-Din. John Dumbell’s proposal (in Eng-
reference to hydraulic machines. Although the first land in 1808 [Fig. 7B]), although in essence based on
steam turbines in commercial service were those the same principle, was technologically much more
installed in the northern United States by William advanced. However, neither machine ever produced
Avery in 1831 to power some sawmills (Fig. 5), the any net power. In 1848, the Scot Robert Wilson
idea of exploiting the ‘‘motive power’’ of live steam is patented a series of steam turbines, one of which
236 Turbines, Steam

FIGURE 6 Hero’s ‘‘steam turbine’’ (probably conceived before


the first century bc) in a 16th-century rendering.

endowed of a radial inlet. In 1875, Osborne


Reynolds designed and later built a multistage steam
turbine (Fig. 8), and between 1880 and 1890, the
Briton Charles Parsons and the Swede Carl-Gustav
de Laval introduced the first multistage reaction
turbine (Fig. 9 [this type of arrangement is still today
sometimes called ‘‘Parsons’’]) and the impulse turbine
(Fig. 10), respectively. Between 1890 and 1897, de
Laval installed some of his turbines on steam- FIGURE 7 (A) Branca’s 1629 steam turbine-powered mill. (B)
powered ships. During the same years, the French Dumbell’s 1808 steam turbine.
Charles Rateau introduced the first multistage
impulse turbines, and the American Charles Curtis
introduced the first double-bladed impulse rotors. In development of steam turbines began after the
1891, Parsons introduced the condenser, a sealed second decade of the 20th century when large
tank bottoming the turbine where the steam con- industrial groups such as General Electric, Allis–
densed on banks of water tubes, effectively lowering Chalmers, Westinghouse, and Brown–Boveri built
the discharge pressure of the turbine and allowing turbine-powered electricity generation plants. Cur-
for a remarkable increase of the specific work output. rently, the vast majority of fossil-fueled thermoelec-
In 1910, the Swede Berger Ljüngstrm presented trical conversion plants employ steam turbines as
his axial inlet centrifugal turbine. The modern mechanical drivers.
Turbines, Steam 237

pressures and temperatures would generally increase


A the efficiency of the cycle in which the turbine is
inserted, but for technological and economical
B reasons, it is unlikely that during the next 10 to
15 years or so an increase of more than 50 K over the
A′ current top inlet temperatures of 550 to 600 K will
occur. This article makes reference essentially to
industrial and power generation applications. Typi-
B′
cal values for admission steam conditions are shown
in Table I together with approximate indications of
FIGURE 8 Original 1875 sketch by Reynolds of his own the power range.
multistage turbine.
Steam turbines may be classified according to
several criteria. All of these criteria have some
practical or theoretical relevance, but none is
universally accepted. Table II summarizes the seven
most common classification criteria.

1.3.1 Supercritical Turbines


A turbine stage is said to be ‘‘supercritical’’ when the
steam conditions at its inlet are above the critical
point. Although the higher temperatures do not pose
particular problems in the first stages, the high
FIGURE 9 Parsons’s (circaB1885) multistage reaction turbine. pressures increase the demand for sophisticated
design solutions in the boiler, so that supercritical
units are costly and used less frequently. Of course,
the advantage of using a supercritical high-pressure
section is a larger power output for the same mass
flow rate, that is, a higher power density.

1.3.2 Condensing versus Noncondensing Turbines


A condensing steam turbine is provided with a
vacuum device at its exit (the condenser) where the
forced flow of an external coolant (water or air)
maintains the outlet pressure at a level dependent
only on the coolant inlet and outlet temperatures. In
practice, the exhaust steam is condensed on a bank of
‘‘cold’’ tubes (Fig. 12) and the condensate is collected
in the so-called cold well. Because the condenser is
otherwise sealed, the pressure in the cold well (and in
the whole condensing chamber) is the saturation
pressure corresponding to the condensate tempera-
ture, which for current applications (Tcoolant ¼ 25–
FIGURE 10 De Laval’s 1890 impulse turbine. 601C) is lower than atmospheric (psat ¼ 0.01–
0.2 bar). The increased pressure differential across
1.3 Steam Conditions and the turbine leads to a larger enthalpy drop of the
steam and to a higher shaft power for the same mass
Fundamental Classification
flow rate. Most turbines in power generation plants
Modern turbines are designed for a variety of are of the condensing (or C) type.
applications and use steam at different inlet condi- A noncondensing (or back-pressure) turbine has no
tions, as shown in Tables I and II. Figure 11 condenser, and its exhaust steam is used directly for
reproduces the so-called Mollier chart, where the process purposes. Specific processes require different
thermodynamic properties of steam are plotted on an steam temperatures, but the range of exhaust steam
entropy/temperature diagram. Higher inlet steam pressures generally varies between 1.5 and 10.0 bars.
238 Turbines, Steam

Most of the so-called cogeneration units in use by the class 5 turbines, the size of the exhaust end limits the
industry are of the noncondensing (or NC) type. acceptable steam volumetric flow through the final
For the same rated power output and inlet stages because at the usual rotational regimes (1500/
conditions, NC turbines are much more compact 1800 or 3000/3600 rpm) ‘‘long’’ blades (Z1 m) are
than C turbines because the steam at the former’s subject to excessive centrifugal stresses. Therefore,
outlet has a much lower specific volume. For large the largest units (especially in nuclear plants) are
built in a double-flow configuration where there are
two low-pressure turbine bodies for each medium-
TABLE I
pressure one (as shown in Fig. 1A).
Typical Values for Steam Admission Conditions in Modern
Turbines
1.3.3 Extraction Turbines
Throttle
For the overall economy of the steam turbine cycle, it
steam Throttle steam Net power
Type of pressure temperature putput per is often convenient to extract a portion of the steam
application (bars) (1C) unit (MW) evolving in the turbine before it reaches the turbine
exhaust. This involves an extraction turbine. The
Geothermal 5–15 150–250 0.5–10 extraction can be automatic or controlled. In both
Nuclear 45–70 200–300 50–250 cases, steam is extracted through openings properly
Industrial 40–60 400–450 1–50 located on the turbine casing between one stage and
cogeneration
the other. However, in the automatic extraction case
Electrical 120–180 510–550 50–250
power
(Fig. 13A), there is no means of controlling the
generation pressure of the extracted stream, whereas in the
Supercritical 4 220 550–600 50–100 controlled extraction case (Fig. 13B), a system of
throttling valves can modify the pressure drop

TABLE II
Some General Classification Criteria for Steam Turbines

Application field in which the


Criterion Classification standard is most used

Inlet steam Subcritical: pino220 bars and Tin usually o5501C Design and Process Engineering
Conditions
Supercritical: pin4220 bars and Tin usually 45501C Industry
Exhaust pressure ‘‘C’’, condensing if pexhaustopatmospheric and the exhaust steam is condensed Design and Process Engineering
‘‘NC’’, noncondensing otherwise (also called back-pressure)
Main steam flow Axial if the main steam flow path is parallel to the turbine axis Design
path
Radial otherwise
Unit power Class 1: 15–400 kW, noncondensing Industry
Class 2: 450–1500 kW
Class 3: 2000–15,000 kW
Class 4: 15,000–100,000 kW
Class 5: 4 100,000 kW, reheat and condensing
Steam extraction Extraction if a portion of the steam is extracted between stages for process Design and Process Engineering
purposes other than power generation
Non-extraction otherwise Industry
Inlet steam High pressure, above 40 bars Design
pressure
Intermediate pressure, 5–40 bars Industry
Low pressure, o 5 bars
Blade design Impulse if the stage pressure drop takes place only in the nozzles Research
Reaction otherwise Design
Turbines, Steam 239

4000
Thermodynamic Properties of
Water 3900

3800

96 00
10
0
0 3700
92
8 80 3600
0
84
800 3500
760
3400

0.04
100

g
m /k
720

v=1 3
50

0.4
0.1
20
3300

10
680

10
2
1

0.5
640 3200

a
0.2

MP

40

h (kJ/kg)
600

0.1
3100

100
5
0.0
P=

2
560

0.0

1
3000

0.0

05
520

0.0

02
T= 480 K 2900

0.0
01
0.0
440 2800
400
0.9
8
2700
0.9 360
6
0.9 2600
4 320
0.9
2
0.9
0.8 0 2500
ne
or li

8
0.8
vap

6
.

2400
atm

0.8
0.8 4
ted

~1

0. 2
ura

80 2300
a
Sat

MP
0.
78 6

0.1
0.7 74

2200
P=
0. .72
0

2100
0.7
id

0.62
0.66
0.54
0.58

0
Liqu

2000
4 5 6 7 8 9 10
s (kJ/[kg.K])
FIGURE 11 The Mollier steam chart. From Stanford University, Department of Mechanical Engineering.

between the extraction point and final use, thereby the fluid with the statoric and rotoric blades is very
actively regulating the flow rate of the extracted short (typically 0.1–1.0 ms), so that the amount of
steam. Extractions are commonly used to preheat the energy exchanged between the fluid and blade under
feed water in modern steam cycle-based power plants the form of heat is entirely negligible with respect to
(class 5 C-type turbines) and to supply process steam that exchanged under the form of work. In the ideal
in industrial plants (classes 3, 4, and 5, usually case (no internal friction), the expansion is also
C-type turbines). isentropic (Fig. 14). At the inlet, the steam possesses a
static enthalpy h0(p0,T0) and an absolute velocity V0,
so that its total (stagnation) enthalpy content is
2. ENERGY TRANSFER h0,tot ¼ h0 þ 0.5V20. At stage exit, the static enthalpy
IN A TURBINE has dropped to h2i(p2i,T2i) and the velocity is V2i, so
that the stagnation enthalpy is now h2i,tot ¼
2.1 Expansion of a Fluid through a h2i þ 0.5 V22i. The maximum specific energy that can
be extracted from the fluid under these conditions is
Turbine: Stage Efficiency
called the isentropic (or adiabatic) work:
The flow through a turbine stage is usually modeled
as an adiabatic expansion because the contact time of wad ¼ Dhad ¼ h0;tot  h2i;tot ð1Þ
240 Turbines, Steam

Throttling

T1

Steam inlet

P4
P1

P3
P2

tr 1
ex
P
Enthalpy (kJ/kg)

tr 2
ex
P
Condensate outlet

FIGURE 12 Meridional section of a steam condenser. Design flow

tr 3
expansion line

ex
P
A

High-pressure Throttling valve


steam

r
ex
P
Turbine
discharge

Extraction Discharge to next


turbine body
Entropy (kJ/[kg °C])
B FIGURE 14 A real expansion line through a steam turbine.
Throttling valve
High-pressure Control valve
steam The actual expansion is neither ideal nor adiabatic.
Some heat flows from the hot fluid to the colder
blades, creating a temperature gradient in the
tangential and axial directions at each station.
Boundary layers on the hub and casing walls
originate velocity and temperature gradients in the
radial direction. The flow is highly turbulent; neither
the blade nor the disk and casing surfaces are
Extraction
perfectly smooth. A non-negligible amount of steam
Discharge to next leaks through the unavoidable mechanical gaps and
turbine body flows around the blades, originating ‘‘local recircula-
FIGURE 13 (A) Automatic extraction. (B) Controlled extrac- tions’’ called secondary flows. All of these irreversible
tion. phenomena lead to the production of entropy,
Turbines, Steam 241

degrading a portion of the steam energy and 1  Ztt


decreasing the overall amount of work provided to Zis;ss ¼ 1 
V02  V2i2
the blades by the fluid. Strictly speaking, a nonideal 1
h0;tot  h2i;tot
expansion cannot be represented on the Mollier chart 2
because the ‘‘local’’ details of the entropy generation aV2i
þ  : ð7Þ
at each (p, T) point along the expansion line are V02  V2i2
2 1
unknown. But conventionally, the points representa- h0;tot  h2i;tot
tive of the inlet and outlet conditions can be
The denominator in the right-hand side of Eq. (6) is
connected with a line that has a concavity toward
greater than 1, so that Zis,tsoZis,tt. With the usual
the right (Fig. 14) because the irreversible entropy
values of DVi (D0.1Dhi,tot) and of a (D0.05), the
generation increases with the stage expansion ratio.
values of Zis,ss and Zis,tt are indistinguishable for
Because of the nonzero slope of the isobars, the actual
practical purposes. When in doubt, Eq. (5) is to be
total enthalpy drop is smaller than the isentropic one
used.
and the ratio of the two is referred to as the isentropic
efficiency:
h0;tot  h2;tot h0;tot  h2;tot 2.2 The Steam Rate
Zis;tt ¼ ¼ : ð2Þ
Dhad h0;tot  h2i;tot It is still common in industrial publications to find
The quantity described by Eq. (2) is called the total- mention of an alternate indicator of turbine perfor-
to-total efficiency as a reminder that the enthalpies mance, the so-called steam rate, defined as the
appearing in its definition are stagnation values. It mass of steam that must flow through the turbine
correctly accounts for the exit kinetic energy, which is to deliver a unit of power. Thus, this quantity
a useful quantity because it contributes to the energy ought to be expressed in kilograms per kilojoule
input in the next stage. Total-to-static and a static-to- but is commonly reported as ‘‘x kilograms per
static efficiencies are also used: kilowatt-hour.’’ The theoretical steam rate (TSR) is
h0;tot  h2;tot simply equal to the reciprocal of the ideal enthalpy
Zis;ts ¼ ð3Þ drop,
h0;tot  h2i
1
TSR ¼ ; ð8Þ
h0  h2 Dhad
Zis;ss ¼ : ð4Þ
h0  h2i whereas the actual steam rate (ASR) is the reciprocal
V2i is always smaller than V0 because in the absolute of the actual work output,
motion the fluid cannot accelerate; furthermore, the m
ASR ¼ throttle ; ð9Þ
actual stage exit velocity V2 is always somewhat Pout
smaller than its ideal counterpart because the same
and the ratio ASR/TSR is equal to the net turbine
flow area must accommodate, ceteris paribus, a lower
efficiency. The steam rate is a redundant (and
volumetric flow rate. It is possible to derive a
therefore useless) indicator that is cumbersome
relationship among the three efficiency expressions.
to use due to the necessary conversion between
Let
different systems of units, and its generality is limited
Dhtot ¼ h0;tot  h2;tot by its explicit dependence on the initial and final
¼ h0;tot  h2i;tot  T0 ðs2  s0 Þ expansion conditions. Its use ought to be discour-
¼ Dhi;tot  T0 Ds aged.

and
2.3 From Zeroth-Order Approximation to
V22 ¼ V2i
2
ð 1  aÞ where ao1:
Three-Dimensional Design
The following is obtained:
The thermodynamic stage efficiency constitutes a
T0 Ds useful global description of the expansion process.
Zis;tt ¼1 ð5Þ
h0;tot  h2i;tot However, the design of a turbine must be based on a
detailed knowledge of the actual coupling between
1 the working fluid and the machine channels. The
Zis;ts ¼ Ztt : ð6Þ
V 2 ð 1  aÞ ‘‘real’’ flow is fully three-dimensional, turbulent, and
1 þ Ztt  2i 
2 h0;tot  h2i;tot unsteady, and this makes a complete description
242 Turbines, Steam

extremely difficult. As in many engineering tasks, we ratios between corresponding forces (or force-related
proceed by successive approximations: quantities) are the same (i.e., if Dpstator,A/Dpsta-
tor,B ¼ scentrifugal,tip,A/scentrifugal,tip,B). Notice that si-
1. First, we consider the so-called zero-dimen-
milarity considers ideal flow concepts only. Strictly
sional problem in which the flow is steady and the
speaking, two geometrically and kinematically simi-
fluid–machine interaction is expressed by global
lar machines are dynamically similar only if the
parameters such as mass (or volume) flow rate,
dissipative features of the flow (leakages, boundary
expansion ratio, average values for the value and
layers, and viscous and inviscid losses) are the same.
direction of velocity at the inlet and outlet of the
With specific reference to a turbine stage, let us
blades, angular velocity of the rotor, and average
consider the following question: can the global design
physical properties of the fluid. We derive, via
parameters of the stage be reduced to a small set of
dimensional analysis, a set of general relations that
fundamental dimensional variables that can be used
constitute a basic design tool.
to construct an even smaller set of dimensionless
2. We then turn our attention to the ideal, steady,
indexes that describe stage performance? A brief
quasi-one-dimensional flow, devoid of boundary
reflection indicates that a stage is described by the
layers on either moving or fixed boundaries, and
mass flow rate it elaborates, the work it extracts, the
derive first-order expressions for the most important
conditions of the fluid and the flow passage area at
characteristic quantities. The flow rate and the
inlet and outlet, a proper measure of its size, and the
specific work are expressed in terms of average
angular velocity of its rotor. A possible set of relevant
velocities, and the stage performance is linked
design parameters is listed in Table III. A fundamental
explicitly to the average flow field parameters.
set of dimensionless parameters that can be con-
3. The effects of boundary layers and other
structed with these quantities is reported in Table IV.
viscous and compressibility phenomena are then
Turbines with equal Reynolds numbers, specific
taken into account, and the results previously
speeds, and specific diameters are dynamically
obtained are corrected to include the effects of
similar (because the losses scale, albeit only approxi-
losses, secondary flows, flow nonuniformities, sonic
mately, with Reynolds numbers). This result, which
phenomena, and so on.
can be derived theoretically and justified on the basis
4. The fully unsteady, three-dimensional flow is
of first- and second-order considerations, has been
studied. As of today, this is possible only under
confirmed by an extraordinarily large and compre-
stringent simplifying assumptions and at the expense
hensive series of experimental results. It has several
of substantial computational resources. Usually,
important consequences. First, the efficiencies of the
cascade or stage simulations are performed to
two machines are also equal. Second, if we know the
investigate particular characteristics of the flow field
performance (Q2,A, oA, and Dhad,A) and the scale
and are validated by comparing their results with
(D2,A) of the first machine, we can derive the
experimental investigations.
corresponding quantities for the second machine
once we fix either its dimensions (D2,B) or one of its
2.3.1 Zeroth-Order Approximation: design specifications (Q2,B or Dhad,B, or oB). The
Dimensional Analysis
Dimensional analysis is a branch of applied mathe-
TABLE III
matics that investigates the relationship between
A Fundamental Set of Design Parameters for a Turbine
global characteristics of a physical phenomenon and
a possibly small set of likewise global parameters Physical phenomena to which
that uniquely define it. This article adopts here a Parameter it relates
simple (but theoretically sound) approach. In turbo-
machinery design, dimensional analysis is essentially Fluid enthalpy drop (Dhtot) Specific work
linked to the concept of similarity. Two machines, A Fluid flow rate (mo) Machine size, power
and B, are said to be geometrically similar if the Fluid density (r(r,T)) Machine size, losses
ratios between homologous dimensions all are equal Rotor and stator dimensions Machine size, mechanical
stresses, flow kinematics
(i.e., if D2,A/D2,B ¼ ctip,A/ctip,B). The same two
Stage efficiency (Zis) Irreversible dissipation in
machines are also said to be kinematically similar if
blade rows
the ratios between corresponding velocities are the
Rotor angular velocity (o) Mechanical stresses, flow
same (i.e., if U2,tip,A/U2,tip,B ¼ V1,A/V1,B). Finally, two kinematics
machines are said to be dynamically similar if the
Turbines, Steam 243

TABLE IV 0.006

Dynamic viscosity (kg/[m*s])


A Possible Fundamental Set of Dimensionless Parameters for a 0.0055
Turbine 0.005
0.0045
Parameter Definition 0.004
0.0035
Average flow Reynolds rUtip Dtip
Re ¼ m 0.003
number 0.0025
Average flow Mach number Ma ¼ pffiffiffiffiffiffiffi
C
kRT
(C is a local 0.002
representative velocity) 0.0015
pffiffiffiffiffi

1000

1100

1200
1300
200

300

400

500

600

700

800

900
Specific speed o Q2
ns ¼ 3=4
ðDhad Þ

Specific diameter ds ¼
Dtip ðDhad Þ1=4
pffiffiffiffiffi Temperature (°C)
Q2

Head coefficient FIGURE 15 Steam viscosity versus temperature.


Dc ¼ Dh
U2
ad
tip

Flow coefficient j ¼ UQ
tip A
(A is local flow
passage area) losses. For two turbines with the same ns and ds (or
Stage efficiency Zis ¼ wreal
wad
Dc and j, which is the same), a widely used formula,
Degree of reaction h1 h2 originally from Staufer in 1925, states that
Rr ¼ h0;tot h2;tot  
1  Zis;tt;A ReB n
Tip clearance/blade height h
gap
s ¼ hblade (h is average height or ¼ C1 þ C2 ; ð15Þ
ratio 1  Zis;tt;B ReA
clearance)
Rotor blade aspect ratio a ¼ hcblade
blade
(h and c are average where C1E0.30.4, C2E0.70.6, and nE
representative values) 0.20.25. Equation (15) implies that not all losses
are of viscous origin (C1 is the percentage of inviscid
losses on the total).
following relations hold: On the basis of similarity analysis, universal
oA D2;A oB D2;B performance charts can be compiled. If we have
1=2
¼ 1=2
ð10Þ one verified performance map of a given turbine
Dhad;A Dhad;B
stage, similarity theory states (and experimental
oA Q2;A oB Q2;B results confirm) that such a map applies to all stages
¼ ð11Þ with the same pair (ns,ds)—or (c,j), which is the
DA DhA DB DhB
same—so long as their operation implies Reynolds
oA D22;A ¼ oB D22;B ; ð12Þ numbers on the order of the one in the test. The
admissible range is somewhat application dependent,
where Eq. (10) derives from the Reynolds numbers
but for turbines of commercial standard, a variation
equality, assuming that the steam viscosity at the exit
between Re ¼ 105 and Re ¼ 107 leads to a total-to-
of the two machines is the same (see Fig. 15 for the
total efficiency change of approximately 0.05 (from
dependence of m on temperature).
0.87 to 0.92). Two widely used performance maps,
As can be seen in the following, the flow and head
known as the Balje and Smith charts, are shown in
coefficient are also fundamental design parameters.
Figs. 16 and 17, respectively.
They are related to ns and ds by
In spite of the formal identity, there is a substantial
1 practical difference in taking the sets (Re, ns, ds) or
Dc ¼ ð13Þ
ðns ds Þ2 (Re, Dc, j) to represent the variation of the stage
efficiency at different design conditions. By defini-
ns Dc
j ¼ Kshape ; ð14Þ tion, ns/ds maps are dependent on the stage outlet
ds temperature and pressure and, therefore, do not
pdb ð1w Þ
2 b
where Kshape is equal to 2 and 2pdb D for apply strictly to similar machines working under
axial and radial turbines, respectively. The Reynolds different operating conditions. To eliminate this
number definition is clearly conventional. In most inconvenience, ‘‘corrected’’ quantities are sometime
real cases, nowhere in the real flow field does the used, especially in industrial references. If for a
Reynolds number assume the value given by the turbine stage mr is defined as the reference mass flow
formula in Table IV. Nevertheless, if used consis- rate evolving in the stage when the inlet steam is at Tr
tently, it allows a direct relative estimate of global and pr and the rotor is rotating at a reference angular
244 Turbines, Steam

10 of convention. For geometrically and kinematically


8 Free vortex design similar machines, corrected stage performance maps
Re* = 2 × 106
6 Ζ = 30 are displayed in Fig. 18.
p s/h = 0.02
h = 0.
95 t e /t = 0.02
4 2.3.2 First-Order Approximation: The Euler
0.9
Equation and the Velocity Triangles
ds

Consider the flow in a generalized turbine rotor


2
0.8
0.85
(Fig. 19). The fluid enters the upstream side of the
0.7
ηst = 0.6 0.75
rotor with absolute velocity V1 and exits from the
λ = 0.5 0.5 downstream side with velocity V2. Notice that
0.4 0.25
1 0.3 0.2
0 suffixes 1 and 2 refer to the (virtual) geometric
0.6 0.8 1.0 2 4 6 8 10 20 center of the inlet and outlet sections, so that V1 and
ns V2 are proper average velocities, and that the rotor is
FIGURE 16 A typical Balje chart for steam turbines.
rotating with a steady angular velocity o. Newton’s
second law states that the module of the tangential
force acting on the rotor is equal to the rate of
Turbine total-to-total efficiency change of angular momentum in the fluid, jFt j ¼
3.0 dðmVt Þ
dt ; which for steady Vt and m reduces to Ft ¼ Ft1–
40° −60° Ft2 ¼ m(Vt1–Vt2). Therefore, the torque on the rotor
−70° 87
shaft is
88 M ¼ r1 Ft1  r2 Ft2 ¼ mðr1 Vt1  r2 Vt2 Þ: ð18Þ
2.5
30° The specific work (power per unit mass) is then
Stage loading coefficient (ψ = ∠ h 0 /U2)

89 wad ¼ P=m ¼ Mo=m ¼ oðr1 Vt1  r2 Vt2 Þ: ð19Þ


Defining U ¼ or as the rotational velocity, and
2.0
90 −50° recalling that wad ¼ Dhad, we obtain the so-called
Euler equation:
20°
Dhad ¼ o ðr1 Vt1  r2 Vt2 Þ ¼ U1 Vt1  U2 Vt2 : ð20Þ
This equation is fundamental in turbomachinery
1.5
10°
design because it relates the thermodynamic work
(computed via steam charts or thermodynamic
formulas) to the mechanical work expressed in terms
of geometric and (average) kinematic quantities.
1.0 0° Notice that the velocities appearing in Eq. (18) are
90 88
95 94
92 ideal velocities (no losses included) averaged over the
β2
passage area.
β3
The flow kinematics is conveniently represented
0.5 by means of the so-called velocity triangles, which
0.4 0.6 0.8 1.0 1.2 are simply a graphical display of the basic velocity
Flow coefficient (φ = Cm /U) vector relationship:
FIGURE 17 A typical Smith chart for a steam turbine with Absolute Velocity Vector
Rr ¼ 0.5.
¼ System Velocity Vector
velocity or, the following relations hold: þ Relative Velocity Vector
pffiffiffiffiffiffiffiffiffiffiffi
T=Tr or
mr ¼ m ð16Þ V ¼ U þ W: ð21Þ
p=pr
o These diagrams (Figs. 1 and 19) are drawn on a
or ¼ pffiffiffiffiffiffiffiffiffiffiffi : single plane, tangent to the pseudo-cone that
T=Tr
represents the machine at radius r. Three values are
Of course, reference conditions are still included in usually provided: at the hub (rh), midspan (rm), and
the preceding definitions, but this reduces to a matter tip (rt). For radial stages, there is only one value at
Turbines, Steam 245

% N = 60 70 80 90 100 110 120



5 √ θ4

Choked
flow
4

Expansion ratio
η = 90%

(1/πt = Pt5/Pt4 )
t

3 86%
Operating
line
83%

2 80%

1
50 60 70 80 90 100 110 120
Percentage design corrected mass flow times corrected rpm
FIGURE 18 Corrected turbine performance map.

Vj;t ¼ Vj cos a ¼ cj Uj ð23Þ


 
r¹ Vj2 ¼ Vj;x
2 2
þ Vj;t ¼ Uj2 j2j þ c2j ð24Þ
_

Wj2 ¼ Wj;x
2 2
þ Wj;t
r2
Vr 2  2

2 2
Vx 2
¼ Uj jj þ 1  cj ð25Þ
_
V2
Wj;t ¼ Vj;t  Uj ð26Þ
Vθ2
Vj;x ¼ Wj;x ð27Þ
 
ω Uj2 þ Vj2  Wj2
Uj Vj;t ¼ : ð28Þ
2
Relative total temperatures (Trel ) are defined as well:

Wj2
Tj;tot;rel ¼ Tj þ
2cp
 
Wj2  Vj2
¼ Tj;tot þ
2cp
FIGURE 19 Schematics of the flow in an axial turbine rotor.
Uj2 ð1  2cÞ
¼ Tj;tot þ : ð29Þ
the inlet (r1). These triangles can also be defined in 2cp
terms of one velocity and two angles: the relative Ttot,rel is the stagnation temperature in the rotating
flow angle b and the absolute flow angle a. The frame of reference and, therefore, is the temperature
cascade nomenclature provided in Fig. 1 is not to which the rotor material is subjected.
universally adopted, and sometimes (especially in It is customary to classify turbine stages on the
English monographs) the values b901 and 901a basis of four characteristic indexes identifying their
are used instead. The following relations hold velocity triangles: the degree of reaction Rr, the exit
between the modules of the velocity vectors (‘‘j’’ is swirl o2, the stage loading coefficient Dc ¼ c1e2c2,
a running index denoting the station to which the and the flow coefficient j. The respective values must
triangle refers): be labeled with the radius at which the index is
computed (in the absence of another indication,
Vj;x ¼ Vj sin a ¼ jj Uj ð22Þ blade midspan is to be assumed). The degree of
246 Turbines, Steam

reaction is defined as the ratio of the static enthalpy jets—one for each statoric passage). In the rotor,
drop across the rotor to the decrease of the total these jets flow through a blade with a (nearly)
enthalpy across the stage: constant relative velocity along the rotoric passage.
h1  h2 Therefore, the pressure drop in the rotor is zero
Rr ¼ (Eq. 30). The stage work is produced in the rotor at
h0;tot  h2;tot
 2    the expense of the absolute velocity of the steam.
U1  U22  W12  W22 Assuming zero losses in the stator,
¼ 2     : ð30Þ  2   
U1  U22 þ V12  V22  W12  W22
U1  U22 þ V12  V22
h0;tot  h2;tot ¼ ; ð31Þ
A stage in which Rr ¼ 0 is said to be an impulse 2
stage. For axial turbines, Eq. (30) implies that in such we see the following:
a stage there is no pressure drop across the rotor
(W1 ¼ W2); that is, the entire stage pressure drop is 1. The stage work increases with the expansion
attained in the inlet nozzle (the stator), and the rotor ratio p0/p2 until V1 becomes sonic and the stage is
absorbs only the fluid’s kinetic energy. All stages for ‘‘choked.’’
which Rr40 on a portion of the blade are said to be 2. With the stage work being maximum for
reaction stages. The value of Rr is, whenever V2,t ¼ 0, it can be easily shown that the optimal U/
possible, limited to approximately 0.5 to limit the V1 ratio for axial turbines is approximately 0.5. In
absolute kinetic energy at stage outlet. centripetal turbines, experience shows that (U/
A zero exit swirl corresponds to the minimum V1)optimalB0.7/0.8.
absolute kinetic energy at stage exit. For a single 3. In centripetal turbines, the flow configuration is
stage and for the end stages of all machines, this is a such that even if V2 ¼ V1 (which is never realized in
desirable condition. For an intermediate stage, where practice because it would lead to high rotoric losses),
the exit kinetic energy can be recovered by the next the stage would deliver a positive work (U21–U22)/2.
(bottoming) stage, work maximization often leads to 4. Radial centrifugal turbines deliver, for the same
a negative c2. steam conditions and peripheral velocity, a lower
The loading coefficient is chosen as large as stage work. In fact, they have been abandoned except
possible, compatible with the desired value of the for the Ljüngstrm turbine (described in the first
efficiency (Fig. 20). Common values for axial stages section of the article).
range from 1 to nearly 3. For radial stages, DcD1. Therefore, in an impulse stage, the rotor is likely
to be unshrouded and devoid of the leakage seals that
2.3.2.1 Impulse versus Reaction Stages: Blade abound in the stator. A ‘‘typical’’ axial impulse stage
Twist It is useful to provide a more detailed is depicted in Fig. 21. Notice that for today’s higher
discussion of impulse and reaction stages. In an throttle conditions (400–5601C and 30–220 bars),
impulse stage, the steam experiences the entire stage the sonic velocity in the first nozzle is so high that the
pressure drop in the statoric channels and is ejected ratio U/V1 would be much lower than 0.5, leading to
from the stator as a jet (or, better, as a number of a substantial efficiency penalty. An ingenious solu-
tion (first suggested by Curtis) is that of absorbing
the absolute kinetic energy drop in two separate
rotors ‘‘fed’’ by a single stator. The intermediate fixed
0.9 blading is simply a deflector (Fig. 21B). This config-
Cx /U = 0.4
∆ψ = 1 uration is often adopted in the first stage(s) of large
H/b = 3.0 steam turbines because, for the same peripheral
0.8 Re = 105 velocity U, the velocity V1 is higher than 2U (its
η

∆ψ = 2
optimum is atB4U); therefore, the enthalpy (and
pressure) drop per stage is increased. This means not
0.7
only a lower overall number of stages but also a
∆ψ = 3 smaller high-pressure casing, and this results in a
0.6 lessening of the installation costs. The price is a
1.0 0.5 0 somewhat lower stage efficiency.
Reaction (R ρ ) Because the ratio of the blade height to the
FIGURE 20 Loading coefficient versus degree of reaction and external diameter is small only for the very first
stage efficiency. high-pressure stages, and because the requirement of
Turbines, Steam 247

A B
P1 Velocity P1 Velocity

Pressure
Ce Pressure Ce
P2 P2
Moving
blades Moving
blades
Blades or
or buckets
Nozzles buckets Nozzles
Fixed
blades
Fixed
blade

Gas inlet Exhaust Gas inlet Exhaust

Nozzle Nozzle
Blade Moving
blades
Wheel Wheel
Shaft

Shaft

FIGURE 21 Impulse stages: (A) simple and (B) velocity compounded (‘‘Curtis’’).

constant total enthalpy along the radius (to avoid Dw ¼ Dwad  Dhtot;inlet  Dhtot;stator  Dhtot;rotor
excessive radial motion in the nonrotating channels)
 Dhtot;diffuser  Dhtot;exit  lmechanical : ð32Þ
demands that the Euler work given by Eq. (20) be
also constant along the radius, it follows that neither Notice that fluid-related losses have been expressed
Vt nor Rr can be constant along the blade. Therefore, in terms of total enthalpy drop. According to the
the term reaction stage implies that the degree of Gouy–Stodola theorem, this may be also written
reaction at its midspan diameter is greater than zero. Dhtot;j ¼ T0 Dsj ¼ Dej ; ð33Þ
Actually, there are cases in which Rr ¼ 0 at the hub
where T0Dsj is the irreversible entropy generation for
and reaches values higher than 0.5 at the tip. For h/
the jth loss and Dej is the corresponding exergy
D40.02, the velocity triangles differ markedly at the
destruction. In what follows, a concise and general
hub, midspan, and tip, and the blade must accom-
modate to radially varying V1t and V2t. Several description of how to include these losses in design
calculations is provided.
solutions are possible, with the one called free vortex
(Vt*r ¼ constant) being used most frequently. The  Inlet losses. These are due to frictional and flow
resulting rotation of the blade profile at various radii turning effects (which cause flow separation and
around its central radial axis is called ‘‘twisting.’’ An originate recirculation regions).
example of a twisted blade is shown in Fig. 22.  Partial admission losses. In partial admission
stages, there are two additional losses caused by the
drag experienced by the blades in their inactive arc
(‘‘ventilation’’ losses) and by the fact that a portion of
2.3.3 Second-Order Approximation: the energy of the statoric jet is perforce lost when the
Loss Correlations blade first enters its active arc and when it exits it
The difference between the ideal turbine work Dwad (‘‘sector’’ losses).
and the actual shaft work is due to the losses in the  Statoric losses. These are due to friction within
turbine. It is common design practice to apportion the blade row, to secondary flows caused by turning
these losses to each component and to write effects (which cause flow separation and originate
248 Turbines, Steam

A
A B
Laminar separation
bubble

Stagnation point
vortex

~ 440
Passage vortex

B Stream surface

Inlet boundary
layer
Endwall

FIGURE 22 Untwisted (A) and twisted (B) steam turbine Passage vortex
blades.
Endwall Counter vortex
crossflow
recirculation regions), to boundary layer growth
FIGURE 23 Vortical structures along the blade channel.
along the blade (‘‘blockage’’), and to flow compres-
sibility effects. These losses are usually split into their
individual contributions, which are usually consid-
ered separately during design. Profile losses are
 Rotoric losses. These are modeled in a manner
originated by a complex system of vortical structures
similar to that of stators. However, here the relevant
along the blade channels that strongly interact with
velocity is the relative inlet velocity W1:
each other and cannot be conveniently treated
separately (Fig. 23). These losses are usually evalu- Dhtot;rotor ¼ Dhtot;profile þ Dhtot;secondary þ Dhtot;blockage
ated by computing or measuring the so-called lift and þ Dhtot;shock þ Dhtot;leakage þ Dhtot;windage
drag coefficients, defined as the ratios of the lift and ¼ 0:5 Krotor W12 ; ð34Þ
drag force, respectively, to the kinetic energy of the
oncoming flow (Fig. 24A). A large database exists for where Krotor is a weight-averaged loss coefficient.
several blade profiles, and designers make use of  Diffuser losses. These are also due to frictional
‘‘cascade performance charts’’ like the one depicted and recirculation effects. The diffuser is a component
in Fig. 24B. If the velocity triangles are known, so is in which the fluid flows against a pressure gradient
the cascade efficiency. Sometimes an additional loss, (velocity is recovered into pressure); therefore, it is
the wake loss, is included in the profile loss. intrinsically affected by the highest losses (in
Secondary and blockage losses are similarly modeled percentage). In steam turbines, the importance of
in terms of the square of the average meridional diffusers is normally negligible.
velocity, whereas shock losses, originated by sonic  Mechanical losses. These are due to frictional
and supersonic shocks interacting with the boundary dissipation in bearings and seals. Customarily, they
layers and with the wake, are computed on the basis are accounted for introducing an organic efficiency:
 
of semi-empirical charts. Leakage flows (usually lmechanical ¼ 1  Zorganic Dwad ; ð35Þ
negligible in stators) are due to the unavoidable
leaks around seals and gaps. They depend on the with Zorganic ranging from 0.95 to 0.98 for the entire
blade aspect ratio (h=l; height over chord) and gap shaft line (if a shaft supports N stages, the loss
size (g/h). apportioned to each stage is 1  Zorganic =N).
Turbines, Steam 249

A 1.5 (Fig. 23), it is the local features and their complex

Lift coefficient (CL )


C1 interactions that may make the difference in the stage
1.0 efficiency. It is difficult to capture the individual flow
phenomena through test bench experiments, and a
0.5 large (and increasing) portion of turbine studies are
performed by means of numerical simulations. Such
0 simulations are complex, resource-consuming, and
0.075
Drag coefficient (CDp)

often not univocal (in the sense that some of the


detected phenomena may be purely numerical fea-
0.050
tures and not necessarily reflective of physical
phenomena). Therefore, they must be carefully
0.025 CDp
planned and performed, and their results are always
calibrated against available experimental evidence.
0
−20 −15 −10 −5 0 5 10 Basically, the flow domain (the portion of space in
Incidence (i degrees) which the phenomena are studied) includes a portion
of the interblade passage and also covers a limited
B 2.0 portion of the channel upstream and downstream of
the blade passage. Periodic tangential conditions are
usually assumed (i.e., the basic features of the flow
are considered to be the same in adjacent blade
1.5
passages), and only recently has the coupling between
Lift coefficient (CL)

s/c
statoric and rotoric blade rows been simulated in full.
1.5
All of these studies strongly depend on the turbulence
1.0 1.0 modeling adopted (‘‘full’’ calculations, or the so-
called DNSs [direct numerical simulations], are still
0.5 impossible on the complex geometries of a turbine
stage and in their operational high Reynolds num-
0.5 bers), and some of the effects can be assessed only
under the simplifying assumption of inviscid flow.
Nevertheless, reliable work has been performed to
0 study both inviscid (i.e., purely kinematical) and
10 0 10 20 30 40 50 60 70 viscous (i.e., including boundary layers and wake
Air outlet angle (α2 [degrees]) interactions) flow features, and the results compare
well with global and local experimental measure-
FIGURE 24 (A) Lift and drag coefficient for a cascade of fixed
geothermal form. (B) Design lift coefficients. ments. A situation is now being approached where
blade design can be performed on the basis of
successive approximations, by iterative adjustment
Once the total stage losses have been computed, of several design parameters, to determine the best
they are used to blade profile for a specified performance. However, at
the industrial level, most of the design activity is still
1. Correct the ideal Euler work (Eq. 20). and based on proprietary loss correlations, and fully
derive the actual work delivered by each stage three-dimensional simulations are still considered a
(Eq. 31). helpful tool but not a completely reliable design
2. Recompute the fluid thermodynamic conditions procedure. With the advance of computer hardware
at the exit of each stage and draw the actual (which leads to higher computational speeds and
expansion line of Fig. 14. reduced simulation time), computational fluid dy-
namic research (which provides a better understand-
ing of local flow features), and available software
2.3.4 Three-Dimensional Calculation of the Real (which improves the quality of the commercially
Flow in a Complete Turbine Stage available flow models), it is clear that in the near
The real flow in a turbine stage is highly turbulent, future, inverse design problems will be solved by
fully three-dimensional, and intrinsically unsteady. means of standard, well-understood, and relatively
Although its general features are well understood easy-to-use procedures.
250 Turbines, Steam

3. OUTLINE OF A GENERAL diagram. More recently, property packages have


PROCEDURE FOR PRELIMINARY been developed that allow the calculation of a
full expansion line on a personal computer. Notice
STEAM TURBINE DESIGN that to trace the real expansion line, a turbine
efficiency must be assumed here (Fig. 14). Clearly,
The actual design of a steam turbine is a complex
this initial assumption requires an iterative verifica-
task, usually carried out by a multidisciplinary design
tion.
team whose members constantly interact with wind
tunnel and test bench specialists. The technology is
mature and extremely resource intensive, so that 3.2 Selection of the Type of Turbine
production is concentrated in very few locations
worldwide. The independent steam turbine produ- For small applications, where the design specifica-
cers of commercial and industrial relevance (i.e., tions require a low power output (less than a few
those that develop their own products, do not megawatts) in conjunction with a low mass flow rate,
produce under license, and generate a significant single-stage radial steam turbines are probably most
number of units per year) amount to no more than convenient. In all other cases, single- and multistage
perhaps 15 worldwide. Each has its own design axial turbines dominate the field. The selection can
procedure, formalized in detailed design manuals, be made either on the basis of specific experience on
usually meant for internal use only. However, it is the part of the designer or of the company (there are
highly likely that all of these proprietary design companies that produce only a certain type of
procedures follow the very same general logical machinery) or with the help of ‘‘operating charts’’
flowchart and that the differences lie either in the (Fig. 25) that condensate decades of experience and
formulas used for case-specific calculations (e.g., loss are updated periodically. The semi-empirical Balje’s
coefficients, blade angle corrections, material selec- charts (Fig. 16) are also a great help because they
tion) or in the selection of a particular turbine shape indicate the ranges in which a certain type of
(due to patent history and/or the company’s techno- machine has performed well at the current stage of
logical background). Therefore, steam turbine design technology.
can in principle be said to follow nine general steps:
1. Calculation of the thermodynamic expansion 3.3 Selection of the Maximum Tip Speed
process There are two major limitations in turbine design:
2. Selection of the type of turbine (single stage vs excessive mechanical stresses on the blade and disk
multistage, radial vs axial) and choking of the flow in the blade passages. Both
3. Selection of the maximum tip speed limitations constrain the maximum allowable tip
4. Calculation of ns and selection of the proper velocity Ut. Very early in the design procedure, it is
similarity parameters necessary to assign a value of Ut, and the choice is
5. Tracing of the velocity triangles usually made on the basis of specific designers’
6. Loss accounting and possible iteration (go back experience, often explicitly tabulated in design
to step 3) manuals. Because this choice has a significant
7. Preliminary blade design and costing influence on the remaining design parameters, an
8. Numerical simulations under realistic operating iterative procedure must be used.
conditions
9. Final design and costing
3.4 Calculation of ns and Selection of the
Because of space limitations, a detailed descrip-
tion of each of these phases cannot be provided here.
Proper Similarity Parameters
The discussion is limited to a brief explanation of the The specific speed is conventionally computed on the
most important features of each design step. outlet section of the stage (i.e., the volumetric flow
rate is computed on the basis of the exit steam
density):
3.1 Calculation of the Thermodynamic
rffiffiffiffiffiffiffiffiffiffi
Expansion Process mout
rout
The expansion process is customarily calcu- ns ¼ o 3=4 :
lated manually on s/h graphs such as the Mollier Dhtot;stage
Turbines, Steam 251

A 3.5 Tracing of the Velocity Triangles


2.5 The choice of the number of stages, of the ns, and of
90%
the flow and head coefficients for each stage is far
2.0 from being unique. For example, there are several
91% reasons that suggest an uneven allocation of the Dhtot
92%
among the stages (e.g., the need to maintain an
1.5
optimal value of ns, a convenient construction of the
93% turbine bodies with each containing Nb stages).
1.0 94%
Whatever the choice is, at this point one possesses
all of the information needed to draw the preliminary
0.5 blade profile and can proceed as follows:

Rρ = 0 1. Introducing the chosen value of j into the


0.0 continuity equation applied at the rotor inlet section,
0.0 0.2 0.4 0.6 0.8 1.0 1.2 we derive the blade height h (or the hub-to-tip ratio g).
φ
2. From Ut, c, and j, we derive Vt, Vm, a, and b in
B each section of interest. For a radial stage, the inlet
2.5 diameter at blade midspan is used together with both
90%
the tip (shroud) and hub exit values. For axial stages,
2.0 91% it is customary to draw at least three triangles at the
92% hub, midspan, and tip diameter. The c and j given
1.5 by the charts are tip values, and the other values must
93%
be computed properly. Usually, the assumption is
1.0
94% that the Vm is constant along the radius and that Vt
follows the so-called free vortex law: Vt*r ¼ con-
constant. But other choices, especially where the Vt is
0.5
concerned, are possible.
R ρ = 0.5 3. The Euler work is computed at each section,
0.0
and its average value on the entire blade is assessed.
0.0 0.2 0.4 0.6 0.8 1.0 1.2
The ideal values for the relative flow angles (b) are
φ
calculated. A proper blade profile may now be
FIGURE 25 (A) Predicted total-to-total efficiencies for axial chosen (or designed anew).
turbines with 0% reaction (impulse stages) and blade aspect ratio
4. From a momentum balance in the relative flow,
(h/b ¼ 10). (B) Predicted total-to-total efficiencies for axial turbines
with 50% reaction and blade aspect ratio (h/b ¼ 10). the pressure drop in the rotor can be calculated.
Hence, the statoric pressure drop is obtained.
5. Once a1 is known along the blade height, the
Confirmed experience has shown that the ns for statoric profile is also determined because it is
steam turbines varies between 0.1 and 4. If values reasonable to assume an entirely axial incoming flow
smaller than 0.1 are obtained, a multistage config- (Vo ¼ Vm,o, or ao ¼ 901).
uration ought to be chosen and a new ns should be
computed using the stage enthalpy drop Dhi ¼ Dhtot/
Nstages. If, on the other extreme, ns exceeds 4 or 5, to
3.6 Loss Accounting and
maintain high stage efficiency, it is mandatory to split
Possible Iteration
the steam flow among M turbine bodies (parallel
operation). M is determined by the condition that Now, the losses expressed by the semi-empirical
Qtot/M is such that the ns based on it falls within the relations discussed previously can be computed, and
range of 0.1 to 4. Once the specific speed is known, their overall effects can be considered before
the remaining similarity parameters (most impor- modifying the velocity triangles. Some of these losses
tantly the head coefficient c and the flow coefficient affect the flow rate, and some others affect the flow
j) can be determined on the basis of semi-empirical section. Therefore, it is necessary to iterate to attain a
diagrams such as the Smith (for axial stages [Figs. 17 reasonable compromise between good overall effi-
and 25]) and Chen–Baines (for radial stages ciency and a feasible design. Of course, the design
[Fig. 26]) charts. specifications are imposed as strong constraints.
252 Turbines, Steam

1.2
81 70.5
80.2 80.8

76
84
80
85.2 84
1.0 86

Loading coefficient (ψ = Cθ2 /U2 )


88
82.2 90.4 88.4
85.8 88 82 78
88 86.2 85.6
87.1 87 82.8
87 84.6 84 82.4
83 86.1 83
85
85 85.5 85.6 84.5 82 80
85.6 79.8
0.8 80.6
84.6
83 83.6 80.6
82.3
82.7 75.4 67
82 80.8 74.5
77.5
74 62.9
Cala and L'Ecuyer (1983) 72
0.6 Miller and L'Ecuyer (1985)
Ricardo (1957) Kofskey and Holeski (1966)
Ricardo (1959) 60.2 Kofskey and Wasserbauer (1966)
Ricardo (1963) Holeski and Futral (1967)
Rodgers (1987) 54 William and Milton (1969)
Pullen et al (1992) Kofskey and Wasserbauer (1969)
Balnes and Yeo (1992) Futral and Holeski (1970)
Watanabe et al (1971) Kofskey and Nusbaum (1972)
0.4
0.1 0.2 0.3 0.4 0.5
Flow coefficient (φ = Cm3 /U2 )

FIGURE 26 A Chen–Baines diagram for a radial turbine.

3.7 Preliminary Blade Design and Costing Numerical experiments, which now constitute a
substantial part of research and development
Once all geometrical dimensions are known, the
(R&D) programs in the field, are attractive because,
blades and all other components can be preliminarly
if properly conceived and performed, they share most
sized. The choice of materials is imposed in practice
of the properties of physical experiments but can be
by the environment within which the design activity
carried out at a fraction of the cost and possess an
takes place (with industrial and commercial strate-
intrinsic degree of flexibility that makes their repeti-
gies usually conflicting with purely technical con-
tion under slightly different conditions relatively easy.
siderations). A preliminary costing assessment of the To be useful for design purposes, numerical simula-
machine is developed.
tions must have the following requisites:

 Physical relevance. They must simulate phenom-


3.8 Numerical Simulations under Realistic
ena that are relevant to design engineers. For
Operating Conditions
instance, they must reproduce ranges of Reynolds
As mentioned previously, the relatively simple and numbers and Mach numbers that are found in
essentially two-dimensional procedure based on the commercial turbines.
velocity triangles can capture only the average and  Completeness. They must include a realistically
large-scale details of the flow in the turbine channels. extended portion of the flow domain, so that the
Nevertheless, machines have been designed success- information that designers gather from the results
fully with this method or similar methods for may be immediately applicable to global design
decades, attaining overall efficiencies of more than procedures. For instance, they must include at least
90%. However, the progressive increase of the steam one complete blade passage and possibly a complete
turbine unit power led to a situation where even stage.
minor efficiency improvements became attractive.  Reliability. Their results must not contradict
Because an essentially two-dimensional design can known physical evidence (i.e., they must be cali-
be improved only by extensive testing, an impressive brated against it). In addition, new phenomenologi-
amount of experimental work was performed on cal predictions that emerge from their results must be
models and full-scale stages alike. The advancement in accord with the established knowledge in the field.
of computer technology made it possible to substitute  Robustness. Their results must be reproducible
physical testing with its numerical counterpart. under slightly varied operational conditions within a
Turbines, Steam 253

reasonable variation of the operating parameters. For 4. OFF-DESIGN CONSIDERATIONS


instance, the limit behavior in time for all stable
unsteady simulations must tend to the steady Steam turbines are ill suited to follow large (430%)
solution. load variations. A change in the thermodynamic
 Physical consistency. The models (numerical as parameters (pressure and temperature) causes a
well as physical) embedded in a numerical simulation change in density and affects the fluid dynamics of
must be in agreement with the general physics of the fluid–blade coupling. Inlet, profile, blockage, and
all relevant phenomena. For instance, a turbulent secondary losses invariably increase if the operating
model that assumes a certain relationship between point deviates from the design one. A mass flow rate
the fluctuating velocity components and the local reduction (or increase) at the entrance of any stage is
turbulent kinetic energy cannot violate any of the reflected in a variation of pressures and densities at
known energy balances established by global con- stage exit and results in an efficiency penalty as well.
siderations. An exception is partial admission stages, where a
rather large mass flow rate adjustment can be made
The first numerical simulations (during the 1970s)
by increasing or decreasing the number of active
were based on inviscid models of the Navier–Stokes
sectors.
equations and could be applied only to very simple
Reaction stages can be regulated in a limited way
geometries. Nevertheless, they demonstrated the
by adjusting the interstage extractions. But this is not
capability of capturing some of the known physics.
always possible, with extraction conditions often
For instance, they correctly predicted the variation of
being dictated by process requirements. Thus, the
the curvature of streamlines at different radii due to a
load is usually controlled by throttling the steam
Coriolis-like effect. During recent years, completely
upstream of the first stage. This practice is thermo-
three-dimensional simulations of complex geometries
dynamically wasteful and in effect limits the load-
have been presented where the entire stage is
following capabilities of these machines.
simulated (although a correct accounting of the
Part-load performance charts are easily drawn.
relative motion of the rotoric and statoric blades is
The power delivered by a turbine is P ¼ m*Dh*Zt,
still problematic). At the current state of the art, a
and it is experimentally verified that, for a fixed
complete stage can be simulated only under some
condenser pressure, throttling makes the Dh nearly
simplifying assumptions with regard to its geometry
proportional to the Dp. Because the stage pressure
and the actual flow conditions. It is likely that in the
drop is linked to the stage mass flow rate by the
short to medium run (3–5 years), fully three-
turbine characteristic line, the partial load curve can
dimensional simulations of realistic geometries can
be traced point by point. It can also be shown that a
be carried out using complex turbulent models such
multistage turbine behaves as a subsonic nozzle near
as the LES (large eddy simulation) protocol or the
to its choking point, with its mass flow rate being
time-dependent ‘‘RSM’’ (Reynolds stress model).
nearly linearly proportional to the total expansion
Such extensive calculations require well over 106
ratio (and therefore to the degree of throttling).
grid points, solve 11 discretized differential equa-
Thus, the delivered power will be proportional to the
tions per grid point on average, and can be
mass flow rate. In the P/m plane, the line represent-
performed today only on large, massively parallel
ing part-load performance is straight (in this approx-
computers.
imation) and is called the Willans line. It will
intersect the m axis at a nonzero point called the
no-load flow rate, and it is completely defined by two
3.9 Final Design and Costing
experimental measurements that are easily per-
The two-dimensional design can be updated with the formed on an installed machine. If extractions are
help of numerical simulations and generally results in present, the Willans line is shifted toward higher
minor modifications to the blade geometry (mostly, mass flow rates and the complete part-load perfor-
the tip region of the blade and the shape of the casing mance map takes the appearance shown in Fig. 27.
at the hub are affected). After some necessary testing, Notice that this ‘‘fan’’ of Willans lines can still be
the design is finalized, is fully engineered, and goes derived experimentally on the basis of two measure-
into production. In this phase, detailed engineering ments for each extraction flow rate.
cost accounting procedures are employed to provide The Willans line represents a first-order approx-
an appropriately accurate calculation of the turbine imation of the real behavior of a multistage
production costs. turbine. At its lowest and upmost range, the power
254 Turbines, Steam

comparison with those of their competitors in a very


30
D
broad band of their operational field. They do not
easily adapt to excessive load variations and, there-
fore, are better suited for base load plants. Steam
PS
IG turbine-based cogeneration plants have reached
0
at
25 Willans lines guaranteed exergetic efficiencies of more than 45%,
n
ac
tio IG and combined cycle units (with the steam turbine
ex
tr PS
25
0 bottoming a gas turbine) nowadays exceed 50%.
Throttle flow (kg/s)

/ h
ds at
po
u n
io
n A Although only marginal further increases in their
ct IG
0 00 t ra PS performance can be expected to come from design
0, ex 0
15 s/
h 25
20 C u nd n
at improvements, a more substantial gain may be
po tio
,0
00 tra
c obtained by increasing the temperature and pressure
0 ex IG
10
d s/
h
0
PS of the feed steam. Steam turbines for motive
un 25
0
po
n
at applications (marine and terrestrial) are rapidly
, 00 tio
50 t r ac becoming obsolete because in this field they are
ex
10 s /h being replaced by the lighter and more flexible diesel
u nd
0
po engines and (especially for the higher power outputs)
gas turbines.
Turbine design is also a very mature engineering
B field. Current procedures are quite well defined and
0
10,000 20,000 make extensive use of the automated optimal design
Shaft power (kW) methods. In this respect, a quantitative leap is
necessary in computer speed and numerical methods
FIGURE 27 A typical extraction turbine performance map
showing the Willans lines.
(especially turbulent modeling) to attain an appreci-
able advantage over the current state of the art.
output/mass flow rate dependence is no longer
linear.
SEE ALSO THE
FOLLOWING ARTICLES
5. CONCLUSIONS
Cogeneration  Mechanical Energy  Turbines, Gas
Steam turbines are the most important machines in
the energy conversion field. Their cumulative me-
chanical and electrical installed power exceeds that Further Reading
of any other type of unit by far. Their design and
Balje, O. (1981). ‘‘Turbomachines: A Guide to Design, Selection,
operational procedures are very advanced, and they and Theory.’’ John Wiley, New York.
can be regarded as mature technological compo- Demeulenaere, A., and van den Braembusche, R. A. (1998). Three
nents. They are characterized by the highest stage dimensional inverse method for turbomachinery blading design.
efficiency among all ‘‘prime movers’’ (with Zstage ASME J. Turbomachinery 120, 247–255.
ranging from 0.80 to 0.95), by the highest power Lakshminarayana, B. (1996). ‘‘Fluid Dynamics and Heat Transfer
of Turbomachinery.’’ John Wiley, New York.
output per unit (up to 300 MW for a single body), by Mathis, D. M. (1994). Fundamentals of turbine design. In
one of the highest power densities (up to 700 kW/cm2 ‘‘Handbook of Turbomachinery’’ (E. Logan, Jr., Ed.). Marcel
of active flow area), and by one of the highest mean Dekker, New York.
times between failure (4100,000 h between major Peltier, R. V. (1994). Steam turbines. In ‘‘Handbook of Turbo-
machinery’’ (E. Logan, Jr., Ed.). Marcel Dekker, New York.
overhauls) and also cover an extremely wide range of
Stodola, A. (1945). ‘‘Steam and Gas Turbines.’’ Peter Smith, New
applications (from a few kilowatts as auxiliary York.
power units to more than 1000 MW in major nuclear Wislicenus, G. F. (1947). ‘‘Fluid Mechanics of Turbomachinery.’’
plants). Their installed cost is relatively modest in McGraw–Hill, New York.
Ultralight Rail and Energy Use
JOHN A. DEARIEN
CyberTran International, Inc.
U
Alameda, California, United States

their direct operation. The energy aspects of ultra-


1. Definition of Ultralight Rail light rail in the overall transportation system of the
2. A Brief Discussion of Conventional Rail United States are analyzed and discussed.
3. Capacity and Energy Consumption of Highways
4. Ultralight Rail—Operational Characteristics
5. Energy Requirements of Ultralight Rail and
Conventional Rail
1. DEFINITION OF
6. Cost of Ultralight Rail Systems ULTRALIGHT RAIL
7. Barriers to Implementation
Ultralight rail (ULR) is at the low end of the spect-
8. Energy-Saving Opportunities with Ultralight Rail
rum of weights of rail vehicles and is generally
considered any vehicle with a loaded weight of less
than 10,000 lbs and with a more personal type
Glossary of operation. This compares with light rail transit
consist An individual unit or multiple vehicles traveling in (LRT) (www.travelportland.com/visitors/transporta-
a linked set. tion.html) vehicles that can weigh over 100,000 lbs
grade The slope, or inclination, of the guideway. loaded and the locomotives that pull freight, com-
guideway The rail, support structure, power delivery muter trains, and Amtrak trains and weigh over
conductors, and control sensors that make up the path 300,000 lbs. The weight of a passenger vehicle on
on which ultralight vehicles move.
what is classified as a heavy metro rail, such as Bay
headway The time period between trains or individual
vehicles passing a particular point on the guideway.
Area Rapid Transit (BART) in the San Francisco Bay
kilowatt-hour (kWh) Base energy unit equaling 1 kW of area (www.bart.gov) and the New York City (NYC)
power used for 1 h. subway, can actually weigh less (approximately
passengers per hour per direction (pphpd) The measure of 60,000 lbs) than an LRT vehicle due to its construc-
capacity of a rail transit system, in terms of the tion and propulsion system (light refers more to total
maximum number of passengers the system can move passenger capacity than individual vehicle weight).
in one direction. In the ultralight range of steel-wheeled rail
vehicles, there are several technologies in develop-
ment but none in operation. CyberTran (www.cyber-
To best describe the relationship between ultralight tran.com), shown in Fig. 1, is an example at the top
rail and energy, it is necessary to establish a basis of of the range (10,000 lbs, loaded). CyberTran was
understanding. This basis is best defined in terms of developed at the Idaho National Engineering and
the energy requirements of known and familiar Environmental Laboratory (www.inel.gov), a Re-
modes of transportation, since there are so few search and Development Laboratory of the United
examples of ultralight rail in operation. This article States Department of Energy, and transferred out of
establishes this basis in terms of conventional rail the government for commercialization. An Austra-
systems and, where applicable, bus, automobile, and lian technology, Austrans (www.Austrans.com), is
truck systems. The basic characteristics of both somewhat lighter, at approximately 6600 lbs, loaded.
conventional and ultralight rail systems are de- Futrex (www.futrexinc.com) is between the ultra-
scribed, followed by a comparison of the two light range and the LRT, or full-size rail vehicles,
systems, with an emphasis on the energy aspects of weighing approximately 20,000 lbs loaded.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 255
256 Ultralight Rail and Energy Use

railway was born in the early 1800s in the coal mines


of England and quickly spread throughout the rest of
the world. The energy efficiency of the basic steel
wheel on steel rail system was further enhanced with
the advent of roller bearings on the axles and
propulsion systems with electric and diesel–electric
power plants.

2.1 Energy Efficiency of Steel Wheel on


Steel Rail
The primary reason for the energy efficiency of steel
wheel on steel rail vehicles is the extremely low
rolling resistance of the wheel, even under very high
FIGURE 1 CyberTran vehicle. loads and/or stresses. A typical loaded freight car can
weigh as much as 280,000 lbs, being supported by
There are several systems with vehicles in the eight wheels, with each wheel supporting over
ultralight category that utilize rubber-tired vehicles 35,000 lbs. This wheel load is supported through a
and channel-type guideways, such as Taxi 2000 (www. contact patch approximately the size of a dime,
taxi2000.com) and the ULTra system (www.atsltd. resulting in a contact stress between the wheel and
co.uk) at the University of Bristol in Cardiff, England. the rail of approximately 100,000 psi. Although this
The Morgantown People Mover (www.wvu.edu/ stress actually deforms the steel wheel and the steel
Bfacserv/prt.htm), at the University of West Virginia, rail, the energy lost in this process is small compared
Morgantown, is just over the 10,000 lb loaded weight to the energy it takes to deform and roll a rubber tire
(9000 lbs empty with a passenger capacity of 21), but under a heavy load. The force required to roll a
represents the best operating example of ultralight- standard railroad vehicle on level ground is approxi-
type systems. Although these rubber-tired systems mately 2–4 lbs per ton of vehicle weight.
share many of the energy-saving aspects of ultralight
rail, they have a larger rolling friction than steel wheel
on steel rail. The reader should keep these systems in
mind regarding energy discussions that are functions 2.2 Conventional Systems: Vehicle
of size, passenger load, small infrastructure costs due Weights and Capacities
to vehicle size, and vehicle movement options gener- Conventional transit vehicles typically weigh much
ated by small vehicles. An excellent coverage of less than loaded freight cars, but still represent a
ultralight systems and innovative transportation con- heavy load to place on wheels and rails. A BART car
cepts under development can be reviewed at the Web weighing 80,000 lbs loaded, and supported by eight
site of Professor Jerry Schneider, University of wheels, has a per wheel load of 10,000 lbs. Articu-
Washington (http://faculty.washington.edu/jbs/itrans). lated LRT vehicles generally have three sets of four-
wheeled trucks and, with loaded weights up to
120,000 lbs, this results in a load of 10,000 lbs per
2. A BRIEF DISCUSSION OF wheel. These vehicles roll even more efficiently than
CONVENTIONAL RAIL heavily loaded freight cars, but still represent a
sizable load, with energy-absorbing deformation of
Regardless of the weight of the vehicle—ultralight to the wheel/rail contact area. Rolling friction of typical
heavy metro—a steel wheel on a steel rail is the most transit vehicles is on the order of 3 lbs per ton. Figure
energy-efficient way to move a load over land. This 2 shows a typical LRT vehicle, operating at ground
efficient process was initiated by placing an iron- level in Portland, Oregon. Figure 3 shows an
rimmed wagon wheel on an iron-plated beam, example of a heavy metro rail system, BART,
allowing draft animals to pull much heavier wagon operating on an elevated track in the San Francisco
loads. With the advent of steam engines to pull the Bay area. LRT vehicles can transport over 100
wagons and flanges to keep the wagon wheels from passengers per vehicle and a 10-car BART train can
slipping off the steel rails, the essence of the modern carry over 1000 passengers.
Ultralight Rail and Energy Use 257

For an average station, it takes approximately 30 s for


a train to approach a station and come to a complete
stop, another 30–45 s to open the doors, unload/load
passengers, and close the doors, and another 30 s or
so to clear the station with enough margin for the
next train to come in. The smallest delay in any of
these functions slows the entire line of traffic, with
subsequent negative impact on the average speed of
the system. Minimum headways of 1.5–3 min are the
norm when safety margins are included. Ultralight
systems use a different operational process that
minimizes the effect of local delays, resulting in a
positive effect on average system speed.
FIGURE 2 LRT vehicle in Portland, Oregon.

2.4 Passenger Flow Rates of Conventional


Rail Systems
Capacities of conventional rail systems vary substan-
tially, depending on the capacity of each vehicle or
train, the headway between trains, and the speed of
the trains. The LRT system in Portland, Oregon is
made up of 2-car consists with a total capacity of
approximately 320 passengers (seated and standing).
At their average headway of 5 min during peak flows,
or 12 vehicles per hour, this constitutes a maximum
flow rate of 3840 passengers per hour per direction
(pphpd). BART, utilizing 10-car consists capable of
carrying over 1000 passengers and operating at less
than 3 min headways, has a capacity approaching
FIGURE 3 BART train.
26,000 pphpd. The Paris Metro, using 5-car consists
capable of carrying 1000 people and operating at 90 s
headways, has a capacity approaching 40,000 pphpd.
2.3 Operation of Conventional Rail
Transit Systems
The operational process of picking up passengers and 3. CAPACITY AND ENERGY
moving vehicles around the system is an area where CONSUMPTION OF HIGHWAYS
ultralight systems differ significantly from conven-
tional rail transit systems, resulting in opportunities Highways can also be rated with respect to their
for energy and operational cost savings. maximum capacity and energy consumption, thus
Conventional rail transit systems generally operate making it easier to compare them with rail as a related
as a linear system; i.e., vehicles or trains proceed transportation mode, relative to cost and energy
down the track in sequence, with each train stopping usage. A great deal of research and observation has
at each station and loading/unloading passengers. resulted in the understanding that a multilane high-
The NYC subway system is a rare exception to this way has a maximum capacity on the order of 2400
process, having express trains that bypass certain vehicles per hour per lane. Considering the fact that
stations in favor of decreasing the travel time to just a approximately 95% of freeway traffic consists of
few stations. The NYC system requires an additional single-occupancy vehicles, a highway lane has a
set of tracks in order to operate in this fashion. For passenger capacity of approximately 2500 pphpd.
most conventional systems in the world, however, the One can see instances, especially on Los Angeles
trains run in single file along the system, with the freeways, of groups of vehicles moving at densities of
average speed of the system governed by the rate at 50% or more in excess of this number, but not on a
which the trains can be cycled through each station. sustained basis or over an extended distance.
258 Ultralight Rail and Energy Use

Considering only those vehicles that meet the Although this characteristic is not unique to ultra-
CAFE (Corporate Average Fuel Economy) standards light systems (the Vancouver, British Columbia,
of 27.5 miles per gallon, an average vehicle capacity SkyTrain Metro system and the Paris Metro Meteor
of four seats, and an energy equivalent of 40 line are driverless), in the ultralight systems it is
kilowatt-hour (kWh) per gallon, the energy efficiency almost a necessity for any reasonable operating
of an automobile is approximately 0.37 kWh per seat- economics. If a driver was required in each small
mile. New technology vehicles such as the hybrid- vehicle, the overhead costs would be intolerable,
powered automobiles by Honda and Nissan have requiring trip costs typical of taxicabs without the
decreased fuel consumption by a factor of 2 or more, route flexibility of taxis. It is this characteristic,
for an energy efficiency of approximately 0.18 kWh however, that offers the opportunity for significant
per seat-mile. The ultracar technology by Dr. Amory energy and cost savings due to the different operating
Lovins of the Rocky Mountain Institute modes possible.
(www.rmi.org) promises to increase this efficiency
by another 50%, or 0.1 kWh per seat-mile, by
achieving a fuel efficiency of approximately 80 mpg.
4.2 Ultralight Rail Station Configuration
4. ULTRALIGHT RAIL— Two important characteristics of ultralight rail
OPERATIONAL CHARACTERISTICS systems are the rapidity with which passengers can
be dispatched toward their destination and the speed
The most dramatic and obvious characteristic of with which the passengers arrive at their destination.
ultralight systems is the size of the individual vehicles Both of these characteristics are due to a passenger
relative to conventional rail vehicles. Figure 1 shows loading/unloading process known as off-line loading
the CyberTran No. 2 Test Vehicle, a 38 ft long and direct-to-destination routing. Off-line loading
vehicle, weighing 10,000 lbs loaded, and designed to means that the loading and unloading process takes
carry 15–20 passengers. Figure 4 shows the Taxi place off the main line, in a station that is reached by
2000 vehicle, designed to carry 3 passengers at a going through a rail switch and proceeding to a
loaded weight estimated to be less than 1 ton. loading platform well away from the high-speed
traffic of the main line. This accomplishes two
important functions: (1) delays in the loading/
4.1 Computer-Controlled Systems unloading process at one station do not slow vehicles
on the main line and (2) by being able to maintain a
An important characteristic of ultralight rail system
high speed between origin and destination, a vehicle
vehicles is that they are computer-controlled.
has a high average speed over its route. Direct-to-
destination routing means that the vehicles do not
stop at intermediate stations between their origin and
their destination. The ability of a system to send
vehicles directly between origin and destination
requires that all passengers in that vehicle are going
to the same destination, a situation that can be
realized only by using small vehicles in conjunction
with high speed and computer-controlled direction of
passengers to their proper vehicles. Computer con-
trol over the operation of each vehicle, and between
individual vehicles, results in headways between
vehicles of 15 s or less. Managers of the Morgantown
People Mover are suggesting going to 7.5 s between
vehicles on the main line, and Dr. Edward Anderson,
with Taxi 2000, is proposing running at even smaller
time increments (www.taxi2000.com). The effect of
these short headways is to get more people to their
destination quicker, with fewer energy-consuming
FIGURE 4 Taxi 2000 vehicle. starts and stops along the way.
Ultralight Rail and Energy Use 259

4.3 Ultralight Rail Structures These headways are based on the requirement to
allow enough time and distance between adjacent
An important characteristic of ultralight rail is that
vehicles so that should the leading vehicle come to a
the structures carrying the vehicles are much smaller
sudden stop, the trailing vehicle has the time and
than the bridges, columns, foundations, etc., normally
distance to stop before hitting the leading vehicle.
associated with conventional rail transit systems or
With this requirement in mind, during high-passen-
even highway bridges. This characteristic is the one
ger-flow conditions, it is possible to slow vehicles
having the most impact on relative costs between down and operate under headways even shorter than
conventional and ultralight rail systems. The size of
the proposed 7.5 s. If one reduces the headway to 5 s,
structures required to support a 100,000 lb vehicle 15
a speed of 40 miles per hour (mph) represents a
ft in the air versus elevating a 10,000 lb vehicle not
separation the length of a football field and the safe
only has a dramatic cost effect on the construction
emergency stopping distance is less than one-half of
effort, but also in the amount of system energy it takes
that distance. An operational scenario like this
to produce the extra material and hardware.
results in a passenger flow rate of 14,400 pphpd,
which rivals the advertised capacity of almost any
LRT system and is far greater than any actual flow
4.4 Power Requirements of being carried by an existing LRT system. The Taxi
Ultralight Systems 2000 system is proposed to operate three-passenger
A hidden, yet important characteristic of ultralight vehicles at a headway of 0.5–1 s for a passenger flow
systems is the low power of the electric propulsion rate of 7200 pphpd.
motors required to move the vehicles around. Though
rolling friction is low for all rail vehicles, the energy
required to accelerate or elevate a vehicle is in direct 5. ENERGY REQUIREMENTS OF
proportion to its weight. This characteristic of having ULTRALIGHT RAIL AND
low-power propulsion motors is of most importance CONVENTIONAL RAIL
relative to the movement of empty or low-ridership
vehicles. Conventional, large, high-capacity rail This section examines the major factors affecting the
systems must move 10 s of 1000 s of pounds of energy requirements of ultralight and conventional
hardware around the system even if they are empty or rail systems and the factors that differentiate the
lightly loaded. Ultralight rail systems move much energy requirements of the two systems.
smaller vehicles around and then only the number of
vehicles that are required to meet the passenger load
demands. The advantages of this aspect of ultralight 5.1 Basic Energy Requirements of
rail systems are discussed further below. Rail Systems
There are four primary energy requirements in the
operation of both ultralight rail and conventional
4.5 Passenger Flow Rates
rail. These are acceleration, rolling friction, elevation
Capacities of ultralight systems cannot approach the in grade, and aerodynamic drag. Energy require-
capacities of heavy metro rail such as BART, the NYC ments for acceleration, rolling, and grade changes are
subway system, or the Paris Metro, but can provide all a direct function of the weight of the vehicle and
the carrying capacity normally provided by the its occupants. Aerodynamic drag is a function of size,
various LRT systems around the United States. The shape, length, etc., and although it is a small force
capacity of a system like the Morgantown People relative to conventional system acceleration and
Mover or CyberTran, both having a capacity of grade-climbing forces, it can be a significant energy
approximately 20 passengers and operating consumer in ultralight systems where vehicle weight
at 15 s headways, would be 240 vehicles per hour, is one-tenth that of conventional rail vehicles.
for a capacity of 4800 pphpd. Morgantown operators A major expenditure of energy is required for
are suggesting that the next upgrade to their system elevation change (upward) of conventional rail
will provide for operation using 7.5 s headways, a vehicles and their loads and it is in this area that
headway also evaluated for use with CyberTran. one of the major differences in system energy
Should these headways be implemented, these two consumption can be seen between conventional
systems would provide a line capacity of 9600 pphpd. systems and ultralight rail systems. It is also the
260 Ultralight Rail and Energy Use

reason that conventional rail systems, especially ultralight systems. Therefore, on a per passenger
locomotive-powered systems, are limited to rather basis, one should not expect much difference in the
flat grades throughout their routing. A conventional, energy efficiency of a heavy system and a light system
100,000 lb LRT traveling up a 2% grade at 60 mph when both systems are operating at or near their
requires 240 kW of power just for energy associated capacity. It is when the systems are required to operate
with the grade change, plus the energy required to at less than their maximum loads (which is the case
overcome the rolling friction and aerodynamic drag for most systems having a morning and evening rush
at this speed. An ultralight vehicle loaded to 10,000 hour) that significant differences can be seen between
lbs would require only 24 kW to handle the same the operation of conventional rail systems and ultra-
grade. In transit systems where a series of ‘‘trailer’’ light systems.
cars are pulled by a locomotive, such as with To illustrate the effects of weight, passenger
Amtrak, all of the ‘‘grade’’ drag must be supplied capacity, and operating process on the energy
by the traction of the locomotive. In the case of a consumption of a rail transit system, assume an
train of 10 cars, each weighing 100,000 lbs, the LRT with an empty weight of 75,000 lbs and a
locomotive pulling this train must exert a pulling passenger capacity of 150 (at 166 lbs per passenger),
force of 10,000 lbs for each degree of slope of the comparing its operation with an ultralight system of
roadbed (0.01grade  10 cars  100,000 lbs), plus 7500 lb vehicles and a capacity of 15 (to simplify the
the adhesion required to move the locomotive (2500 math). Table I shows the effective system weight and
lbs for a typical 250,000 lb locomotive). BART has the weight per passenger of a conventional system
four 110 kW electric motors per car, for a total of and an ultralight system as the ridership drops
4400 kW for a 10-car train. LRT vehicles typically (assuming constant frequency for the LRT and
have electric motors in the range of 400 kW per sufficient ultralight vehicles to carry the ridership).
vehicle. Ultralight vehicles require motors of less Table I shows the dramatic effect of operating a
than 50 kW to meet rolling, acceleration, grade, and system with small vehicles and one that allows the
aerodynamic energy needs. system control to use only the number of vehicles
(capacity) required to carry the load at any one time.
The LRT system is forced to provide an entire, high-
5.2 Vehicle Weight per Passenger capacity vehicle even when there are only a few
For rail vehicles not pulled by a locomotive (BART, riders, whereas the ultralight system merely provides
NYC subway, Paris Metro, LRT, ultralight systems), enough vehicles to carry the riders. From Table I, it
the vehicle weight per passenger is remarkably can be seen that the primary energy requirements of
similar. LRT vehicles have an advertised capacity in an ultralight system that are based on vehicle and
the neighborhood of 160 passengers and an empty passenger load weights range from equal at full load
weight of approximately 80,000–90,000 lbs (depend- to only 10% as the passenger load approaches zero.
ing on manufacturer and configuration), for a per
passenger capacity weight of approximately 500–560
lbs. BART has a vehicle weight of approximately TABLE I
60,000 lbs and a capacity of approximately 120 Effects of Load Factor on Vehicle Efficiency
passengers per vehicle, or 500 lbs per passenger.
CyberTran has an empty weight of approximately Effective system weight Vehicle weight per passenger
7500 lbs and a seated capacity of 15–20, or a Riders/
cycle LRT ULR LRT ULR
maximum per passenger weight of 375–500 lbs per
passenger. The Morgantown People Mover vehicle is 150 100,000 100,000a 500 500
approximately 9000 lbs with a 21-passenger capa- 75 87,500 50,000b 1000 500
city, or 428 lbs per passenger. 37 81,166 28,642c 2027 608
20 78,333 18,320 3750 750
10 76,666 9166 7500 750
5.3 Vehicle Weight per Passenger versus
1 75,166 7666 75,000 7500
Load Factor
a
Assumes 10 fully loaded vehicles to carry load at 10,000 lbs
In addition to the similarity of weights per passenger,
per loaded vehicle.
all of the rail systems described use very efficient b
Five vehicles at 7500 pounds each plus 12,500 lbs of
electric motors in their propulsion systems, albeit of passengers.
c
greatly different power between the heavy and the Requires three vehicles to carry 37 passengers.
Ultralight Rail and Energy Use 261

5.4 Energy Efficiency of Off-Line Loading TABLE II


and Direct to Destination Routing Conventional versus Capacity-Dictated Vehicle Dispatch

Another aspect of operational differences between Passenger


conventional and ultralight systems that can have flow
effects on energy consumption is the ability of Net
ultralight systems to operate in a full-time express capacity LRT ULRa
mode, i.e., direct to destination, as opposed to the Station Entry Exit required capacity capacity
linear operating mode of conventional rail, i.e., 1 20 0 150 30
stopping at every station. The standard operating (2 vehicles)
mode of ultralight systems is the use of off-line 2 50 10 60 150 60
loading/unloading, as described in the previous (4 vehicles)
section. With an appropriately designed station, an 3 50 20 90 150 95
ultralight vehicle can leave any station and go (7 vehicles)
directly to any other station, in either direction. A 4 70 10 150 150 150
(10
conventional linear system, however, must start at vehicles)
one end of the line with all of the capacity it will 5 20 80 90 150 95
require to handle the heaviest traffic between any (7 vehicles)
two stations on the line. 6 10 50 50 150 60
Table II illustrates the effect of this necessity for (4 vehicles)
‘‘carrying your capacity’’ through the entire line versus 7 5 30 25 150 30
the option available with ultralight systems to place in (2 vehicles)
service only the capacity needed to carry the load. 8 0 25 0 150
The operational efficiency of each system for this
example, defined as the passenger segments required/ Total capacity 485
passenger segments provided, is 46.2% for the con- required: passenger
segmentsb
ventional system and 93.2% for the ultralight system.
Total capacity 1050 520
Each unit of capacity delivered carries a cost in delivered (passenger
energy as well as wear and tear on the system. With segments):
each system having a vehicle weight of approxi-
a
mately 500 lbs per unit of capacity, accelerating each Assumes that vehicles carry multidestination passengers, stop
only at stations to which passengers are going, and can reverse
of these extra units of capacity and carrying them
direction at any station.
through any change in elevation, plus the small b
One passenger segment is one passenger transported between
amount of rolling energy, indicates that, for this adjacent stations.
example, the ultralight system is more than twice as
energy efficient in carrying the required passenger having to expend the energy of stopping and starting
load. This increased efficiency is due entirely to the at each intermediate station, and traveling between
operating options available with the ultralight the stations at a much higher average speed.
system, since the basic weight per passenger capacity, Computer simulations between direct to destination
motor efficiency, and effects that are a function of routing and linear system routing indicate an increase
weight, such as acceleration, elevation change, and in average system speed of a factor of 3 (from
rolling, are essentially the same. 15.7 mph in the Portland MAX system to 51 mph in a
An additional effect that is not illustrated in Table simulated system with ultralight vehicles).
II, but can be readily seen as a source of additional
energy savings, is the savings associated with not
5.5 Energy Efficiency Potential from
having to stop at intermediate stations. When traffic
Intermodal Operations
becomes sufficiently large, the small vehicles can be
filled at one station with passengers destined for a As illustrated in Table I, high-capacity, heavy metro
single other station, as opposed to conventional linear and LRT systems can be very efficient, energy-
rail systems where all passengers to all stations are in wise, when operated at high passenger loads, and
the same vehicle and stop at all stops. This single- conversely, can be extremely inefficient during
destination vehicle then proceeds directly from its periods of low passenger flow. Figure 5 illustrates
originating station to its destination station, not the effect of load on energy efficiency as the
262 Ultralight Rail and Energy Use

additional passengers to the conventional system in


Energy use per passenger

1.5
an energy-efficient process, making the operation of
LRT energy use
the conventional system even more efficient, since the
1.0 LRT with one ULR load marginal energy cost of additional passengers on a
(kW)

conventional system is extremely low.


0.5 ULR energy use

0 5.6 Ultralight Rail and Cargo Transport


0 50 100 150 200
A final point in the spectrum of possibilities with
Passengers carried
ultralight rail is the transportation of cargo. Ultralight
FIGURE 5 Energy use of LRT and ULR with intermodal vehicles with a maximum gross vehicle weight of up
effects.
to 10,000 lbs have a cargo-carrying potential of over
5000 lbs. With a rolling resistance and an aerody-
passenger load decreases in (1) a 150-passenger LRT namic drag of an ultralight vehicle having an average
vehicle and (2) 10 ULR vehicles, with the ultralight power requirement of approximately 12 kW, the
vehicles being removed from service as the load energy consumption of an ultralight cargo vehicle
decreases. can be on the order of 0.08 kWh per ton-mile. This
Ultralight rail systems have the potential to value compares with a Class 8 truck that can carry 25
increase the energy efficiency of high-speed and tons at an average diesel consumption of 6 miles per
heavy rail systems by feeding extra passengers into gallon, or for an energy equivalent of 40 kWh per
existing stations from outlying areas off the sides and diesel-gallon, an energy consumption of 0.266 kWh
ends of the high-capacity systems. Figure 5 provides per ton-mile. Although the energy consumption of
an example of the increase in energy efficiency highway trucks is approximately a factor of 3 times
possible by the intermodal connection of conven- that of an ultralight rail vehicle, the monetary
tional rail systems and ultralight rail, where a single economics of the process is not as disparate. For an
ultralight passenger load is brought in from the side electricity cost of $0.10 per kWh, the direct energy
or end and added to the passenger load of a cost of an ultralight rail vehicle is $0.008 per ton-mile.
conventional LRT-size vehicle. For a diesel price of $1.50 per gallon, the direct energy
Additional passengers brought in from the side or cost of truck cargo is $0.01 per ton-mile, only 25%
ends of conventional systems by small ultralight more that the ultralight vehicle cost. This cost
vehicles not only increase the energy efficiency of the comparison is more a reflection of the energy policy
conventional systems, but reduce the need to provide of the United States than of the energy consumption
additional parking in the immediate station area. rates of the two modes of cargo transport. However,
Parking for the ultralight systems can be placed far when one adds in the cost of the truck driver,
from the conventional system stations in less approximately $0.02 per ton-mile, the monetary cost
expensive and more accessible real estate. difference between the two modes of transport is
Conventional heavy metro and LRT systems are comparable with the differences in energy consump-
expensive ($50,000,000 to $100,000,000 per mile) tion between ultralight rail and heavy trucks.
and have a large ground footprint, two character- Obviously, ultralight rail systems would be best
istics that detract from extending the systems into utilized in certain types of high-value cargo, such as
lower density sources of passengers. Additionally, it the U.S. mail, electronics, or any item with a high
is not only expensive to provide parking around time value.
stations, where the land is at a premium, but 5 acres
of expensive parking can hold only B750 vehicles,
approximately the passenger capacity of one heavy 6. COST OF ULTRALIGHT
metro train. Therefore, the first train through the RAIL SYSTEMS
system can take all of the parking lot patrons, leaving
the station isolated to many potential passengers and There are two primary areas of cost savings with
lowering the efficiency of the large transit system. ultralight systems, those being in the initial construc-
Ultralight systems that cost $10,000,000 to tion of the system and in the operation of the system.
$20,000,000 per mile and have a much smaller A further area of potential savings is in the process by
ground footprint can be extended far beyond the which these systems are planned, designed, and
walking limits of conventional rail stations, bringing constructed.
Ultralight Rail and Energy Use 263

6.1 Construction Costs and the ultralight systems, given that a 3-ton weight
can be easily fabricated off-site, trucked to the site,
The cost of any transit system is dominated by the and quickly lifted into place, as opposed to the same
structural infrastructure costs (B60%), followed by process associated with dealing with a 120-ton unit.
power systems (B20%), vehicles (B10%), and Structural components as low in the system as the
miscellaneous (B10%). Specific costs for planning, rails also show a dramatic difference in size and costs.
engineering, permits, etc. can be included in the The Portland MAX system uses 115 lb rail (115 lbs per
individual unit costs or sometimes identified as yard), whereas the CyberTran system is designed to use
separate unit costs. a rail weighing 12.5 lbs per yard. This approximate
The important item to note in the cost numbers is factor of 10:1 between the rail weights not only means
that the largest component by far is the structural a 10:1 factor in the basic material costs, but a 12 ft
aspect of the system, that being right-of-way real standard rail length weighs approximately 50 lbs and
estate, support structures, bridges, rail and rail can be handled by one construction person, whereas a
support systems, tunnels, etc. The size and cost of standard 39 ft rail section weighs approximately 4500
all of these subcomponents are driven by the size and lbs and must be handled with machinery and at least
weight of the vehicles that must be carried through two construction personnel.
the system. Not only are the size and cost of these Power delivery systems can show a similar ratio
components driven by the size and weight of the between size, and therefore cost, of conventional
vehicles carried, but the components have a nonlinear systems and ultralight systems. Two-car consists of
relationship to the vehicle weight. As the weight of conventional LRT vehicles (with 400 kW per vehicle)
the vehicle to be carried increases, the size and weight passing each other on a bidirectional right of way
of the bridge or guideway section increase due to the require a delivered capacity of 1600 kW at each point
higher vehicle weight plus an increase in size and along the guideway. Two CyberTran vehicles (with
weight due to the increased weight of the structural 75 kW per vehicle) require a point capacity of
section itself. This is a vicious circle that can result, in 150 kW, or a factor of over 10:1 between the
many cases, in the primary load on the structure conventional system and the ultralight system. Light-
being the structure itself. This effect can be particu- er systems such as Taxi 2000 and Austrans would be
larly onerous in areas with high seismic activity where expected to have even larger ratios.
extra mass in elevated structures (elevated concrete The power ratios between ultralight systems can
guideways) can result in extremely large structures. be even more dramatic when compared with high-
In addition to the nonlinearity in size caused by speed trains, which some systems, such as CyberTran,
large structures having to support themselves, the are capable of competing with in the speed range of
cost of constructing these structures can have a 125–150 mph. A French Train Grande Vitesse (TGV)
nonlinear effect. It takes a disproportionate amount has 8800 kW of motor capacity on board, which
of time, labor, and construction machinery to put translates to the potential of 17.6 MW of power
large structural systems in place relative to the requirement at any point on the system where two
lightweight components required for ultralight rail trains might pass. Two high-speed versions of the
systems. Whereas very large components of heavy CyberTran vehicles, using two 75 kW motors each,
vehicle systems may have to be formed and poured in would require a point power delivery requirement of
place (requiring a great deal of on-site labor and 300 kW, for a power system ratio of almost 60:1. A
machinery), lightweight components can be mass ratio like this results in a dramatic difference in the
produced off-site, trucked on-site, and lifted into size and cost of power supply components such as
place with readily available cranes and rigging. transformers, rectifiers, cables, relays, and fuses.
As an example of relative weights, a 60 ft elevated Although the specific capital cost of any transit
steel guideway truss for CyberTran weighs approxi- system is a function of the local conditions, it is
mately 3 tons, whereas the elevated concrete guide- apparent from the above comparisons that the cost of
way sections typical of conventional people mover an ultralight system can be substantially less than the
systems can weigh as much as 120 tons (prestressed cost of a conventional technology system. Although a
section 3 ft deep and 9 ft wide). The guideway commercial ultralight system has not been placed in
section for a Taxi 2000 vehicle would be expected to operating revenue service yet, a number of cost
weigh even less than the CyberTran section. It is clear estimates have been made on these systems using
that a cost advantage exists in both the fabrication conventional estimating techniques based on the use of
and erection processes between conventional systems conventional construction materials and techniques.
264 Ultralight Rail and Energy Use

These estimates project a capital cost for ultralight using expensive custom manufacturing procedures,
systems in the range of $10 million to $20 million per Ford generated many of his own components and put
bidirectional route mile. This compares with experi- efficient mass production procedures in place. A very
ence and estimates for conventional technology, LRT- similar process was initiated by General Electric (GE)
type systems, in the range of $30 million to $60 and General Motors (GM) in the production of rail
million per route mile, and heavy rail systems like locomotives. GE and GM produced a standard
BART, on the order of $100 million per route mile. locomotive and the rail lines met their varied traction
needs by using a varying number of locomotives, as
opposed to the practice of many steam locomotive
6.2 Operating and Maintenance Costs
manufacturers that produced engines to the specific
Ultralight systems have the opportunity to realize requirements of individual rail lines.
significant reductions in operating and maintenance
costs due to the basic operating mode of the systems
(automated system control and driverless computer-
controlled vehicles) and the maintenance processes
7. BARRIERS TO IMPLEMENTATION
associated with small vehicles and small system
There are significant barriers to implementation of
components (rails, switches, etc.).
any of these ultralight concepts, but none are technical
Maintenance facilities for ultralight systems can be
in nature. The technologies associated with each of
substantially smaller and less costly than conventional
technology maintenance facilities due to the much the concepts mentioned in this article are essentially
off-the-shelf, with many of the subcomponents
smaller size and weight of the vehicles to be handled.
planned for use at a technical level much lower than
Buildings can be smaller and the associated lifting and
already available and in use. The communication,
handling machinery can be one-tenth the size of the
computer control, and data transfer requirements of
machinery required to handle conventional rail
the ultralight rail systems are orders of magnitude less
equipment. The general practice in the ultralight rail
complex than similar functions performed continu-
concepts of keeping and storing vehicles at stations
ously by the world’s cell telephone operation or even a
(for ready availability) results in smaller real estate
needs for fleet storage, relative to the large marshaling medium-sized office’s computer network. The me-
chanics of ultralight systems are operationally similar
yards typical of conventional rail technology.
to the systems that have been operating for 180 years
and construction of the components of the system is a
6.3 Cost Effects of Construction Process process within the capabilities of a broad spectrum of
American and world industry.
The construction procedure for conventional technol-
The primary barriers to implementation are as
ogy systems is a highly fractured process, even when
follows:
one company takes on the responsibility for develop-
ing the complete system, such as a DBOM (design, 1. The almost nonexistence of government re-
build, operate, and maintain), because almost all of search funds for the development and implementa-
the major subcomponents (engineering, civil structure tion of new technology
construction, vehicles, signaling, power systems, 2. The reluctance (and sometimes legal barrier) to
permanent way components, fare collection, etc.) buy unproven technology or technology that is not
are handled by different companies. This process yet in revenue service (a great Catch-22 that benefits
results in excess costs for program management as in-place technologies)
well as the basic needs for profit and overhead costs 3. The reluctance of existing industry members to
by each of the subcomponent suppliers. take on a new technology with which they have no
Significant savings in the supply of ultralight experience or expertise
systems are possible if the developers of ultralight 4. The opposition by groups that view this concept
systems define a standardized system with standar- as competition to their particular technology (auto-
dized components available from efficient suppliers mobiles, buses, taxis, airline, conventional rail) or
or produced internally. This process of standardizing profession (road construction, supplier to competing
the product and making the subcomponent supply technologies, consultants for conventional technology)
line extremely efficient was started by Henry Ford in 5. Members of certain environmental groups who
his automotive production process. Instead of buying see any system that makes transportation more
many components from a variety of suppliers and efficient as being a promoter of urban sprawl
Ultralight Rail and Energy Use 265

Having identified all of the seemingly formidable TABLE III


barriers above, it is important to point out that these Energy Usage of Various Transportation Modes
barriers are not new or unique to this particular
technology. The diesel–electric locomotives faced LRTa ULR Busa Automobileb
similar concerns relative to the long history of steam Potential (k Wh per 0.04 0.04c 0.14 0.37
locomotives and their technology support infrastruc- place mile)
ture. Automobiles faced opposition from those in the Actual(k Wh per place mile) 1.14 0.106d 4.06 1.4e
horse-drawn carriage trade and the manufacturers of
a
the carriage components, as well as the legal structure Data from Portland MAX (1989) Special Report 221,
Transportation Research Board, Washington, DC.
concerned with public safety. Business leaders initially b
Four passenger auto mobile getting 27 miles per gallon.
saw little need for telephones, considering the cost, c
Estimate based on weight and seats compared to LRT.
convenience, and experience of message boys. Amer- d
Based on dispatching out at 60% occupancy and deadheading
ican locomotive engineers have fought the automated back empty.
e
control of locomotives in switching yards for years and Based on 1.05 passenger average occupancy—units of
kWhrper/passenger mile.
have only just begun to accept a very efficient techno-
logy that has been used in Canada for years. One
should also remember that it took George Westing- modes, in terms of their potential usage (kilowatt-
house over 20 years—and took an act of Congress—to hour per available place mile) and in terms of their
get air brakes on American trains, despite the obvious actual (or best estimated) usage (kilowatt-hour per
safety needs at the time for the system. passenger mile).
Dealing with these barriers to implementation is Table III shows that conventional rail and ultra-
part of the development process for any new light rail are essentially the same in terms of energy
technology, and if history is any guide, an appro- efficiency when operated at their maximum poten-
priate and timely technology will eventually win out. tial, but that the capability of ultralight rail to leave
unneeded capacity at the station has a dramatic effect
on energy efficiency at less than maximum loads.
Table III indicates that in situations where ultralight
8. ENERGY-SAVING rail can augment or be substituted for other
OPPORTUNITIES WITH transportation modes, significant energy savings can
ULTRALIGHT RAIL result, such as with LRT (91%), buses (97%), and
personal automobiles (92%). Although there will
The above data and comparisons indicate that always be a necessity for buses and automobiles, the
significant energy savings and cost savings are possible energy consumption numbers indicate that rail in
with the implementation of ultralight rail systems. general, and ultralight rail in particular, should be
The energy savings of ultralight rail systems relative to implemented as widely as possible for the energy-
conventional rail systems is due primarily to the saving potential the technology offers.
ability of ultralight systems to quickly adjust the Significant energy savings are possible with the
number of vehicles, and thus capacity, to the ridership implementation of ultralight rail systems and, in
requirements. These savings are possible not only with addition, the energy source for these systems, elec-
stand-alone ultralight rail systems, but with their use tricity, can be generated from resources under domes-
as support and passenger-feed systems to high- tic control (coal, hydroelectric, nuclear, natural gas) as
passenger-volume conventional rail systems, such as opposed to the foreign oil base of the majority of the
BART, the NYC subway, and certain LRT systems. transportation infrastructure of the United States.
The energy savings of ultralight rail relative to
automobiles are due not only to the basic increased
energy efficiency of a steel-wheeled vehicle over a
rubber-tired vehicle, but also to the highly inefficient
utilization of automobiles in congested commuting SEE ALSO THE
situations. FOLLOWING ARTICLES
Table III illustrates the potential effect of ultralight
rail on energy consumption in the human transporta- Intelligent Transportation Systems  Magnetic Levi-
tion sector of the United States economy. Table III tation  Transportation and Energy, Overview 
shows the energy consumption of four transportation Transportation and Energy Policy
266 Ultralight Rail and Energy Use

Further Reading Transportation Research Board. (1989). ‘‘Light Rail Transit—


New System Successes at Affordable Prices,’’ Special
Armstrong, J. H. (1994). ‘‘The Railroad—What It Is, What It Report 221. Transportation Research Board, Washington,
Does—The Introduction to Railroading.’’ 3rd Ed. Simmons- DC.
Boardman, Omaha, NE. Transportation Research Board. (1994). ‘‘Highway Capacity
Charles River Associates. (2000). ‘‘Diesel Technology and the Manual,’’ Special Report 209. Transportation Research Board,
American Economy,’’ Report D02378-00, Charles River As- Washington, DC.
sociates, Washington, DC. Transportation Research Board. (1991). ‘‘In Pursuit of
Irving, J. H. (1978). ‘‘Fundamentals of Personal Rapid Transit.’’ Speed—New Options for Intercity Passenger Transport,’’
D. C. Heath and Co., Lexington, MA. Special Report 233. Transportation Research Board, Washing-
Tayler, A. (1992). ‘‘HiTech Trains.’’ Chartwell Books, Secaucus, NJ. ton, DC.
United Nations
Energy Agreements
CLAIRE J. NORRIS
Boston University
Boston, Massachusetts, United States

evolved during progressive global conferences, in the


1. Background to Type II Agreements context of increasing globalization and a heightened
2. Analysis of Type II Energy Agreements focus on trade and development over pure environ-
3. Evaluation of Type II Energy Agreements mental issues.

Glossary 1. BACKGROUND TO
Commission for Sustainable Development (CSD) The TYPE II AGREEMENTS
United Nations entity tasked to manage the submission
of Type II agreements arising from the World Summit During the United Nations Conference on the Hu-
on Sustainable Development. man Environment, held in Stockholm in June 1972,
nongovernmental organizations (NGOs) Played an impor- sustainable development as an aim had not yet been
tant participatory role in the World Summit on identified, but the significant impact of business in
Sustainable Development. environmental matters certainly had been. Thirty
sustainable development Development that meets the
years ago, business was viewed as a problem to be
needs of the present without compromising the ability
of future generations to meet their own needs.
solved by nation-states, certainly not as a stakeholder
Type I agreements Agreements between governments to to be involved in any negotiation on international
implement sustainable development. environmental treaties. The private sector was
Type II agreements Partnerships between a combination of practically unanimously perceived as being on the
governments, NGOs, and the private sector for the side of development, encouraging increasing con-
implementation of sustainable development. sumption of natural resources and therefore against
World Summit on Sustainable Development (WSSD) Held the environment almost by definition.
in Johannesburg, South Africa, August 26 to September Twenty years after UNCHE, the United Nations
4, 2002. Conference on Environment and Development
(UNCED) met in 1992 at Rio to produce funda-
mental principles and a program of action for
Sustainable development has been on the interna- achieving sustainable development, crystallized in
tional environmental agenda since the 1980s. One of the Rio principles and Agenda 21. In this forum,
the most commonly cited definitions of sustainable business as a driver of energy consumption was still
development comes from the World Commission on viewed as the problem, but by this stage there existed
Environment and Development (WCED), which a degree of grudging acknowledgement that to
states that ‘‘sustainable development is development achieve the aims of sustainable development, there
that meets the needs of the present without compro- would have to be some level of dialogue between
mising the ability of future generations to meet their business and the nation-states. This acknowledgement
own needs.’’ Developing the generation and usage of was partially fueled by the increasing global power of
energy in a sustainable manner has been a primary large multinational corporations, some of whose
focus of sustainable development initiatives. The individual economies were more significant than
involvement of private-sector energy companies has those of some states. In this context, any individual

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 267
268 United Nations Energy Agreements

state had become unable to monitor and therefore enable implementation of sustainable development
control the activities of registered companies. objectives. The low level of implementation since Rio
This push factor played a part in forcing nation- was noted at the second session of the Preparatory
states to accept business to the table, albeit a table Committee (Prepcom) for the WSSD (New York,
geographically removed from that of the 184 January 2002), which also recognized that the WSSD
governments at Rio. This was documented in Agenda would be unlikely to achieve specific commitments
21, which identified business and industry as one of between governments in that global political climate.
nine major groups that can empower communities to An outline of the nature of a second type of
mobilize for the environment. The North/South partnership was prepared, inviting governments,
negotiating dynamic also increasingly played a part international governmental organizations (IGOs),
in involving business with sustainable development and major nongovernmental organizations (NGOs)
negotiations, as some countries from the South to put forward preliminary partnership proposals at
viewed their participation in potentially GDP-redu- the third (New York, March 2002) and fourth
cing environmental projects as contingent on support (Jakarta, May 2002) Prepcoms.
for development to alleviate poverty. Governments Proposals were required to be aimed at supporting
from the North possessed capacity to provide that practical implementation of Agenda 21 and sustain-
support, but the private sector was vital to any able development activities in developing countries.
implementation, which provided additional pressure Additionally, proposals were to be international in
to include business in the dialogue. The ecological scope, consist of more than one partner, and be
interdependence of development and the natural specifically developed for the WSSD. This new type
environment became replicated in the negotiating of agreement, labeled Type II, was intended as
dynamics of UNCED. Acknowledgement of this informal, voluntary commitments, generally between
interdependence can be observed in the Rio Declara- a combination of governments, business, NGOs, and
tion on Environment and Development, which states IGOs. In contrast, Type I agreements are specific
in Principle 4 that ‘‘in order to achieve sustainable commitments between governments. The chairman’s
development, environmental protection shall consti- notes from the second Prepcom also stated that
tute an integral part of the development process and ‘‘partnerships and initiatives to implement Agenda
cannot be considered in isolation from it.’’ 21 are expected to become one of the major
After Rio, environmental issues became firmly outcomes of the World Summit on Sustainable
established as global problems that require real Development.’’ As these partnerships are a specified
solutions, and voices for business took the position major outcome of a global summit attended by 189
that it is better be at the table and provide governments, more than 700 NGOs, and hundreds of
appropriate input rather than take an isolationist international corporations and quasi-governmental
stance that may lead to the imposition of suboptimal interests, the success of generating partnerships and
legislation later down the line. With the formation of whether those partnerships retain the characteristics
organizations such as the World Business Council for intended by the WSSD both merit investigation.
Sustainable Development (WBCSD) in 1995, the Advantages of Type II agreements over Type I
private sector began to develop a coherent voice on agreements cited during the later Prepcoms include
sustainable development issues, although the coop- the reduction of time taken to develop agreements,
eration between those organizations and govern- leverage of nongovernment resources and increased
ments was limited. Toward the end of the 1990s, credibility, participation, and range of expertise. By
interest in business as a lever for promoting sustain- the fourth Prepcom (May 2002), more than 400
able development began to increase, although stakeholders from 50 countries had collaborated to
environmental issues themselves fell down the list create 14 draft proposals, energy being one of the
of government priorities in favor of global issues four broad issues addressed. At Johannesburg, more
such as trade. Membership of the WBCSD grew to than 170 Type II proposals had been developed for
more than 170 and the organization began to presentation. Principle 27 of the Johannesburg
develop sustainability reports on the energy sector, Declaration on Sustainable Development stated,
which were submitted to global conferences. ‘‘We agree that in pursuit of their legitimate activities
As the World Summit on Sustainable Develop- the private sector, both large and small companies,
ment (WSSD) 2002 approached, the Preparatory have a duty to contribute to the evolution of
Committee began to realize that a new type of equitable and sustainable communities and socie-
agreement would be necessary at Johannesburg to ties.’’ This position is more collaborative than in
United Nations Energy Agreements 269

either of the previous two declarations and may 266 agreements. The CSD then reviewed this April
represent the balance point of business involvement list to ensure partnerships complied with guidelines
in negotiated sustainable development. Since the laid out in their Implementation Track for Agenda 21
WSSD, updates to both initial proposals and com- published in May and redrafted an approved partner-
pletely new proposals have been added to this set of ship list of 232 agreements in June. This Implemen-
agreements, and there is no submission deadline. tation Track incorporated the Bali Guiding Principles
and General Assembly resolution 56/76.

2. ANALYSIS OF TYPE II
2.1 Partnership Aims
ENERGY AGREEMENTS
The majority of Type II agreements have multiple
Some analysis of Type II agreements has been carried aims, and there are a number of ways to cluster the
out by the Commission on Sustainable Development data set. The information can be assessed based on
(CSD), which emerged from Agenda 21 after the target of the partnership (e.g., energy), the means
UNCED and is now designated to oversee progress of implementing the partnership (e.g., technology
on these agreements. As these partnerships were a transfer and capacity building) or the geographic
last minute addition to the WSSD agenda, promoted focus of the agreement. Africa and small island
as a significant outcome to the summit once it developing states (SIDS) were singled out by the CSD
became clear that no new intergovernmental agree- as geographic categories meriting primary aim status.
ments could be achieved, it is important to establish For clarity, these aims have been hierarchically
to what extent they can add value to the quest for mapped into broad categories (Fig. 1). Tertiary aims
sustainable development. A detailed database analy- of the agreements were then identified using in-
sis of Type II partnership agreements provides some formation provided in the WSSD Type II Partnership
level of insight into this question, using three CSD lists and additional data provided by multiple online
lists of Type II Agreements. The first was submitted forms as submitted by individual partnerships.
as of August 16, 2002, for discussion during the Ninety-three agreements approved to date pri-
conference, containing 172 agreements, and the marily characterize themselves as managing the
second was published on April 24, 2003, containing natural resource base, with 88 implementation

AIMS Hierarchy

Primary 1. 2. 3. 4. 5. 6. 7.
Managing Regional Partnerships
Changing natural Health and sustainable not yet
unsustainable resource sustainable Sustainable development Means of approved by
patterns base development tourism initiatives implementation CSD

- Agriculture/food security - Small island developing - Capacity building


Secondary and rural development states (SIDS) - Education
- Biodiversity - Africa - Finance
- Climate change - Information for decision
- Disaster preparedness making
- Energy - Science
- Freshwater - Sustainable development
- Forests law
- Minerals and mining - Transfer of technology
- Mountains - Trade
- Oceans/coastal areas/ - Local authorities and
fisheries urbanization

- Energy - Climate change - Health


Tertiary
- Poverty - Capacity building - Finance
- Information for decision making - Developing small businesses - Certification
- Small island developing states (SIDS) - Hazardous wastes - Technology transfer
- Globalization - Water - Food security
- Agriculture - Forests - Biodiversity
- Trade - Science - Land degredation
- Biosafety - Conservation - Mining
- Governance

FIGURE 1 Flowchart illustrating the hierarchy of aims within which Type II agreements can be analyzed and the
positioning of energy agreements within that hierarchy.
270 United Nations Energy Agreements

agreements as the second most frequent category comprising fewer than five agreements. The focus
(Fig. 2). Together, the categories of Managing Nat- appears to be on implementation by empowerment,
ural Resources and Implementation make up over organization, and information (local authorities,
57% of the partnership proposals submitted to date education, capacity-building) rather than implemen-
and 70% of the 232 successful partnerships. Break- tation by the application of explicit tools (finance,
ing these categories down into secondary aims trade, law).
demonstrates that energy is a major focus of natural The majority of tertiary aims appear to focus on
resource management, and energy issues are expli- implementation issues, the three most frequent
citly addressed by 39 approved partnerships. Fresh- tertiary aims being capacity building, technology
water, agriculture, and oceans each comprise 15% of transfer, and information for decision making, in that
natural resource agreements. Biodiversity and cli- order. Poverty is a category not explicitly covered in
mate change have 9 and 7 agreements, respectively, primary or secondary aims and is the most frequent
with disaster preparedness, forests, mountains, and nonimplementation tertiary aim, stated by 48 (over a
mining each comprising of fewer than five agree- fifth of) Type II partnerships. Many sustainable
ments. The significance of African sustainable devel- development projects appear to have the underlying
opment initiatives in the third most frequent category aim of poverty reduction while tackling primary
of partnerships reflects the numerous sustainable natural resource management issues including en-
development challenges faced by Africa. Successive ergy, agriculture, freshwater, and biodiversity. Edu-
United Nations Development Programme (UNDP) cation partnerships have a large number of tertiary
Human Development Reports document the chal- aims, reflecting the wide range of sustainable
lenges faced by sub-Saharan Africa, including low development topics that can be taught and the
rates of access to electricity, low energy consumption multiple benefits of education. The importance of
per capita, declining income per capita, and informa- both poverty eradication and education are reflected
tion-poor schools and hospitals, the breadth and as two of the UN Millennium Development Goals: to
depth of which are unrivaled by any other continent. reduce by half the proportion of people who live on
Strengthening of local authorities (which includes less than a dollar a day and to ensure that all boys
urbanization and city planning partnerships) and and girls complete a full course of primary schooling.
provision of education are the methods by which A number of the so-called small island developing
more than half of the implementation agreements are states projects touched on similar concerns as those
to be enacted. Provision of information, science, within the Oceans bracket, which enhances the
trade, and capacity-building are also important importance of marine issues. It could be hypothe-
implementation categories, with sustainable devel- sized that many of the challenges faced by SIDS stem
opment law, finance, and technology transfer each from concerns on climate change, which is directly
impacted by sustainable energy development initia-
100 93 tives. However, climate change does not feature
highly on list of SIDS partnership tertiary aims. This
Number of agreements

Partnerships
80
69
relating to energy may reflect the possibility that only a finite number of
60 scientific partnerships on climate change are re-
quired, but that a host of development projects will
40 Partnerships with no
energy component
be required to support the SIDS if climate change
25
15 17 causes sea levels to rise significantly.
20
4
9 Although all partnership categories are weighted
0 to target developing countries, local authority and
m

n
es

s
t

climate change partnerships have the highest devel-


en

Im ica en
io

tio

ce
t
is

n
at
pt
ur

ng e
m

ta

ur
st
pi m
ab ns m
to

d d lop

Af op

en

so
lo op
u

oped country target of approximately 28%. This


in vel
s
e

em

re
e

ve el
tte on
bl

r
sl ab ev

g
de ev

es e
na

pl
pa g c

in
r
d

iv d

does not reflect the WSSD aim that ‘‘only those


ai

ag
le

at le
n

an le
st

iti b
gi

an
in ina
Su

M
ha

partnerships/initiatives that y are aimed at sustain-


l i in
ai

a
al sta
st

st
C

su

Su
sm u
of S

able development activities in developing countries


d
an
th

y would be announced during the official partner-


l
ea

Primary focus of agreement


H

ship events.’’ However, climate change and the


FIGURE 2 Bar chart displaying the primary focus of Type II
agreements and highlighting the relative importance of energy as a interlinked energy consumption trends remain fun-
sustainable development aim. Number of agreements (y axis) is damentally global issues, even if initiatives to tackle
plotted against primary aim of agreement (x axis). the problem are based in developed countries.
United Nations Energy Agreements 271

2.2 Geographic Focus ving. Twenty partnerships already involve NGOs


from the North and South working in partnership,
Within this discussion, the North refers to developed
and many North-based NGOs may have country
countries and the South refers to developing coun-
offices in the South, staffed by people from the South.
tries and countries in transition. This differentiation
Of the 39 approved agreements relating to energy,
is primarily but not solely economic, and there are
six have participants from the South, Indonesia being
more subtle geographic, linguistic, and cultural
the only active lead government in an energy
linkages that also define why the South (e.g., the agreement from the South. Tanzania is working in
G77 group of 77-plus countries) often negotiates as a
partnership with Germany, and Mexico is working in
caucus in the UN system.
partnership with Australia on sustainable energy
More than half the agreements are targeted at
projects. The Pacific Islands Energy for Sustainable
enhancing the sustainable development of countries
Development agreement, run by the Pacific Islands
from the South (165 of the partnership proposals),
Forum Secretariat, is based in Fiji, and from South
with another third (98 of the partnership proposals)
Africa two energy projects have been submitted by a
targeted globally. The global partnerships most
collective of African governments and the South
commonly focus on health, education, and local African branch of the World Conservation Union
authority development issues. Only 6% of the
(IUCN). When compared to the average level of
partnerships appear to be focused solely at countries
intergovernment collaboration between North and
in the North, which does not match the WSSD
South (4% of Type II partnerships), that for energy
intentions of Type II agreements focusing on devel-
agreements is relatively high (8%), which is a
oping countries.
positive indicator of cooperation within the sustain-
Over twice as many NGOs from the North
able energy sector.
submitted agreements as NGOs from the South
(Fig. 3). Given the larger number of well-funded
NGOs situated in the North, this is to be expected,
although it may be of concern given the potentially 2.3 Source of Partnerships
remote nature of project management. However, all The high proportion of 1 partner only agreements
of these partnerships are open to approaches from (205 agreements) suggests they are in the process
other organizations, and they are continually evol- of evolving (Fig. 4). The number of statements

20

Governments from the north

Governments from the south


Number of agreements with one

15
Energy agreements
government involved

10

0
ut alia
Au sia

N s
In nce
n

G a

Be ica
s

ni Ge e

ng a
et dom

Ab ium
za ia

er n

os lic
ly

ep r
Fi y

bi
in Sa d
o
nd
te
pa

ric

ec

G ta
an
d org

n
Ita

C ub
an ad

ha
e
ne

R
a

la
ks
So str

rla
a

Af

re

lg
Ja

ig

m
St

lv

D
n
Fr

ta
do

he
h

Ki

u
d

R
Ka
te

om El
ni

N
te
U

ic
U

Government
FIGURE 3 Bar chart illustrating the source of partners involved in Type II agreements, bisected into the categories North
and South. A bar chart further illustrates the degree of government involvement in Type II agreements, plotting number of
agreements (y axis) against government (x axis).
272 United Nations Energy Agreements

270 involvement of any sector, present in 6 of the 39


240 approved energy partnerships. Types of business
Number of agreements

210 Business range from government energy utilities (e.g., Eskom


180 and NamPower) to relatively small northern business
150 interests (e.g., Velo Mondial).
120
At least one UN program is involved in approxi-
Government mately one-quarter of all agreements (66 agree-
90
ments), suggesting that the IGO instigating Type II
60
agreements is keen to provide a critical mass of
30 NGO
initiatives. The agreements involving UN bodies are
0 more likely to involve multiple partners (48% versus
1 2 3 4 5+ None TBD
Number of partners involved 26% overall) and appear to be more developed in
other ways (target-setting, etc.). It is also evident that
FIGURE 4 Bar chart illustrating the nature of partners involved
in Type II agreements (government, business, and NGO) and
UN organizations provide funding for a number of
highlighting the nature of partners involved in agreements relating NGO initiatives even when they are not explicitly
to energy issues. Number of agreements (y axis) is plotted against involved in the Type II partnership. The number of
number of partners involved (x axis). parties involved in any agreement will also relate to
the ability of the instigating parties to attract new
participants.
suggesting that further partners are being sought (41 Education initiatives have garnered the highest
agreements are seeking business partners) further number of partners per agreement to date (see Fig. 5)
indicates this evolution. Nearly 70% of agreements and appear to be highly collaborative in nature. On
involving NGOs do not involve other partners, and average, Type II agreements each involve just under
where governments are involved, 61% operate alone. two partners, with agreements ranging from 1
Businesses are only explicitly involved in 10 agree- partner only to 29 partners, as in the case of the
ments analyzed to date, 9 of which involve other Global Higher Education for Sustainability Partner-
partners. Energy enjoys the highest level of business ship (GHESP). NGOs (including IGOs and other

6
Average number of partners involved

Governments
5 Businesses

NGOs
4

3
Average
2 number
of partners
1

0
bl Cli gri ism

n
en ma s

n
r p b ns

e ge

uc a
as ac Oc s

ve e c ure
Sc ce

e
Fi ss

t sta de

to sts
En ble
ho s

re g
ca ou ng

pa er
f s ra y
r
pt sh d

pm or n
ie

t i tio

io
Ed fric
al fe
ut in

nc
pa din

t o y t sit
es op chn iod t la

lo Inf tter
te ity ea

n at
e
an

gy

pm n
en su ra
Lo M ini

rit

at
bl ore
l a nta

m ns
a

su F isla
lt
A ur
dn

ie

lo ha

en og ver

A
io w
m cu
in
re uil

er
n

B n
M

na F

n
i

l
e

m re
de at
pm d

m ol
p

ai
lo an
D Ca

st
ve lth

ve
Su

st ev Te
e

on
de a

de
is

C
na
H

e
at el
ai

bl
st

na
Su

ng d

ai
pi le

st
lo ab

Su
ve ain
de st
Su

Primary/secondary focus of agreement


FIGURE 5 Stacked bar chart illustrating how the nature of partners involved in Type II agreements (government, business,
and NGO) varies depending on the primary aim of the agreement. Number of partners involved (y axis) is plotted against
primary aim of agreement (x axis).
United Nations Energy Agreements 273

international organizations) are more actively in- 2003, Kofi Annan, secretary general of the UN,
volved with Type II partnerships than governments, stated that ‘‘the birth of this Commission is yet
and they are far more actively involved than another illustration of the rapidly growing partner-
businesses. Capacity building and technology trans- ship between the United Nations and the private
fer partnerships solely involve NGOs. The majority sector y it also underscores the importance of that
of NGO/IGOs (153 of 181) are involved in just one partnership in our work to reach the Millennium
agreement. The most active organizations with more Development Goals y we cannot reach these goals
than one agreement are fairly evenly divided between without support from the private sector.’’ In this
UN organizations, UN-influenced organizations, and light, it is notable that the private sector has thus far
organizations relatively independent from the UN. failed to support UN-instigated Type II partnerships.
The United Nations Environment Programme
(UNEP) and UNDP are the two most active
2.4 Funding Arrangements
organizations, and their agreements span a wide
variety of sectors (46 sectors each) and geographies. By August 16, 2002, only 5% of the Type II
Both UNEP and UNDP have a significant amount of proposals made any mention of project funding
sectoral overlap, and they both focus on energy issues, and less than 1% stated figures. Budget
issues, in addition to biodiversity, freshwater, and considerations would undoubtedly be a sensitive
ocean projects. aspect of these proposals, and reasonable certainty
Although the three most active NGO/IGOs are would be required from potential funders before
UN-run or related, three other active organizations figures could be realized. Prior to the WSSD, the only
are not directly affiliated to the UN. IUCN0 s 7 two agreements containing specific funding instruc-
agreements concentrate on biodiversity and sustain- tions were the ‘‘Awareness Raising and Training on
able development issues in Africa, particularly Sustainable Consumption and Productio partnership
regarding sustainable development law and informa- led by the UNDP and the Johannesburg Climate
tion provision for decision making. The Caribbean Legacy partnership led by the IUCN. These partner-
Committee (CARICOM) and the Pacific Islands ships specified $2 million over 3 years and $5 million
Secretariat each put forward seven partnerships, all over 514 years, respectively, implying project burn
of which relate to issues affecting the SIDS for their rates of $670,000 p.a. and $950,000 p.a., respec-
specific regions. tively. These results should not be viewed as valuable
At a tertiary level, the aims of thse agreements or representative, given the small sample size. The
address climate change and energy issues via capacity funding for the first agreement came from the UNDP
building. The Stakeholder Forum for Our Common budget, and the second agreement planned to raise
Future has produced agreements across a wide range funds from WSSD participants to offset the environ-
of sectors and is particularly active in inviting other mental cost of Johannesburg, specifically referring to
organizations to participate. energy costs, although progress here is unclear in
In summary, NGO/IGOs appear to be most subsequent partnership documents. Within the part-
actively involved in forming Type II partnerships, nership documents, the only specific funding infor-
particularly those with a UN affiliation. The inter- mation added after the WSSD date is for the United
national nature of these organizations makes it hard States. Water for the Poor Signature Initiative, which
to differentiate a North/South bias, as many of these commits $970 million over 3 years (2003 to 2005),
partnerships are initiated at a country office level. implies a burn rate of $323 million p.a. This is a
For example, IUCN0 s South Africa office initiated the funding level more than a factor of 100 greater than
‘‘Johannesburg Climate Legacy’’ partnership, the previous two partnerships discussed. Partnership
although IUCN HQ is based in Switzerland, part of documents appear reluctant to specify exact funding
the North. Government involvement can be more terms and sources. This may be due to confidentiality
clearly differentiated between North and South, and issues or concern that publicizing a funding source
of the 200 cases of government partnership involve- may lead to unsolicited approaches to that source
ment, 91 are governments from the North and 109 from many other partnerships.
from the South. Business has shown what could be The CSD researched the funding situation of the
considered a disappointing lack of involvement in partnerships, and claimed that ‘‘nearly two thirds of
Type II partnerships, with only 23 cases of direct the approved partnerships have funding, either to
business involvement. When launching the Commis- carry out initial phases or for the entire initiative.’’
sion on Private Sector and Development on July 25, The analysis concedes that not all submissions
274 United Nations Energy Agreements

published figures of funds necessary to carry out agreement in this sample is 5.3 years, and 60 projects
projects, and the analysis appeared to utilize have no end date (Fig. 6). Of the 39 agreements
information that is not publicly available. Based on concerning energy, 11 have no end dates and the
that information, the CSD estimated that $1,250 average stated life span of the agreements is slightly
million had been committed by April 29, 2003, with longer than the overall figure at 5.7 years. The
a further $120 million in negotiation with potential longest projects center on the SIDS and changes to
donors. Of the $1.25 billion in secured funds, $977 sustainable development law. Agreements to address
million (78%) is accounted for in just three partner- disaster preparedness and financing have the average
ships previously discussed, which implies that the shortest time span at 2.25 years.
majority of partnerships are yet to secure significant
funds. Given the sums involved, it may be expected
that this may take some time. Of the remaining
2.6 Target Setting
funds, there is no specification as to which partner-
ships received what proportion of these secured Less than 10% of agreements contained quantifiable
funds, over what time period the funding is targets as of August 16, 2002. By June 2003, every
committed, or whether this is genuinely new funding partnership had stated targets, although few were
or reallocated budget from existing organizations. easily quantifiable. This is one area which has
It is worth noting that during the WSSD, German certainly been the subject of updates within the
Chancellor Schroeder promised h500 million over 5 agreements on the WSSD Web site, as project plans
years to promote renewable energy in developing are gradually further developed. Targets involve the
countries. This new money was not classified within production of documents, the launch of new
Type II agreement documentation. products, the establishment of financial funds and
the training of personnel. Successful completion in
many of these areas is hard to assess, although a
qualitative target providing focus for a project may
2.5 Length of Agreements
be preferable to no target at all. Agreements with
Approximately 80% of the agreements analyzed targets may be expected to operate within a shorter
state project length. Some agreements make qualita- and more focused time frame.
tive statements suggesting the project may continue To what extent partnership targets can be
after a stated end date, although given the high level quantified also appears to vary by the focus of the
of uncertainty this element has not been included in agreement. By examining partnership agreements, it
the analysis. The average life span of a Type II becomes apparent that partnerships involving energy,

60 Average
agreement
Energy
length
agreements
Number of agreements

Average length of
40 energy agreements
Other
agreements

20

0
1

D
11

N 20
18
19
2

10
4
5
6

16
3

8
9

14
12
13

15

d
17
7

en
TB
o

Length of agreement (years)


FIGURE 6 Bar chart illustrating the typical length of Type II agreements, highlighting the average length of those
agreements relating to energy issues. Number of agreements (y axis) is plotted against length of agreement (x axis).
United Nations Energy Agreements 275

consumption patterns, and trade have more numer- Only a handful of governments have shown
ical targets than partnerships involving information significant leadership in creating cooperational Type
for decision making and capacity building. II agreements. These include Japan, the United
States, Italy, France, Indonesia, and Australia by
order of partnership number. However, some govern-
2.7 Originality ments appear to be using Type II to showcase a set of
It is not possible to precisely identify recycled standalone initiatives that appear to be more
projects that have been rebranded as Type II prescriptive than cooperational in nature and thus
agreements with no obvious additional investment. do not serve to replace any type of collaborative
Projects run solely by government departments with agreement. Governments from the South appear to
similar names to the project and projects with start be participating in terms of collaborative effort,
dates prior to 2002 provided indications that the although individually they are not putting forward as
project might be recycled. Research suggests that the many agreements as their counterparts in the North.
large majority of Type II agreements are genuinely Certain important governments (in terms of popula-
new partnerships, created in response to the WSSD. tion) appear to be entirely absent from Type II
Approximately 217 (78%) of projects submitted are agreements, including China and India. Type II
likely to be genuinely new agreements, and energy agreements will gain strength from a critical mass
agreements appear to reflect this ratio. It is interest- of participants, and the noninvolvement of too many
ing to observe whether the new agreements possess major players may serve to discredit these initiatives.
any markedly different characteristics to the recycled Smaller countries (in terms of economic and
agreements. The most striking indicator lies in political clout) appear to be waiting for larger
project length. Also, 47% of recycled projects have countries to take the initiative and then sign up to
no end date, whereas only 15% of new initiatives are the outcome. This is particularly common in Africa,
so long term. Given that Type II agreements are a South America, and the states of the former Soviet
relatively new concept, statements regarding indefi- Union. Countries from the South often experience
nite project length might seem optimistic had the resource constraint while negotiating Type I agree-
project not been running prior to the commencement ments, which may unfairly bias negotiation out-
of Type II agreements. The sectors most prone to comes, and there may be a parallel within Type II
recycling of initiatives include mining, forests, agreements. If countries from the South wait to be
sustainable development law, and technology trans- offered participation in preprescribed Type II agree-
fer initiatives. Over half of the partnerships in each of ments, then they will lose another opportunity to lay
these categories appear to be recycled; however, these down an agenda for sustainable development. Type II
categories do have lower than average sample sizes. agreements may be just beginning a long process of
evolution, and projects targets are far from clear.
Given these concerns, work on Type I agreements
3. EVALUATION OF TYPE II should proceed as usual, until the success of Type II
agreements can be assessed in the medium term.
ENERGY AGREEMENTS
3.1 Governments Must Continue to 3.2 Lack of Business Involvement
Pursue Type I Partnerships
Prior to the WSSD, a number of articles were
Type II partnerships could only really be considered published by civil society organizations voicing
an abdication of responsibilities when their impact concerns that the focus on Type II public-private
on the level (quality, number, etc.) of Type I partnerships could ‘‘leave the basic needs of billions
agreements can be assessed, and it is too early to of poor to the market forces.’’ During the WSSD,
assess that impact. If governments are substituting articles in the mainstream press suggesting that Type
effort from Type I to Type II agreements for II promises by business were unlikely to be met
sustainable development, then initial trends in Type further discredited Type II agreements as a forum for
II agreements may give cause for concern. As it business to contribute to sustainable development.
stands, only 71 of the 189 governments attending the Business is often criticized for not acting in a
WSSD have any involvement in Type II agreements, sustainable manner, but then accused of greenwash
and 38 of these governments are only involved in one if it attempts to initiate sustainable development
partnership. initiatives and publicize them. The bottom line for
276 United Nations Energy Agreements

business should be to maximize shareholder value; 3.3 Lack of Quantifiable Targets,


on some occasions this can be achieved in a Tracking and Accountability
sustainable manner, and on other occasions it
cannot. Type II agreements could have provided a Type II voluntary partnerships have not yet been in
forum for business to learn about sustainable any way rigorous in setting out clear targets, time-
development approaches and how they can add to tables, and means to measure results consistent with
shareholder value, but the negative publicity asso- sustainable development goals of economic effi-
ciated with business involvement in Type II agree- ciency, environmental integrity, and social equity.
ments appears to have discouraged business This could be anticipated as, early in the evolution of
participation. A large number of businesses may these agreements, it may be foolhardy to expect that
have attended the WSSD, but very few followed this project planning is sufficiently rigorous to allow for
attendance through with concrete participation in significant levels of accuracy in target assessment and
sustainable development partnerships. This lack of therefore accountability. In this way, Type II agree-
business participation may be one of the most ments could be viewed in a similar light as
disappointing aspects of WSSD Type II agreements, conventions, which essentially act as empty shells
although energy agreements provided the highest within which greater levels of detail are gradually
level of business involvement observed. added. This may reduce the accountability of these
On July 25, 2003, Kofi Annan, Secretary General agreements, but given their long-term nature (aver-
of the UN, stated that ‘‘the birth of this Commission age 5.3 years), the retention of budget flexibility may
on Private Sector and Development (CPSD) is yet be preferable to demanding specific goals at the
another illustration of the rapidly growing partner- outset. A logical compromise may be the introduc-
ship between the United Nations and the private tion of short-term targets within these agreements
sector y it also underscores the importance of that (e.g., over 1 year rather than the full average 5.3
partnership in our work to reach the Millennium years), which can be used to demonstrate progress
Development Goals y we cannot reach these goals but would not set the direction of projects in stone.
without support from the private sector.’’ The CPSD These targets could also help fundraising, as success-
may help business undertake standalone sustainable ful partnerships could showcase well-conceived and
development initiatives, but it does not hold the structured sustainable development projects, demon-
potential that Type II agreements once held for strating progress against targets in order to pitch for
engendering collaboration and understanding be- additional investment from funding sources.
tween the state, corporations, NGOs, and IGOs.
UN organization cannot aim to involve business in
sustainable development initiatives if there is not a
3.4 Transparency Is Required on
positive communications forum between business,
Partnership Funding
government, and civil society.
This situation is in danger of becoming self- Little quantitative information is available on the
reinforcing. As business fails to find support from funding sources for Type II partnerships. In the small
NGOs, it then pursues sustainable development number of agreements that refer to funding mechan-
initiatives within business-only organizations, such isms, the funding sources are the United States,
as the WBCSD and Business Action for Sustainable UNDP, and IUCN offset fundraising from Johannes-
Development (BASD), which in turn are criticized for burg participants, totaling $977 million over 3 years.
their insularity and business focus. Meaningful and It is unclear whether the U.S. funds are restated from
mutually respectful communications and resulting existing USAID budget or entirely additive. The
collaborations between business and civil society are UNDP source may take funding away from other
required. Type II agreements are missing the oppor- projects, although the IUCN offset fundraising does
tunity to achieve this and will require significant appear to raise a separate, additive funding source.
work by the CSD to recapture this opportunity. None of these sources appears likely to add to
Credibility in Type II agreements must be regained to developing world debt, which was one concern cited
minimize the reputational risks faced by business in by WSSD participants. However, the nature of these
its involvement with collaborative sustainable devel- funds is not specified and information such as rates
opment initiatives. This can be partially addressed by of interest, if any, is not addressed. Notably, h500
target setting and by tracking the progress of million over 5 years promised by German Chancellor
partnership projects. Schroeder for promotion of renewable energy in
United Nations Energy Agreements 277

developing countries was not classified as a standa- development is collective and not limited solely to
lone Type II agreement. the state, civil society, or business alone. It therefore
To execute on these partnership agreements, follows that implementation of sustainable develop-
funding will doubtless be required, and information ment initiatives must be a collective activity, and
on that funding should be made publicly available. partnerships are a valuable way in which informa-
The success of Type II partnerships will be assessed tion and understanding can be transferred between
on their ability to raise additive funds, meaning funds the state, civil society, and business. The promotion
that are not already dedicated to non-Type II of these partnerships and the subsequent press
sustainable development initiatives. Attention should attention appears to have created a sense of collective
also be paid to funds that are transferred between responsibility, which is beneficial regardless of the
sustainable development-focused NGO/IGOs to fund final results of partnership initiatives.
partnerships, as this could lead to duplication when However, for these agreements to be worth the
assessing the total amount of Type II funding trouble as tangible sustainable development projects,
generated. Fundraising cycles frequently take many rigorous target-setting and tracking of partnership
months, if not years, to complete, therefore it is not performance against those targets is necessary.
particularly surprising that there is not a great deal of Credibility is vital to attract additional funding for
detailed information available to date. Partnerships Type II agreements, and this funding will be needed
should be encouraged to secure funds and report for the partnerships to implement their projects and
funding details for transparent analysis. demonstrate that Type II agreements were worth-
while. That credibility can only be built and
sustained by openness, target setting, and tracking
of Type II partnerships. Building the credibility of
3.5 Were Type II Energy Agreements a
Type II agreements will maximize their potential
Useful Outcome of the WSSD?
value for sustainable development.
In terms of volume, approximately 280 partnerships
have been submitted to date, involving 71 govern-
ments, 181 NGO/IGOs, and at least 23 businesses.
Of these partnerships, 43 addressed energy issues and SEE ALSO THE
39 of those partnerships have been approved by the FOLLOWING ARTICLES
CSD. Of initiatives addressing management of
natural resources, energy agreements form the largest European Union Energy Policy  Global Energy Use:
single body Type II agreements. The publication of Status and Trends  International Comparisons of
these partnerships will, at the very least, raise Energy End Use: Benefits and Risks  International
awareness of sustainable development issues, which Energy Law and Policy  Labels and Standards for
is a valuable outcome regardless of the final success Energy  Nongovernmental Organizations (NGOs)
of the partnerships. Additionally, the collaboration and Energy  Sustainable Development: Basic Con-
between partners will have led to the exchange of cepts and Application to Energy  World Environ-
information and expertise on sustainable develop- ment Summits: The Role of Energy
ment issues, which should enhance the prospects for
sustainable development.
After it became clear that Type I agreements were Further Reading
not a feasible outcome of the WSSD, the summit still Calder, F. (2002). ‘‘The Potential for Using the Multistakeholder
had to go ahead due to the initial financial invest- Network Model to Develop and Deliver Partnerships for
ment and the political embarrassment that could Implementation (‘‘Type Two Outcomes’’) for the World Summit
have resulted from a cancellation. In this scenario, on Sustainable Development.’’ Royal Institute of International
Affairs, London UK.
Type II agreements were a relatively valuable fall- Commission on Sustainable Development. (2003). ‘‘Partnerships
back position, as they allowed the summit to focus for Sustainable Development—Summary Analysis.’’ CSD.
media attention on the implementation of sustain- Kara, J., and Quarless, D. (2002). ‘‘Guiding Principles for
able development initiatives while reducing the Partnerships for Sustainable Development (‘‘Type 2 Outcomes’’)
negative press that may have resulted from no to Be Elaborated by Interested Parties in the Context of the
World Summit on Sustainable Development (WSSD). WSSD
agreements. Prepcom 4.
In addition, the shift toward Type II agreements Lélé, S. (1991). Sustainable development: A critical review. World
has demonstrated that responsibility for sustainable Development 19(6), 607–612.
278 United Nations Energy Agreements

Monbiot, G. (2002). Trouble in the pipeline: The corporate eds.). Vol. III. Program on Negotiation at Harvard Law School,
promises being made at the earth summit are likely to prove Cambridge, MA.
hollow. The Guardian, September 3, 2002. World Commission on Environment and Development. (1987).
Najam, A. (1993). International environmental negotiation: A ‘‘Our Common Future.’’ Oxford University Press, Oxford UK.
strategy for the South. In ‘‘Papers on International Environ- World Summit on Sustainable Development. (2003). ‘‘Partnerships
mental Negotiation’’. (L. Susskind, W. Moomaw and A. Najam, for Sustainable Development Summary.’’ United Nations, June 23.
Uranium and Thorium
Resource Assessment
J. STEPHEN HERRING
Idaho National Laboratory
Idaho Fall, Idaho, United States

a mixture of isotopes by 1. (See Benedict, 1981, p.6 for


1. Importance of Uranium and Thorium a more complete definition.)
2. Historical Context of Uranium Exploration mixed oxide fuel (MOX) Usually consists of a ceramic
mixture of uranium dioxide and plutonium dioxide.
3. Geology and Geochemistry of Uranium quad A quadrillion (i.e., 1015) British thermal units, with 1
4. Current Uranium Production quad equal to 1.055  1018 Jth.
5. Conventional Uranium Resources pegmatite An exceptionally coarse-grained igneous rock,
6. Known Uranium Resources with interlocking crystals, often found at the margins of
7. Unconventional Resources batholiths.
placer A mineral deposit at the surface formed by a
8. New Technologies for Uranium Extraction
sedimentary concentration of heavy mineral particles
9. Impact of Uranium Scarcity and Higher from weathered debris.
Extraction Costs unconformity A break or gap in the geological record such
10. Summary as an interruption in the normal sequence of deposition
of sedimentary rocks or a break between eroded
metamorphic rocks and younger sedimentary strata.
Glossary yellowcake A concentrate of uranium ore containing 80 to
cross section Probability of neutron interaction with a 90% U3O8.
nucleus, expressed in terms of area, in units of barns,
with 1 barn equal to 1.0  10–24 cm2.
This article discusses uranium resources in a global
enrichment The fraction of an isotope, usually fissile 235U,
in a mass of uranium; enrichment is commonly quoted
sense beyond relying on the official estimates of the
as the weight percentage of the particular isotope. International Atomic Energy Agency and the Orga-
enrichment tails (or depleted uranium) The uranium nization for Economic Cooperation and Develop-
remaining after the enrichment of natural uranium into ment. As an introduction to that discussion, the
fuel; today it is approximately 0.3% 235U, whereas origins of the earth’s current inventory of uranium,
earlier it was 0.20 to 0.25% 235U. the geophysical and geochemical processes that serve
fractionation Crystallization from a magma in which the to concentrate that uranium into economically viable
initial crystals are prevented from equilibrating from the deposits, and the technologies now being used for
parent liquid, resulting in a series of residual liquids of extraction and concentration of uranium ores are
more extreme composition than would have resulted described. Finally, the potential impacts of technol-
from continuous reaction.
ogies now under development and the overall impact
highly enriched uranium (HEU) Uranium containing more
that 20% 235U.
of the cost of uranium on the cost of energy from
Jth Joule (i.e., watt-second) thermal, with 1 British thermal nuclear fission are reviewed.
unit (BTU) equal to 1055 Jth.
low enriched uranium (LEU) Uranium containing less that
1. IMPORTANCE OF URANIUM
20% 235U.
mafic Composed chiefly of dark ferromagnesian minerals. AND THORIUM
mega-separative work unit (MSWU) A million separative
work units; a separative work unit is the separative Uranium is a widespread element that is essential, at
work done to change the separation potential of 1 kg of least in the near term, to the use of nuclear fission as

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 279
280 Uranium and Thorium Resource Assessment

a source of energy. Uranium is ubiquitous in the earth the International Atomic Energy Agency (IAEA) and
due to the wide variety of minerals in which it can the Nuclear Energy Agency (NEA) of the Organiza-
occur and due to the variety of geophysical and tion for Economic Cooperation and Development
geochemical processes that have transported it since (OECD). The estimates of these organizations are
the primordial formation of the earth from stellar backed by a great deal of research and are compiled
debris. Uranium is approximately as common in the regularly in the Red Book.
earth’s crust as is tin or beryllium, and it is a minor However, the estimates of uranium resources in the
constituent in most rocks and in seawater. The Red Book are based on the known reserves that can
average crustal abundance of uranium is 2.76 weight be economically extracted using current technology.
parts per million (wppm), higher than the average Because of the wide range of uranium concentrations
concentrations of economically important elements in various minerals, the cost of extraction serves as
such as molybdenum (1.5 wppm), iodine (0.5 wppm), the independent variable against which resources are
mercury (0.08 wppm), silver (0.07 wppm), and gold estimated. Furthermore, the sizes of reserves are
(0.004 wppm). Uranium occurs in ores as uraninite categorized by the reliability of the estimates.
(UO2, pitchblende), carnotite, autunite, uranophane, Despite the success of earlier exploration efforts
davidite, tobernite, and other minerals containing and the continuing low prices of natural uranium,
U3O8 (actually a stable complex oxide U2O5  UO3). there is a persistent and widespread belief that global
Since the discovery of nuclear fission, uranium has resources of uranium will limit the long-term
been seen as a scarce resource. Uranium-235 (235U) is sustainability of nuclear power. That belief is
the only naturally occurring isotope that can be made supported by a misinterpretation of the Red Book
to fission with thermal neutrons. Consequently, the estimates. The World Nuclear Association (formerly
resources of uranium have been believed to inher- the Uranium Institute) estimates the reserve based on
ently limit the sustainability of nuclear energy. There current and prospective mining projects and con-
have been two periods of extensive exploration for cludes that there are now 1.32 million metric tons (t)
uranium, during the 1950s and during the 1970s, of uranium of the best proven category recoverable
and both were followed by long periods of severe worldwide at a marginal cost of $40 per kilogram or
contraction in the market and in exploration activity. less. The current consumption of natural uranium by
Today, exploration activity is still at a low level for reactors worldwide is approximately 64,000 t per
several reasons. First, deposits found during earlier year; consequently, these best proven reserves could
exploration periods have proven to be larger than be expected to last only approximately 20 years. If
was initially estimated. Second, nuclear energy has this interpretation of the reserve and resource
not grown as rapidly as was forecast earlier. Third, estimates were accurate, there would be no long-
improved nuclear fuel management techniques and term resource base for even the current fleet of light
materials have allowed higher burn-up and longer water reactors (LWRs).
operating cycles. Finally, the conversion (‘‘down- However, the preceding is a serious misinterpreta-
blending’’) of highly enriched uranium (HEU) of tion of the real uranium resource situation. The most
military origin to civilian purposes has postponed the recent estimates of the current resource base, which
need for large amounts of newly mined natural includes speculative and higher cost resources, are 14
uranium. million to 17 million t. Low market prices, the slow
Concern that uranium would soon be exhausted growth of nuclear power, and the ongoing down-
was one of the driving forces in the development of blending of HEU have resulted in both a very low
fast breeder reactors, in which the nonfissile isotope level of exploration and little effort in the develop-
238
U is converted into the fissile isotope 239Pu. These ment of advanced extraction technologies.
concerns also led to the development of reactors It is important to note at the outset that uranium
capable of converting thorium into the fissile, but not today is used overwhelmingly in the LWR fuel cycle,
naturally occurring, isotope 233U. Thorium, consist- where only approximately 1.1 to 1.5% of the ultimate
ing nearly entirely of the isotope 232Th, is approxi- energy of the mined uranium is extracted via fissioning
mately three times more abundant than uranium of 235U and the small amounts of 239Pu bred in situ.
and, thus, may represent a source of fissile material in The rest of the uranium remains either in the spent
the distant future. fuel or in the depleted uranium after enrichment. Of
The importance of the overall uranium and the 1.8 million t of uranium produced worldwide since
thorium resource is demonstrated by the attention 1945, the location of all but approximately 1500 t is
given the estimates of international agencies such as known. Only that uranium used either in nuclear
Uranium and Thorium Resource Assessment 281

weapons or in armor-piercing projectiles is not Thorium has 25 isotopes, of which only the
known. The inventory of spent fuel and of depleted nonfissile isotope 232Th is long-lived, with a half-life
uranium represents a very significant resource. of 14 billion years. However, in the following
Although uranium is an essential input for the reaction, 232Th can be transformed into 233U, a
production of nuclear energy, the costs of natural fissile isotope:
uranium are a minor component of the overall cost. 232
Thðn; gÞ233 Th  !
Today, at uranium prices of approximately $25 per 
b t1=2 ¼22:3 min
kilogram, the uranium itself is responsible for only 233
Pa !
roughly 2% of generating costs. The fuel element b t1=2 ¼27:0 days
cost is 15 to 20% of the generating costs, but those 233
U ! fission:
costs include conversion of the uranium ore to UF6, sf thermal ¼531b

enrichment of the natural uranium, production of the


ceramic UO2 fuel pellets, and fabrication of the fuel The fission energy of 233U is 190 MeV and that of
239
assemblies. A 10-fold increase in the cost of natural Pu is 200 MeV. If 1 kg of thorium is bred into
233
uranium would not be welcome but also would not U, the fission energy available is 78.9 TJth
fundamentally change the economics of nuclear (thermal), and the fission energy in 1 kg of uranium,
power. A 10-fold increase in uranium prices would, bred to 239Pu, is 80.4 TJth. Thus, thorium and
at first estimate, be expected to increase the cost of uranium are quite similar in maximum energy
nuclear electricity by 20%. However, a more detailed content, but uranium is far more important in the
calculation, optimizing the 235U content of the near term due to the need for 235U as a naturally
depleted uranium tails and adjusting fuel manage- occurring fissile isotope.
ment for a higher priced resource, would result in an
increase in the cost of electricity of significantly less
1.2 Thorium Resources
than 20%.
Thorium averages 7.2 parts per million (ppm) in the
earth’s crust and is the 39th most abundant of the 78
1.1 Energy Content of Uranium crustal elements. Soil commonly contains an average
and Thorium of 6 wppm of thorium. It is about three times more
Uranium has 18 known isotopes, none of which is abundant than uranium. When bred to the fissile
233
stable and only 2 of which have half-lives longer than U, thorium releases about the same energy per
a million years: 235U (704 million years) and 238U unit mass (79 TJth/kg) as does uranium when bred to
239
(4.47 billion years). Only 235U, which is approxi- Pu (80.4 TJth/kg). When thorium is used as a
mately 0.720 weight percentage (wt%) of natural nuclear fuel, much less plutonium and other minor
uranium, is fissile, that is, will fission using thermal transuranics (e.g., Np, Am, Cm) are produced than
(i.e., low-velocity) neutrons. 238U, which is by far the are produced in uranium fuel cycles. The reduced
dominant isotope at 99.2745 wt%, will fission if production of transuranics occurs for two reasons.
struck by high-energy neutrons. However, 235U is the First, the fissile product of 232Th is 233U, further in
only naturally occurring isotope capable of sustain- the actinide series from plutonium and the minor
ing a neutron chain reaction in a suitably designed actinides. Second, the fission/capture ratio of 233U is
reactor. approximately 9, whereas that of 239Pu is approxi-
238
U can be transformed into 239Pu through the mately 3, thereby resulting in lower production of
absorption of a neutron and two subsequent beta the transuranics.
decays, as shown in the following reaction: Thorium and its compounds have been produced
primarily as a by-product of the recovery of titanium,
238
Uðn; gÞ239 U 

! zirconium, tin, and rare earths from monazite, which
b t1=2 ¼23:5 min
contains 6.0 to 8.5 wt% thorium oxide. Only a small
239
Np ! portion of the thorium produced is consumed.
b t1=2 ¼2:35 days
239
Limited demand for thorium, relative to the demand
Pu ! fission; for rare earths, has continued to create a worldwide
sf thermal ¼750b
oversupply of thorium compounds and mining
where b indicates a beta decay with electron residues. Most major rare earth processors have
emission and sf thermal is the fission cross section in switched feed materials to thorium-free intermediate
barns at a neutron energy of 0.025 eV. compounds to avoid the handling of radioactive
282 Uranium and Thorium Resource Assessment

thorium. Excess thorium not designated for com- resources and a growing understanding of geological
mercial use is either disposed of as a radioactive processes have led to widely varying levels of
waste or stored for potential use as a nuclear fuel or exploration for uranium during that time.
other applications. Increased costs to comply with
environmental regulations and potential legal liabil-
ities and costs to purchase storage and waste disposal 2.1 Periods of Scarcity and Surplus
space were the principal deterrents to its commercial
There have been two boom periods in uranium
use. Health concerns associated with thorium’s
production; the first was driven by military demands
natural radioactivity have not been a significant
for HEU in the wake of World War II and the onset
factor in switching to alternative nonradioactive
of the cold war, and the second was to fuel rapidly
materials. According to the U.S. Geological Survey,
growing commercial nuclear programs in the wake
U.S. consumption of thorium, all for nonenergy uses,
of the oil embargo of 1972. Driven by those
has decreased from 11.4 to 5.27 t (thorium content)
concerns, there have been two periods of extensive
since 1997. In fact, 76 t of thorium was shipped to
exploration for uranium, during the 1950s and
Nevada for disposal as low-level radioactive waste in
during the 1970s, and both were followed by long
2000. The principal applications of thorium today
periods of severe contraction in the market and the
make use of the very high melting point of ThO2
near cessation of exploration activity. Overexpansion
(33001C, the highest of all binary oxides) and the
of the uranium supply infrastructure during the
electron-emitting capability of thorium when alloyed
1970s led to limited exploration and the closure of
with tungsten for use in filaments for high-powered
operating mines during the past 20 years or so. A
magnetrons for radar.
second reason has been the much slower growth of
In the short term, thorium is available for the cost
commercial nuclear power than was originally
of extraction from rare earth processing wastes. In
anticipated.
the longer term, large resources of thorium are
available in known monazite deposits in India,
Brazil, China, Malaysia, and Sri Lanka.
2.2 Demilitarization of Highly
Quoted prices for thorium dioxide in 2001 were
Enriched Uranium
$82.50 per kilogram for 99.9% purity and $107.25
per kilogram for 99.99% purity. Mantle-grade More recently, a third disincentive to uranium
thorium nitrate was available for $56 per kilogram exploration has emerged: disarmament. As much as
of contained thorium. one-third of the natural uranium mined since 1945
Thorium is present in seawater at only approxi- was used for the production of HEU, primarily for
mately 0.050 wppb, due primarily to the insoluble weapons programs and to a lesser degree for naval
nature of its only oxide, ThO2. Thus, the recovery of propulsion and research reactors. The Strategic Arms
thorium from seawater is not a realistic option. Reduction Treaties (START-I and -II) and heightened
Because 232Th is the only isotope of natural concerns for the proliferation of nuclear weapons
thorium, there are no enrichment plant tails from have led to ongoing programs for the downblending
thorium nuclear fuel. Therefore, the cost of thorium of weapons-derivative HEU. In the downblending
in a mixed thorium–uranium LWR fuel or in a pure programs, HEU is mixed with natural or depleted
thorium–233U fuel cycle is relatively minor. However, uranium to produce low enriched uranium (LEU)
the cost of chemical processing of ThO2-based fuel fuel for commercial LWRs. The civilian use of
and the separation of 233U is high. downblended HEU effectively eliminates the need
for as much as 600,000 t of natural uranium,
equivalent to 10 years of current worldwide produc-
tion. Thus, the market prices for natural uranium
2. HISTORICAL CONTEXT OF have been further depressed, and incentives for
URANIUM EXPLORATION further exploration have been very small.
Specifically, the Russian and U.S. governments
Uranium has been fundamentally important during agreed to a program to convert 500 t of HEU from
the past half-century, first as a military resource and weapons into LEU for civil reactors. These 500 t of
later as a commercial resource now responsible for HEU at 90% 235U would be blended with 14,759 t
8.1% of the primary energy in the United States and of LEU at 1.5% 235U to obtain a product of 15,259 t
6.7% worldwide. The perceptions of uranium of LEU at 4.4% 235U. This blending process would
Uranium and Thorium Resource Assessment 283

take place over a period of 20 years. By using process proceeded rapidly until arrested when the
depleted uranium to obtain the LEU at 1.5% 235U neutron gas pressure fell due to universal expansion.
and the HEU, this agreement will replace 152,000 t Urey cited estimates by Goldschmidt of the
of natural uranium, which could have been enriched primordial abundance of 41 weight parts per billion
instead to yield the 15,259 t of LEU at 4.4% (with (wppb) for uranium and 106 wppb for thorium.
tails at 0.3%). The fuel can be expected to generate Alpher’s theoretical curves and Brown’s observed
approximately 600 GWe-years of electricity. astrophysical data show uranium approximately 6.5
orders of magnitude less abundant than silicon,
resulting in a primordial abundances of 57 wppb.
2.3 Higher Burn-up and Plutonium Deffeyes, accounting for the decay of uranium since
Recycle in Light Water Reactors the expansion of the primordial neutron gas,
Recycling of uranium and plutonium adds a poten- estimated global uranium abundance at 10.5 wppb.
tial savings of 15 to 20% in natural uranium The half-lives of the isotopes of interest are 232Th,
requirements for a mixed oxide fuel (MOX)-fueled 14.0  109 years; 235U, 0.704  109 years; and 238U,
reactor park. Although the worldwide impact of U/ 4.47  109 years.
Pu recycling on uranium demand remains small Therefore, based on these astrophysical models, it
today, these savings potentially could contribute to a is fairly clear that the earth currently contains
more sustainable use of the available resources. In approximately 10 wppb uranium and 40 wppb thor-
this context, Japan has an aggressive plan for using ium. Stated in other terms, the current global
MOX fuel in LWRs due to the lack of uranium inventory is 63 Tt (63  1012 t) of uranium and
resources in that country. In addition to the fabrica- approximately 400 Tt of thorium. Although this
tion of MOX fuel in Europe, Japan Nuclear Fuels inventory is a vast amount of both elements, if
Ltd. (JNFL) has started preparation of domestic uranium and thorium had a uniform radial distribu-
fabrication of MOX fuel. However, in today’s tion throughout the earth (as is assumed in the cold
political and economic context, no major expansion accretion model), concentrations of uranium and
of this recycling is envisaged for the coming years in thorium would be far too small to be economically
OECD member countries. extracted.
Thermal models of the earth point to inevitable
melting of the earth soon after its accretion due to
gravitation energy and due to radioactive decay of
3. GEOLOGY AND GEOCHEMISTRY uranium, thorium, and potassium. Because of its
OF URANIUM large ionic size and heating due to radioactive decay,
uranium is transferred into low melting temperature
Because uranium has become an economically fractions and out of the earth’s core and mantle into
significant element, and because decisions on future the crust. These geochemical and geophysical models
energy choices will be influenced by the accuracy of predict that two-thirds of the initial 63 Tt of uranium
estimates and perceptions of the adequacy of present in the earth is now concentrated in the crust,
uranium and thorium resources, it is incumbent on which constitutes only 0.4% of the earth’s total
us to first recognize the origins of those elements. mass. The low uranium and high iron concentrations
predicted for the earth’s mantle and core have been
supported by concentrations in iron meteorites and
3.1 Uranium Abundance in the Earth
in mantle issuing from oceanic spreading zones
The bulk amounts of uranium inherited by the earth (0.1 ppm U), compared with uranium concentrations
during its accretion from primordial stellar debris in magma and crust in subduction zones (2 ppm U).
can be predicted through the use of various astro-
physics models of Alpher and Urey. In these
astrophysical models, the formation of the elements 3.2 Mechanisms for the Concentration
is the result of a continuous building up of heavier
of Uranium
elements through neutron absorption in a highly
compressed neutron gas. The nuclear matter decayed Unlike other energy resources such as coal and
into protons and electrons to form first protium and petroleum, the resources of uranium are not funda-
then deuterium, followed by the heavier elements in mentally changed by geological processes. Whereas
a rapid combination of absorption and decay. The petroleum might be lost through evaporation or
284 Uranium and Thorium Resource Assessment

combustion or a natural gas reservoir may vent into migration of these less dense minerals to the surface
the atmosphere, uranium is lost only through radio- is a predominant process in the formation of the
active decay or through the relatively rare formation continental crust. The extruded liquid forms crust in
of a natural reactor. Therefore, the primordial two general locations: at mid-oceanic ridges, where
inventory of uranium, reduced by radioactive decay, the upwelling material forms new oceanic crust, and
is essentially entirely present somewhere in the earth. in subduction zones, where the oceanic crust plunges
The crucial question is ‘‘where?’’ back into the mantle, usually passing under the edge
The natural distribution of elements in the earth’s of a continent.
crust is controlled by two major factors. The first is The behavior of uranium in igneous processes is
the set of ambient geological fractionating processes dominated by two characteristics of the element. In
that leads to regions of depletion and concentration the þ 4 oxidation state, the condition expected in the
of the element. The second factor includes the overall earth’s mantle, the U þ 4 ion has an ionic radius
geochemical characteristics of the element. Elements (97  10–12 m [picometers (pm)]) the same as the
that are concentrated by a small number of Na þ 1 ion (97 pm). Other ions common in the core
fractionation processes can be expected to have a and mantle are significantly smaller in radius: Fe þ 2,
multimodal distribution, with a peak in the tonnage 74 pm; Ni þ 2, 69 pm, Mg þ 2, 66 pm; and Al þ 3,
versus grade curve for each of the modes of 51 pm. Thus, like sodium and the other large ions,
geochemical concentration. For elements having a uranium ions selectively enter partial melts within
large number of applicable concentration processes, the mantle and are transported to the surface.
the peaks overlap and the resulting tonnage versus The second characteristic of uranium is its radio-
grade curve takes on a log–normal characteristic. For activity, serving as a source of heat for melting the
example, for the element chromium, whose distribu- mantle and core. Like Th þ 4 (ionic radius 102 pm)
tion at high concentrations is solely governed by and K þ 1 (133 pm), these heat-producing elements
fractional crystallization in mafic magmas (i.e., high are readily fractionated out of the mantle and toward
in magnesium and iron), one would expect a bimodal the surface. Deffeyes noted that the earth would be a
distribution of concentrations, with one peak at the radically different place if the heat-producing ele-
average crustal abundance and the high-concentra- ments had small radii given that the geothermal
tion peak at the mafic fractionation concentration. energy source would then be located deep within the
On the other hand, most elements, including core and the convection currents driving plate
uranium, can undergo a wide variety of fractionating tectonics would be much stronger.
processes, and deposits would be expected over a The rocks forming the oceanic crust at mid-oceanic
wide range of concentrations. In this latter case, the ridges are characterized by a uniform uranium
tonnage versus grade distribution would be expected concentration of approximately 0.1 wppm. Conver-
to be log–normal. Bear in mind that geological sely, the crust formed above subduction zones is
conditions change over time and that, therefore, the characterized by uranium concentrations of approxi-
distribution patterns have varied with time. mately 2 wppm. The wide difference in concentration
In considering uranium in particular, it is im- is due to the differences in the source materials and to
portant to examine the tectonic and igneous pro- the different chemistries. The upwelling mantle at the
cesses that have redistributed the uranium within the oceanic ridge has a uranium concentration of
crust. During the past 4 billion years, the most approximately 0.005 wppm, whereas the subduction
important processes are continental accretion and zones have as their source material oceanic crust and
plate tectonics. During the accretion process, crust bits of continental crust, with an average uranium
formed into masses of continental dimensions. concentration of approximately 0.1 wppm. The con-
During the second (continuing) process, the con- tinuous upwelling at the oceanic ridges serves as a
tinental crust has become much richer in uranium mechanism for depleting the core and mantle of
while the oceanic crust, although larger in area, has uranium and incorporating that uranium into the
relatively little uranium. oceanic crust. That relatively low concentration of
uranium in the oceanic crust is augmented with
uranium from continental runoff that subsequently
3.3 Igneous Processes
precipitates in the ocean basins. At the subduction
Igneous processes begin with the fusion of mantle zones, the oceanic crust is again subjected to partial
rocks at depths of 60 to 200 km, followed by the melting and the uranium is again fractionated in the
migration of less dense liquids to the surface. The melt and transported to the surface.
Uranium and Thorium Resource Assessment 285

As a result of the various igneous processes, the ions or their complexes would reach supersatura-
average concentration of uranium is highest at the tion and reprecipitate. An important example of
surface of the continental crust and decreases this reprecipitation is in the Mesozoic sandstones
approximately exponentially with depth. of the Colorado plateau. The uranium ores are
The anticipated variation of uranium concentra- found in organic-rich zones where the oxygen in
tion with depth is given by the equation UðZÞ ¼ groundwater was removed by carbon-rich debris.
UðZ ¼ 0ÞeðZ=6300 mÞ ; where z is the depth in meters Precipitation of uranium has also occurred where
and U(z) is the concentration at depth z in weight restricted circulation in the oceans and organic-
parts per million. U(z ¼ 0) is the average continental rich sediments led to anoxic conditions. Good
crustal abundance of uranium at the surface examples are the black shales of Chattanooga
(2.76 wppm). Thus, 15% of the crustal uranium shale and the phosphorite shale of the Phosphoria
inventory would be expected to be within 1000 m of formation.
the surface, and 27% would be expected to be within
2000 m.
3.5 Specific Deposits
Before the discovery of the McArthur River deposit,
3.4 Geochemical Beneficiation Processes
the highest grade ores were obtained from igneous
The governing characteristic in the geochemical sedimentary deposits such as Great Bear Lake in
transport of uranium is the fact that the uranium is Canada, Joachimsthal in the Czech Republic, and
highly soluble in oxidizing environments and essen- Katanga in the Congo. The deposits at Oklo in the
tially insoluble in reducing environments. Thus, the Gabon Republic in Africa were of high enough
change in the earth’s atmosphere from a reducing concentration, and the uranium 1.7 billion years ago
condition to an oxidizing condition some 1.8 billion contained 3% 235U, rather than the current 0.72%,
years ago is responsible for a fundamental change such that several critical natural reactors operated in
in the dominant processes in uranium transport. the deposit. The reactor zones released approxi-
During the earlier age, igneous processes and mately 15,000 MW-years of fission energy over the
fractionation of uranium in partial melts due to its course of some 250,000 years. These deposits were
large ionic size were dominant. During the past 1.8 formed by the movement of hot water through
billion years, the transport of uranium by means of fractures in blocks of rocks heated by their own
groundwater oxygenated at the surface has been uranium and thorium content.
dominant. Precambrian sandstones overlie much older Pre-
Thus, during the period more than 1.8 billion cambrian granites and metamorphic rocks. At the
years ago, uranium was primarily concentrated in interface, there is a discontinuity in the age of the
placer deposits as a chemically inert and physically rocks. This type of discontinuity is termed an
dense phase. Because of the low solubility of uranium unconformity. Unconformity deposits, such as those
in reducing environments, rivers, lakes, groundwater, in Saskatchewan and northern Australia, occur
and the sea contained very low uranium concentra- where uranium from the sandstone has formed into
tions. The placer deposits at Elliott Lake, Canada, veins in the open spaces of the interface and has been
and at Witwatersrand, South Africa, are typical of heated to temperatures of several hundred degrees
the deposits formed during this period. Celsius.
With the dominance of photosynthesis during the
past 1.8 billion years, the atmospheric and ground-
3.6 Roll-Front Deposits
water conditions have been oxidizing and uranium
minerals have been highly soluble in the sedimentary As mentioned earlier, uranium oxide precipitates
weathering cycle. Placer deposits no longer formed when the solution enters a reducing environment.
and, in fact, began to dissolve. The uranium content The uranium oxide can be redissolved in situ by
of rivers, lakes, and groundwater increased, and oxygenated leach solutions. In sandstone deposits,
gradually the uranium concentration in the oceans the uranium minerals have been deposited in the
also increased. Nevertheless, the uranium concentra- interstices between the sand grains. The deposits are
tion remained well below saturation. often moving (very slowly) through the sandstone
However, in a few isolated locations, oxidation due to the flow of groundwater, much like the
of organic-rich beds by groundwater led to locally movement of a front through a liquid chromatogra-
reducing conditions. In these locations, the uranium phy column. Oxygenated water from the surface
286 Uranium and Thorium Resource Assessment

TABLE I
Natural Uranium Distribution

Mass-Uranium Mass-Uranium
Mass (whole earth, Concentrated (whole earth, (continental United
Geological unit 1019t) uranium (ppm) billion t) States, billion t)

Whole earth 597.6 0.0105 63,000


Core 193.6 0.00001 20
Mantle 401.6 0.0005 20,000
Crust 2.5 1.67 43,000
Continental crust 2.09 1.93 40,000
Mafic 1.01 1.45 14,625 980.0
Stalic 0.99 2.56 25,375 1700.16
Metamorphic 0.43 2 8000 536
Igneous 0.43 1.93
Plutonic 0.1754
Veins/Pegmatites 5000–10000 0.0018 0.00012
Veins/Pegmatites 410000 0.0018 0.000012
Uranium-granites 5–15 597 40
Granodiorites 0.1750 3 5000 335
Dioritie/Gabbro 0.0004 1.63 80 5.36
Volcanic
Uranium-rhyolite 100–300 0.104 0.007
Andesite 0.0437 2 800 53.6
Basalt 0.0510 1 4100 274.7
Sedimentary 0.128 3200
Fold Belts 0.094 2200
Sandstones 0.018 1.01 180 12.06
Shales 0.037 4 1500 100.59
Limestones 0.015 2.2 330 22.11
Volcanogenic 0.024 1 240 16.08
Evaporites 0.0003 0.2 6 0.4
Platforms 0.034 940

enters the sandstone, where reducing agents, such as The quadrivalent uranium precipitates in the form
sulfides and organic matter, are located in the of the mineral uraninite (UO2). Thus, the location of
interstitial spaces. The organic carbon in one pore ore bodies is often associated with deposits of
volume of sandstone can remove all of the oxygen carbonaceous materials where the carbon, in much
dissolved in 50,000 pore volumes of oxygenated larger quantities compared with the uranium, has
groundwater. removed the oxygen from the groundwater.
Therefore, the front between the oxygenated Based on the various modes for the formation of
groundwater and the oxygen-free groundwater moves uranium ore bodies, reviewing the large body of
slowly through the sandstone. Uranium dissolved at prior research, Deffeyes and MacGregor estimated
the surface and uranium dissolved from the sandstone the uranium content of the various crustal regimes in
by the oxygenated groundwater is swept along and a report for the U.S. Department of Energy (DOE) in
precipitated at the front. Upstream of the front, the 1978. That information is shown as Table I.
uranium is present in the groundwater as the soluble Because of the wide variety of uranium-contain-
hexavalent uranyl carbonate complex. As the oxygen ing minerals and given the known quantities of those
is removed from the groundwater at the front, the minerals, Deffeyes and MacGregor argued that
soluble hexavalent uranium is reduced to the worldwide uranium deposits have a log–normal
insoluble quadrivalent state. distribution of mass versus grade. Current mining
Uranium and Thorium Resource Assessment 287

Table I continued

Mass-Uranium Mass-Uranium
Mass (whole earth, Concentrated (whole earth, (continental United
Geological unit 1019t) uranium (ppm) billion t) States, billion t)

Uranium-sandstones 600–1000 0.004


1000–3000 0.75 0.008
Sandstones 0.008 1.01 81 5.43
Placers 100–2000 0.001 0.00007
Shales 0.017 4 680 45.56
Uranium-shales 10–40 29.1 1.95
Uranium-shales 40–200 0.09 0.006
Phosporites 120–300 1.94 0.13
Limestones 0.007 2.2 150 10.05
Volcanogenic 0.001 1 10 0.67
Evaporites 0.0007 0.2 14 0.94
Oceanic crust 0.48 2600
Igneous/Metamorphic 0.38 0.1 380
Sedimentary 0.1005 2 2200
Deep ocean 0.02 1.0 200
Calcareous oozes 0.008 0.77 60
Siliceous oozes 0.003 0.45 14
Ferrugenous clay 0.001 1.3 13
Red clay 0.006 3.00 180
Volcanogenic 0.0006 1.00 6
Shallow ocean 1.92 1700
Shelf 0.0125 3.02 380
Hemipelagic 0.068 2.00 1400
Hydrosphere
Rivers/Lakes 0.000051 0.001 0.00005 0.0000335
Groundwater 0.00051 0.001 0.0005 0.000335
Oceans 0.141 0.003 4.2
Ice 0.0023 o0.0001 0.0022

Source. Deffeyes and Mac Gregor (1978).

activities are recovering uranium at market prices of mines discovered since 1978 are also indicated: (1)
$25 per kilogram from ores containing 0.05 to 20% the McArthur River deposit, 137,000 t of proven
U3O8. Given the log–normal distribution and the reserves averaging 18 wt%, and (2) the Cigar Lake
known quantities of the various uranium mineraliza- deposit, 90,000 t at an average grade of 17 wt%.
tions, they estimated that a 10-fold increase in the Other known larger but lower grade deposits have
price of uranium (and thus a 10-fold decrease in not been shown.
economically viable ore grade) would result in a 300- The slope of the log–normal curve at currently
fold increase in the amount of uranium available. mined grades is also shown in Fig. 1. This slope,
Equivalently, the World Nuclear Association esti- roughly þ 3.5, indicates that for a doubling of the
mated that a doubling of uranium prices would result cost of mining (i.e., mining ore at half the current
in a 10-fold increase in supply. concentration), the economically available resources
The distribution of mass versus grade for the of uranium would increase by more than an order of
various types of uranium deposits is shown in Fig. 1. magnitude (23.5E11). This estimate presumes a
The three bars on the left (grade41000 ppm U) continuation of current mining techniques and does
indicate deposits of the type now mined for uranium not consider the increased use of in situ leaching
alone. The expected log–normal distribution is (ISL) and recovery of uranium as a by-product in
shown, and the mass and grade of two Canadian gold, copper, and phosphate mining.
288 Uranium and Thorium Resource Assessment

1014
Average crust

Log−normal
distribution

1012
Estimated amount of uranium (metric tons)

Slope = 3.5
1010

Canadian
mines

108

Shales, phosphates (e.g., Phosporia)

106
Evaporates, siliceous ooze, chert
Black shales (e.g., Chattanooga)
Fossil placers, sandstones
Fossil placers, sandstones
Vein deposits, pegmatites,

1 Oceanic igneous crust


unconformity deposits

2
Volcanic deposits

Average crust
Vein deposits

Ocean water

Fresh water
104
Granites

100,000 1000 10 0.1 0.001


Ore grade (parts per million of uranium)
FIGURE 1 Distribution of uranium in the earth’s crust. Adapted from Deffeyes and MacGregor (1978, 1980).

4. CURRENT URANIUM mines and toward ISL and by-product production for
PRODUCTION the past 20 years or so. Those two methods are
expected to grow in the future due to their relatively
Canada produces the largest share of current world low cost and reduced tailings production.
uranium production from mines (35%), followed by
Australia (22%). Uranium production from mines in
other countries is shown in Table II. Note that uranium
5. CONVENTIONAL URANIUM
production from mines has been depressed during the RESOURCES
past 5 years due to the downblending of military HEU
from the former Soviet Union. That demilitarization Today’s uranium production comes from approxi-
has effectively displaced the need for 10 years of mately 63 mining centers with concentrates produced
natural uranium production (B600,000 t U). at roughly 44 processing plants. Employment asso-
ciated with this uranium production accounts for
some 53,700 person-years annually, a reduction from
some 64,000 person-years in 1994. Today, after more
4.1 Current Uranium Production Methods
than 10 years of decreasing exploration expendi-
As shown in Table III, the distribution of uranium tures, an increase of exploration expenditures has
production has been trending away from open pit been noted, to $130 million annually worldwide.
Uranium and Thorium Resource Assessment 289

5.1 Uranium Price History be needed in large quantities sometime during the
period to supply requirements once the excess
The projected production capabilities (of existing supplies from past military efforts are exhausted. In
and committed production centers) are expected to the longer term, resources recoverable at higher costs
fall from approximately 45,800 t of uranium in 1997 and additional supplies would be necessary to fill the
to 33,000 t in 2015 due to the resorption of ex- potential production shortfall indicated by some of
military stocks and the closure of existing mines as a the projections. Overall world reactor-related ura-
result of resource depletion or the lack of economics. nium requirements are expected to evolve from
Existing and committed capability at $40 per kilo- approximately 60,488 t of uranium in 1996 to
gram uranium or less is likely to meet only 40 to levels ranging between 54,500 and 79,800 t per year
60% of the requirements in 2015. However, the need by the year 2015.
for uranium will continue so long as nuclear electric As shown in Fig. 2, natural uranium prices, in the
generation continues and new mine production will form of U3O8, have trended downward for the past
15 years after peaking in the wake of the oil shocks
of the 1970s.
TABLE II
Worldwide Uranium Production (t uranium)

Country 2001 2000 6. KNOWN URANIUM RESOURCES


Canada 12,520 10,682
For the reasons already noted, uranium is widely
Australia 7720 7578
distributed in the earth’s crust. Today’s conventional
Niger 3096 2895
uranium reserves are estimated at 4 million t (known
Namibia 2239 2714
conventional resources) at costs of less than $130 per
Uzbekistan 2400 2350
Russia (estimated) 2000 2000
70
Kazakhstan 2018 1752
United States 1000 1456 60
(2002 U.S. dollars/kg)
Month-end spot price

South Africa 898 878 50


China (estimated) 500 500
40
Ukraine (estimated) 500 500
Czech Republic 330 500 30
India (estimated) 200 200
20
France 124 319
Romania 115 50 10

Spain 30 251 0
Others 77 121 1987 1989 1991 1993 1995 1997 1999 2001 2003
Year

Total world 35,767 34,746 FIGURE 2 Historical uranium prices. (Compiled with data
(42,180 t U3O8) (40,976 t U3O8) from the Ux Consulting Company, LLC and the U.S. Bureau of
Labor Statistics.)

TABLE III
Distribution of Uranium Production Technology Types (Percentages)

Material source 1981 1994 1995 1996 1997 1998 2001

Open pit 68 38 37 39 49 47 29
Underground 27 41 43 40 32 34 40
ISL 5 14 14 13 13 14 16
By-producta 7 6 8 6 5 15

a
Phosphate by-product, heap, and in-place leaching and mine water recovery. Olympic Dam is in the by-product category rather than the
underground category.
290 Uranium and Thorium Resource Assessment

TABLE IV logy has a very low environmental impact but can


Overview of Uranium Resources be used to extract uranium only from suitable
sandstone-type deposits. The only three plants using
Number of years phosphate by-product recovery (two in the United
of current States and one in Belgium, with total production of
nuclear
electricity
495 t U/year) suspended their uranium production in
Resources reported in 1999 (thousand t) production early 1999. The distribution of production for the
four technology types or material sources is shown in
Uranium stocks 200 4 Table III.
HEU and Pu 600 12 In the next 20 years or so, low-cost uranium
Known conventional o $40/kg 41254 production from new projects is expected to be
resources primarily from high-grade unconformity-type depos-
o $80/kg 3002 its, multimineral deposits, and sandstone-type depos-
o $130/kg 3954 80 its amenable to ISL mining technology. It is expected
Undiscovered o $80/kg 1460 that the use of conventional production technology
conventional will increase, with particular emphasis on under-
resources
ground mining, while ISL technology could maintain
o $30/kg 5338
its relative share.
Total 11,459 230
Today, primary production amounts to only 60%
Uranium in 22,000 440
phosphates
of the total world demand. Four additional (second-
Uranium in seawater 4,200,000 80,000
ary) uranium resources make up the balance of
supply and demand: uranium stockpiles, reenrich-
ment of depleted uranium, recycling of uranium and
plutonium, and the use of former weapons-grade
kilogram. Reasonably assured resources, recoverable material (HEU).
at costs of less than $130 per kilogram, account for
an additional 2.3 million t. Besides conventional
resources, large resources of uranium exist. Phos- 6.2 Locations of Known
phates are known to contain significant amounts of Uranium Resources
uranium, and industrial production has been per- Australia, Kazakhstan, Canada, and South Africa
formed in the United States and Belgium for the past dominate the known uranium resources of the world,
20 years or so. Another practically inexhaustible with roughly 28, 15, 14, and 10% of the known
potential source of uranium is seawater (Table IV). resources recoverable, respectively, at a cost of less
The conventional resources alone could sustain the than $80 per kilogram (Table V).
nuclear option for at least the next 100 years, based The estimates of resources must be used with
on today’s nuclear reactors. In principle, they would some caution. Often, the reasonably assured re-
last more than 60 times longer if uranium and sources significantly underestimate resources that
plutonium present in the spent fuels were system- will be found with further exploration. For example,
atically recycled in fast reactors, subject to technical although the U.S. resources are listed as approxi-
developments and economic considerations. mately 104,000 t uranium, 354,000 t were produced
from domestic mines from 1949 through 2001. U.S.
6.1 The Perspective for the Next 20 Years uranium mines have been closed, not for lack of
resources but rather because current prices ($29.30/
However, despite these formidable resources, only kg in June 2003 according to the Ux Consulting
highly localized deposits with a concentration of Company) no longer support profitable operation.
approximately 500 ppm or more can be mined The NEA and IAEA assess the current uranium
economically in today’s market conditions, that is, resource base, including more speculative and higher
at prices of less than $40 per kilogram. Uranium is cost resources, at 16.2 million t.
actually produced using both conventional mining
(open pit and underground mining) and unconven-
6.3 Canadian Reserves
tional production techniques. Unconventional
techniques include ISL technology, phosphate by- The Canadian reserves are a good example of the
product recovery, and heap leaching. ISL techno- potentially much larger size of the resource base. In
Uranium and Thorium Resource Assessment 291

TABLE V ore. Because the groundwater, at a normal hydro-


Known Recoverable Resources of Uranium static pressure of 5.1 MPa, has radon concentrations
as high as 8.9  109 Bq/m3 (0.24 Ci/m3), special
Metric tons Percentage of world provisions must be made for adequate ventilation
of the radon and for freezing of the adjacent
Australia 863,000 28 groundwater to prevent flow into the mine.
Kazakhstan 472,000 15 The ore is milled 80 km south of the McArthur
Canada 437,000 14 River deposit at Key Lake. Uranium production from
South Africa 298,000 10 the combined McArthur River–Key Lake complex in
Namibia 235,000 8 2001 was 7225 t. Although Key Lake reserves,
Brazil 197,000 6 estimated to total 70,400 t, will be depleted over
Russian Federation 131,000 4 the next 5 years or so, production from McArthur
United States 104,000 3 River is expected to continue for several decades,
Uzbekistan 103,000 3 according to Jamieson and COGEMA Resources.

World total 3,107,000


6.3.2 Cigar Lake
Source. Organization for Economic Cooperation and Devel- Cigar Lake, 660 km north of Saskatoon, is the
opment, National Energy Agency, and International Atomic world’s second-largest uranium deposit. Discovered
Energy Agency (2001). in 1981 and approved as a test mine in 1987, the
mine received government approval in 1998 and
could begin uranium production in 2005 or later
the Red Book estimates, the Canadian resources are
depending on market conditions. During the first 15
listed as 331,000 t uranium. These vast economic
years of operation, the mine is expected to produce
concentrations are unconformity-type deposits in
approximately 232 million pounds of U3O (90,000 t
Proterozoic sedimentary basins. However, the
U) at an average grade of 21%. The mine is expected
McArthur River deposit, 620 km north of Saskatoon,
to have a life span of 30 to 40 years. The overall
Saskatchewan, itself contains 161,000 t uranium in
Cigar Lake reserve is estimated at 137,000 t of
ore that average 23% U3O8.
uranium.
The Jasper Lake deposit contains approximately
6.3.1 McArthur River/Key Lake
123,000 t of uranium in ore that is 13.6% U3O8. The
McArthur River, which is the world’s highest grade
two deposits cover less than 120 square miles and
and largest uranium mine, was discovered in 1988
were first explored some 20 years ago. Cigar Lake
and, after regulatory approvals were obtained, began
(137,000 t U) and Key Lake (70,400 t U) are also
mining operations in 1999. Between 1988 and 1991,
within 20 miles of each other.
60 exploratory holes were drilled from the surface, of
The richness of the Canadian deposits and the
which 37 intersected uranium mineralizations. Ap-
relatively small area that has been explored both
proximately 70% of the deposit is based on seven of
suggest that additional demand and exploration will
those holes. One hole graded 43% U3O8 for a
result in substantial further discoveries.
distance of 25 m. The proven reserves at McArthur
River are 137,000 t of uranium from ore averaging
17.8 wt%, probable reserves of 15,000 t averaging
6.4 Australian Reserves
19.5 wt%, and indicated resources of 87,000 t
averaging 9.1 wt%. Like the other large Saskatch- Australia has emerged as a major producer of
ewan deposits, the McArthur River deposit occurs uranium since 1960. An intensive exploration effort
close to the unconformity between the flat-lying at that time led to the discovery of the Ranger,
unmetamorphosed Proterozoic sandstones of the Jabiluka, and Olympic Dam deposits as well as
Athabasca Group and the lower Proterozoic and several others. Today, Australia has 27% of the
Archean rocks beneath. At the McArthur River site, world’s proven reserves and a similar share of
this unconformity is at a depth of 500 to 600 m. worldwide production. Australian deposits are roll-
Remote-controlled equipment and nonentry front deposits in sandstone or caliche, unconformity
mining methods are used at McArthur River to deposits, and a few veins in pegmatites. In general,
minimize the direct and inhalation radiation expo- the Australia deposits are lower in grade than the
sure to workers extracting the high-grade uranium currently operational Canadian deposits.
292 Uranium and Thorium Resource Assessment

The Ranger deposit, located 230 km east of approximately 2000 t of uranium, of which an
Darwin, originally contained approximately 93,000 t estimated 90% was derived from underground
of uranium at an average grade of 0.16 to 0.25 wt%. mining, with the balance being derived from low-
The mine has been producing approximately 4300 t grade ore by heap or in-place leaching. The Russian
annually for the past two decades. Roughly half of the Federation has reasonably assured resources, at up to
original deposit has been exhausted. $80 per kilogram of uranium, of 140,900 t. The
The Jabiluka deposit, 20 km north of the Ranger balance of the known conventional resources consists
deposit, contains at least 60,000 t of uranium at an of 36,500 t recoverable at less than $80 per kilogram.
average grade of 0.43 wt%. Undiscovered resources are estimated to be exceed-
The Olympic Dam deposit, located 265 km north ingly large—nearly 105,000 t of uranium at up to
of Port Augusta in South Australia, is potentially one $130 per kilogram plus 1 million t of speculative
of the world’s largest uranium deposits. Estimated resources, of which more than half are thought to be
reserves are 266,000 t with an ore grade of 0.04 wt% recoverable at less that $80 per kilogram.
and an additional indicated resource of 388,000 t
with an average grade of 0.03 wt%. In addition, the
deposit contains approximately 12 million t of 7. UNCONVENTIONAL RESOURCES
copper and significant amounts of gold and silver.
Currently, the Olympic Dam deposit is not being Unconventional resources are those outside the
operated as a primary uranium producer but instead mining industry or those in deposits not generally
recovers uranium as a by-product of copper and gold mined for the uranium or thorium alone.
extraction. Production capacity is being increased to
4700 t per year from the current 4000 t.
7.1 Enrichment Tails
An unconventional source of uranium is the reenr-
6.5 Other Ore Deposits
ichment of depleted uranium by using today’s over-
The United States has extensive ore deposits in the capacity of enrichment. Because of the low prices of
West, where many production centers were built natural uranium during recent years, many enrich-
between 1947 and the 1970s. From 1960 to 1980, ment plants have been operating with tails assays of
the United States produced an average of 10,850 t of up to 0.3% 235U. Therefore, the 1.18 million t of
uranium annually. From 1949 through 2000, U.S. depleted uranium currently stored at enrichment
production was 354,421 t annually. plants could supplant a few hundred thousand metric
However, because of slow demand growth and tons of natural uranium if demand required. The
large discoveries in Canada and Australia, many of inventory of depleted uranium is expected to increase
these facilities have been closed and dismantled or by approximately 51,400 t per year through at least
put on long-term standby. Current production of 2010. The enrichment capacity in 1999 was reported
1000 t of uranium per year from an aggregate to be 55.6 million separative work units (MWSU) per
capacity of 3060 t per year uses ISL at six locations. year, compared with an annual demand of
In addition, one by-product plant is operational with 35.4 MWSU per year. The current spare capacity in
a capacity of 290 t per year. Four ISL, three by- enrichment plants in the world, at roughly 15 to
product, and six conventional mills are on standby. 20 MSWU per year, theoretically represents an
Reasonably assured resources, at up to $80 per equivalent of 7000 t of natural uranium per year if
kilogram of uranium, are estimated to be 104,000 t, this spare capacity was used for enrichment of
whereas resources in the range of $80 to $130 per depleted uranium with an assay of 0.3% and a new
kilogram are estimated to be 244,000 t. Estimated tails assay of 0.1%.
additional resources are 839,000 t at up to $80 per However, the economics of reenrichment depend
kilogram and 434,000 t at $80 to $130 per kilogram. on the 235U assay of the depleted uranium and the
Speculative resources in the same cost brackets are relationship between the price of uranium and the
504,000 and 354,000 t, respectively. Additional cost of enrichment services. A tails assay of more
speculative resources, with no cost range assigned, than 0.3% is preferable if reenrichment of depleted
are estimated to be 482,000 t. uranium is to be considered a possibility. Reenrich-
The only current source of Russian uranium ment of depleted uranium for the production of LEU
production is the Streltsovsky region near Krasno- and natural uranium in the Russian Federation has
kamensk in eastern Siberia. Output in 2001 was taken place for several years.
Uranium and Thorium Resource Assessment 293

7.2 Gold and Phosphate Tailings Simple calculations show that the pumping energy
needed in an extraction plant could easily consume
In addition to the discovery of new resources through
all of the energy available, particularly in the LWR
increased exploration, improvements in mining
case. Thus, seawater extraction conceptual designs
technology are lowering the cost of previously high-
relying on ion exchange or adsorption have used
cost deposits. In particular, ISL is of growing
ocean currents or wave action to move the seawater
significance and could be applied to existing gold
past the uranium-collecting surfaces.
and phosphate tailings piles. The resource base of As discussed later, harvesting the remaining fissile
16.2 million t does not include uranium in gold and
material from enrichment tails or harvesting fissile
phosphate tailings. The phosphate deposits are
isotopes from discharged fuel may prove to be more
estimated at 22 million t.
economical routes for uranium resource extension
than is seawater extraction.
However, the magnitude of the seawater resource
7.3 Recovery of Uranium from Seawater
places an upper limit on the cost of uranium for
The recovery of uranium from seawater places an several reasons. First, seawater is available to nearly
upper limit on the cost of uranium. Uranium is all countries of the world at virtually the same
dissolved in seawater at 3 mg/m3 (3 wppb) and uranium concentration and without local depletion
represents a well-known resource of 4 billion t, more due to the extraction of uranium. Second, because no
than 300 times the known land-based resource. group of countries can form a cartel over the
Estimates of recovery costs have been in the uranium supply if seawater extraction is practiced,
neighborhood of $200 per kilogram, although these the price of uranium is unlikely to be driven
estimates are highly speculative. The uranium con- artificially high through market manipulation.
tent of the oceans is relatively constant, and large- Furthermore, the only current limitation on the
scale extraction can be done without local depletion extraction of uranium from seawater is knowledge
of the resource. Because only approximately 3% of of the technology and resins. Thus, one would expect
the global population live in landlocked countries, that if conventional sources of uranium become
extraction of uranium from seawater is truly the limiting, a healthy competition in research and
bounding cost for uranium. development would drive the price toward the more
Uranium recovery from seawater has been studied optimistic $200 per kilogram.
in Japan for the very long term or to face a very strong Therefore, a successful technology for the extrac-
development of fission energy. In a laboratory-scale tion of uranium from seawater places a cap on the
experiment performed by the Japan Atomic Energy cost of uranium. However, for the foreseeable future,
Research Institute (JAERI), uranium is trapped by an that cap will be well above the market prices of
amidoxime adsorbent that has been prepared on uranium from geological deposits.
nonwoven polyethylene material with the aid of The additional cost of uranium recovered from
radiation-induced cografting. This experiment, con- seawater, even under somewhat pessimistic costs of
ducted 7 km offshore from Sekine-Hama in Aomori $1000 per kilogram, would not add more than 30%
Prefecture, Japan, produced more than 1 kg of to the cost of electricity. Thus, although the avail-
uranium on 350 kg of nonwoven fabric during a total ability of uranium from conventional mines is of
submersion time of 240 days, as reported by Seko. some interest in the development of new reactor
Yet, at this stage of the study, it is difficult to predict types, limited uranium resources should not be a
the practical application of uranium recovery from determining factor in the choice of a reactor type.
seawater. An economic assessment has been reported The increase in the overall cost of electricity would
indicating a possible cost for this uranium process in a be less than that seen routinely in fossil fuels (e.g., the
1000-t/year commercial plant of approximately $600 price fluctuation of natural gas since 1998).
per kilogram. Ultimately, a goal of approximately
$100 per kilogram was reported to be feasible in the
longer term with an improved absorbent. 8. NEW TECHNOLOGIES FOR
The recovery of uranium from seawater is highly URANIUM EXTRACTION
speculative and may never prove to be economical.
For example, 1 t of seawater contains 3 mg of natural The current low prices of uranium provide little
uranium, which can deliver 244 MJth in a breeder or motivation for the development of new extraction
approximately 2.5 MJth in a present-day LWR. technologies. However, regulations to minimize the
294 Uranium and Thorium Resource Assessment

TABLE VI
Impact of Uranium Costs on the Cost of Electricity

Current uranium prices Uranium from seawater

Optimistic:$200/kg Pessimistic: $1000/kg

UO2 fuel UO2 fuel UO2 fuel UO2 fuel UO2 fuel UO2 fuel
45 MW-day/kg 60 MW-day/kg 45 MW-day/kg 60 MW-day/kg 45 MW-day/kg 60 MW-day/kg Units

Specific power 37.9 37.9 37.9 37.9 37.9 37.9 KWth/kg


Cycle
parameters
Total cycle 3.8 5.1 3.8 5.1 3.8 5.1 years
length
Capacity factor 85% 85% 85% 85% 85% 85%
Effective full 1186 1582 1186 1582 1186 1582 efpd
power days
Burnup 45.0 60.0 45.0 60.0 45.0 60.0 MW-day/kg ihm
Feed 235U 0.72% 0.72% 0.72% 0.72% 0.72% 0.72% atom%
content
Product 235U 4.05% 5.40% 4.05% 5.40% 4.05% 5.40% atom%
enrichment
Tails 235U 0.30% 0.30% 0.15% 0.15% 0.05% 0.05% atom%
content
Feed 235U 0.71% 0.71% 0.71% 0.71% 0.71% 0.71% wt%
content
Product 235U 4.00% 5.34% 4.00% 5.34% 4.00% 5.34% wt%
enrichment
Tails 235U 0.30% 0.30% 0.15% 0.15% 0.05% 0.05% wt%
content
Separative work 5.277 7.852 7.554 11.053 11.663 16.829 kg-SWU/kg fuel
Natural 9.009 12.257 6.845 9.216 5.973 7.990 kg/kg fuel
uranium
0.200 0.204 0.152 0.154 0.133 0.133 kg MW-day

impact of mining on the environment and radiation use of liquids to dissolve the desired elements from
exposure to workers have led to the use of the ore body without removing it from the ground.
technologies where uranium is extracted in situ or The liquid is pumped through the ore body and
where ores previously mined for another element are returned to the surface, where the desired elements
processed for uranium extraction. In addition, the are removed from the solution by precipitation,
technologies described previously for the extraction electrochemistry, or other means. The leaching
of uranium from seawater could play a critical role liquid is then returned to the ore body and the
in minimizing environmental impact and radiation process is repeated. ISL eliminates the need to
exposure. remove large quantities of ore from the ground
and to transport it to the mill, thereby minimizing
surface disturbance. ISL also eliminates the need to
8.1 In situ Leaching
dispose of the tailings or waste rock. However, for
In conventional mining, the rock of the ore body is ISL to be effective, the ore body must be permeable
removed from the ground, transported to a mill, and to the flow of the leaching liquid. Furthermore, the
treated to remove the minerals of economic value. ISL site must be located so as to not contaminate
The opening of the mine, the transport of the ore, groundwater away from the ore body.
the milling, and the disposal of remaining treated Today, because of its reduced surface impact and
rock can create severe environmental impacts. ISL, lower cost, ISL is used for 85% of U.S. uranium
sometimes known as solution mining, involves the production. Most of the operations in Wyoming,
Uranium and Thorium Resource Assessment 295

Table VI continued

Current uranium prices Uranium from seawater

Optimistic:$200/kg Pessimistic: $1000/kg

UO2 fuel UO2 fuel UO2 fuel UO2 fuel UO2 fuel UO2 fuel
45 MW-day/kg 60 MW-day/kg 45 MW-day/kg 60 MW-day/kg 45 MW-day/kg 60 MW-day/kg Units

Rates
Interest rate 8.0% 8.0% 8.0% 8.0% 8.0% 8.0% per year
Natural $30.17 $30.17 $200.00 $200.00 $1000.00 $1000.00 /kg U
uranium
308
$11.63 $11.63 $77.09 $77.09 $385.45 $385.45 /lb U
308
Conversion U $5.00 $5.00 $5.00 $5.00 $5.00 $5.00 /kg natural U
to UF6
Separative work $78.00 $78.00 $78.00 $78.00 $78.00 $78.00 /kg-SWU
Costs
Natural $271.79 $369.80 $1369.00 $1843.19 $5972.66 $7989.80 /kg fuel
uranium
Separative work $411.58 $612.44 $589.24 $862.17 $909.72 $1312.66 /kg fuel
Conversion $45.04 $61.29 $34.22 $46.08 $29.86 $39.95 /kg fuel
Fabrication $300.00 $300.00 $300.00 $300.00 $300.00 $300.00 /kg fuel
Total cost $1028.41 $1343.52 $2292.46 $3051.44 $7212.25 $9642.40 /kg fuel
Interest during $157.14 $273.81 $350.29 $621.88 $1102.03 $1965.12 /kg fuel
use

Total fuel cost $1185.55 $1617.33 $2642.75 $3673.32 $8314.28 $11,607.52 /kg fuel
$26.35 $26.95 $58.74 $61.22 $184.80 $193.44 /MWth-day
$0.322 $0.329 $0.717 $0.747 $2.257 $2.362 /million BTU
$3.26 $3.33 $7.26 $7.57 $22.85 $23.92 /MW-h

COE increase due $4.00 $4.24 $19.52 $20.58 /MW-h


to uranium from
seawater 4.0 4.2 19.5 20.6 mills per kWe-h

Nebraska, and Texas have been in existence for less agent, such as sodium bicarbonate and CO2, must be
than 10 years. Worldwide, approximately 16% of used. Otherwise, an acid leaching agent, such as
uranium production uses ISL, including all of the weak sulfuric acid plus oxygen at a pH of 2.5 to 2.8
production in Uzbekistan and Kazakhstan. (about the same as vinegar), is preferred. ISL in
ISL can be used to extract uranium from depo- Australia is primarily acid, whereas ISL in the United
sits below the water table in permeable sand or States is primarily alkaline.
sandstone, provided that the deposits are con- In general, the uranium is extracted by progres-
fined above and below by impermeable strata. sively drilling wells into the deposit on a rectangular
Suitable candidates are often roll-front deposits, as grid with 30-m spacing. The leaching fluid is pumped
described earlier. The uranium minerals are usually into four wells surrounding a central extraction well,
uranium oxide or uranium silicate coatings on the into which a submersible pump has been lowered.
individual sand grains. The ISL process replicates, in The wells are cased to ensure that the fluids do not
a few months, the conditions that led to the enter strata above the deposit. In the United States,
formation of the roll-front deposit in the sandstone the production life of an individual alkaline ISL well
initially. is typically 6 to 10 months. The most successful
There are two types of ISL, depending on the operations have extracted 80% of the uranium from
chemistry of the sandstone and groundwater. When the ore. Production life is often limited when the
the ore body is limestone or gypsum (i.e., containing sandstone is plugged by mobilized clay and silt.
significant amounts of calcium), an alkaline leaching Sometimes the blockages can be dislodged by
296 Uranium and Thorium Resource Assessment

reversing the flow through the field or by increasing 9.1 Uranium and Thorium Resources
the injection pressure. Compared with Future Energy Needs
The uranium is recovered from the pregnant
solution in an ion exchange or solvent extraction A simple calculation is needed to place the magni-
process. Solvent extraction is preferred if the ground- tude of current uranium mining in perspective. If we
water is saline, whereas ion exchanges is most assume that the world population reaches a steady-
effective if the chloride content is less than state level of 10 billion and that each person
3000 ppm. With alkaline leaching, ion exchange is consumes energy at the average rate of a U.S.
effective until the total dissolved solids reach resident in 2001, total world consumption of energy
3000 ppm. The uranium is then stripped from the would be approximately 3.7  1021 Jth. Although
resin or solution for further processing. that high rate of consumption would probably not
Before the process solution is reinjected, it is be sustainable for a variety of other reasons, the
reoxygenated and recharged with sulfuric acid, if required natural uranium input to a system of fast
necessary, to maintain a pH of 2.5 to 2.8. reactors to produce 3.7  1021 Jth would be approxi-
Approximately 1% of the process solution is bled mately 45,000 t. Average worldwide uranium pro-
off to maintain a pressure gradient toward the duction, from both mines and the downblending of
wellfield. The pressure gradient ensures that ground- HEU, now exceeds 45,000 t per year. Expected
water from any surrounding aquifer flows into the requirements for the next 20 years or so are 60,000
wellfield and that ISL mining solutions do not enter to 80,000 t per year.
the aquifer.
9.2 The Need for Fast Reactors
The early development of fast breeder reactors and of
9. IMPACT OF URANIUM SCARCITY thermal breeder reactors using thorium was driven in
AND HIGHER EXTRACTION COSTS part by the apparent scarcity of fissile isotopes to fuel
a rapidly growing set of nuclear reactors. Slow
Table VI shows the approximate impact of in- growth in nuclear power and large discoveries of
creases in the price of natural uranium on the cost natural uranium have reduced the urgency for
of electricity from an LWR. In this set of calcula- breeding more fissile material.
tions, the cost of natural uranium is set at $30.17 However, the use of a fast neutron spectrum or
per kilogram (the approximate average price of thorium offers unique capabilities for the consump-
domestic uranium to U.S. utilities in 2000), with tion of the long-lived actinides, particularly pluto-
$200 per kilogram representing an optimistic cost nium, neptunium, americium, and curium.
of extraction from seawater and $1000 per kilo- In the long term, the capability of a fast reactor to
gram representing a more pessimistic (or perhaps make use of both 238U and 235U will be critical in
more realistic) cost of extraction from seawater. meeting future energy needs. However, in the coming
Two burn-ups are shown for uranium price: 45 and century, fast reactors will be crucial for the manage-
60 MW-day (thermal) per kilogram of initial ment of actinides and the reduction of the long-term
uranium. The specific power of the fuel remains radiotoxicity of the nuclear fuel cycle by at least two
constant at 37.9 kWth per kilogram of initial orders of magnitude.
uranium, as does the interest charged on the fuel
during the fuel cycle. In the cases with higher cost
9.3 Comparison of Fossil Fuel and
uranium, the tails assay (‘‘tails 235U content’’) to
Uranium Reserves
optimize the balance between raw materials and
enrichment costs. It is interesting to compare the cited uranium known
As shown in the final two lines of Table VI, an reserves and the inventory of depleted uranium with
increase in the cost of natural uranium from $30.17 the estimated reserves of coal, oil, and natural gas. In
to $1000 per kilogram results in an increase in the Table VII, the reserves of fossil fuels and uranium are
cost of electricity of approximately 20 mills ($0.02) compared on the basis of known economically
per kilowatt-hour. An increase in the price of natural recoverable reserves.
gas of $3.00 per thousand cubic feet, as occurred in Fossil fuel reserves are those of the World
2000, also results in an increase in the cost of Energy Council, the Oil & Gas Journal, and
electricity of $0.02 per kilowatt-hour. World Oil, as cited by the Energy Information
Uranium and Thorium Resource Assessment 297

TABLE VII uranium prices, encourage exploration, and return


Comparison with Fossil Reserves the uranium to a slightly higher priced equilibrium.
However, because of the wide range of igneous
Coal 1089 billion tons and geochemical processes that are responsible for
¼ 2.41E þ 22 Jth the formation of uranium deposits, we can expect
¼ 22,869 quad that uranium will be found in significant quantities
Petroleum 1028 billion barrels with renewed exploration.
¼ 6.29E þ 21 Jth Emerging technologies for the extraction of
¼ 5,962 quad uranium, particular ISL, will make resources in
Natural gas 5450 trillion cubic feet sandstone and shale economically recoverable and
¼ 5.95E þ 21 Jth will minimize the surface disruption due to open pit
¼ 5,641 quad mining and the occupational radiation exposures of
Total fossil reserves 3.64E þ 22 Jth underground mining.
¼ 34,472 quad In the more distant future, the extraction of
Uranium 3.1 million t natural Uranium uranium from seawater will make this fuel available
þ 1.3 million t depleted Uranium to virtually every nation. Although extraction from
¼ 1.34E þ 21 Jth in LWRs seawater is likely to be 10 to 20 times more
¼ 1268 quad in LWRs expensive than uranium is today, the overall increase
¼ 3.57E þ 23 Jth in fast reactors in the cost of electricity and other energy products
¼ 338,462 quad in fast reactors would be minimal.
Therefore, the need for fast reactors in the near
Note. quad, quadrillion BTU. term is driven not by a scarcity of uranium but rather
by a need to effectively manage the long-lived
actinides in spent fuel. A fast neutron spectrum is
Administration. In using Table VII, the caveat cited uniquely capable of fissioning the higher actinides
previously applies: resources of both fossil fuels and reducing the long-term radiotoxicity of the
and uranium are undoubtedly much larger than the nuclear fuel cycle. Likewise, although thorium is
reserves cited. Nevertheless, it is noteworthy that more abundant than uranium, the primary use of
the uranium resources are energetically equivalent thorium will probably not be for the breeding of
233
to approximately 20% of natural gas and oil U; rather, it will be as a host material for the
resources, even with the use of LWRs only. The transmutation of the higher actinides.
1.3 million t of depleted uranium currently in There are many challenges in the development of
storage itself represents an energy source larger the safe, proliferation-resistant, and economical reactors
fossil reserves. and fuel cycles. Fortunately, the uranium and thorium
resources do not appear to be a near-term limitation.

10. SUMMARY
SEE ALSO THE
Uranium is ubiquitous in the continental crust and is FOLLOWING ARTICLES
concentrated in economically recoverable deposits by
several relatively well-understood processes. Today, Nuclear Engineering Nuclear Fission Reactors:
we are mining uranium from the richest and most Boiling Water and Pressurized Water Reactors
convenient of the deposits, although little explora- Radiation, Risks and Health Impacts of Uranium
tion has taken place during the past 20 years. Mining: Environmental Impact Uranium Mining,
Uranium and thorium are often being extracted as Processing, and Enrichment
by-products of mining for other elements. It is likely
that other similarly rich deposits exist in relatively
Further Reading
unexplored regions of Asia and Africa.
Prices in the current uranium market are domi- Alpher, R. A., Bethe, H., and Gamow, G. (1948). The origin of
nated by large discoveries during the past 20 years chemical elements. Physical Rev. 37(7).
Bates, R. L., and Jackson, J. A. (eds.). (1984). ‘‘Dictionary of
and by the conversion of military HEU for civilian Geological Terms,’’ 3rd Ed. Anchor Books, New York.
purposes. The continued use of nuclear energy and Benedict, M., Pigford, T. H., and Levi, H. W. (1981). ‘‘Nuclear
the end of downblending can be expected to raise Chemical Engineering.’’ McGraw–Hill, New York.
298 Uranium and Thorium Resource Assessment

COGEMA Resources (2002). ‘‘Uranium Joint Ventures: McArthur Organization for Economic Cooperation and Development,
River/Key Lake.’’ www.cri.ca/uranium/mcarthur.html. National Energy Agency, and International Atomic Energy
Deffeyes, K. S., and MacGregor, I. D. (1978). ‘‘Uranium Agency (2001). ‘‘Uranium 2001: Resources, Production, and
Distribution in Mined Deposits and in the Earth’s Crust.’’ Final Demand.’’ OECD, Paris.
report, GJBX-1(79), Department of Geological and Geophysi- Urey, H. C. (1952). The abundances of the elements. Physical Rev.
cal Sciences, Princeton University. 88(2).
Deffeyes, K. S., and MacGregor, I. D. (1980). World uranium US Bureau of Labor Statistics. (2001). Energy information
resources. Sci. Am. 242, 66–76. administration. Ann. Energy Review 2001, November 2002.
Energy Information Administration (2002). ‘‘Annual Energy Re- US Geological Survey (2001). ‘‘Minerals Yearbook 2001.’’ USGS,
view 2001,’’ DOE/EIA-0384(2001). U.S. Department of Energy, Washington, DC.
Washington, DC. Ux Consulting Company LLC (2003). ‘‘World Spot Market Price
International Atomic Energy Agency (n.d.). ‘‘Analysis of Uranium for U3O8.’’ www.uxc.com.
van den Durpel, L. (ed.). (2002). ‘‘Trends in the Nuclear Fusion
Supply to 2050,’’ IAEA-SM-362/2. IAEA, Vienna, Austria.
Cycle: Economic, Environmental, and Social Aspects.’’ Nuclear
Jamieson, B. W., and Frost, S. E. (1997). ‘‘The McArthur River
Energy Agency, Paris.
Project: High Grade Uranium Mining.’’ www.world-nuclear.- World Nuclear Association (2001). ‘‘Uranium Mining in Australia
org/sym/1997/jamieson.htm. and Canada.’’ www.world-nuclear.org/education/mining.htm.
Kidd, S. (2001). The World Nuclear Association market report World Nuclear Association (2002). ‘‘Supply of Uranium.’’
2001. The Nuclear Eng. 42(6), 191. www.world-nuclear.org/info/inf75print.htm.
Uranium Mining:
Environmental Impact
DONALD R. METZLER
U.S. Department of Energy
Grand Junction, Colorado, United States

daughter products Radionuclides that are produced from


1. Uranium and Its Characteristics other radionuclides when they decay.
dose A specific amount of ionizing radiation or a toxic
2. Recognition of Risks to Human Health and the
substance absorbed by a living being.
Environment
gamma radiation High-energy, highly penetrating electro-
3. Historical Review of Uranium Ore Mining magnetic radiation emitted in the radioactive decay of
4. The Cold War Era many radionuclides. Gamma rays are similar to X-rays.
5. Environmental Impacts in the United States half-life The time it takes for one-half of any given number
6. Environmental Impacts in Germany of unstable atoms to decay. Each isotope has its own
7. Remediation in the United States characteristic half-life that ranges from small fractions
of a second to billions of years.
8. Other Remediation Programs
heavy metals Metallic elements with high atomic weights
9. Protecting the Environment for the Long Term (e.g., mercury, chromium, cadmium, arsenic, and lead)
10. Comparison of Decommissioning and Cleanup Costs that can damage living organisms at low concentrations
11. Managing the Long-Term Risk and tend to accumulate in the food chain. Uranium,
thorium, and plutonium are heavy metals.
highly enriched uranium Uranium with more than 20% of
the uranium-235 isotope used for making nuclear
Glossary weapons and as fuel for some isotope production,
alpha particle A particle consisting of two protons and two research, and power reactors. Weapons-grade uranium
neutrons given off by the decay of many elements, is a subset of this group.
including uranium, plutonium, and radon. Alpha isotopes Forms of the same chemical element that differ
particles cannot penetrate a sheet of paper; however, only by the number of neutrons in their nucleus. Most
alpha-emitting isotopes in the body can be very elements have more than one naturally occurring
damaging. isotope. Many more isotopes have been produced in
atom The basic component of all matter. The atom is the nuclear reactors and accelerators.
smallest particle of an element that has all of the mill tailings The sandlike materials left over from separat-
chemical properties of that element. Atoms consist of a ing uranium from its ore. More than 99% of the ore
nucleus of protons and neutrons surrounded by becomes tailings. Mill tailings typically contain ap-
electrons. proximately 85% of the radioactivity present in
beryllium The fourth lightest element. Some nuclear unprocessed ore.
weapon parts are made of beryllium. natural uranium Uranium that has not been through the
beta particle A particle emitted in the radioactive decay of enrichment process. It consists of 99.3% uranium-238
many radionuclides. A beta particle is identical to an and 0.7% uranium-235.
electron. It has a short range in air and a low ability to plume A subsurface zone that contains predominantly
penetrate other materials. dissolved and sorbed contaminants that originate from
Cold War A conflict over ideological differences between a contaminant source area. A plume can extend for
the United States and the Soviet Union and their allies some distance, depending on groundwater flow and
lasting from the late 1940s until the early 1990s. chemistry.
Curie The amount of radioactivity in 1 g of the isotope plutonium (Pu) A man-made fissile element. Pure
radium-226. One curie is 37 billion radioactive disin- plutonium is a silvery metal heavier than lead. Material
tegrations per second. rich in the plutonium-239 isotope is preferred for

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 299
300 Uranium Mining: Environmental Impact

manufacturing nuclear weapons. The half-life of pluto- yellowcake A common uranium compound, U3O8, named
nium-239 is 24,000 years. for its typical color. Uranium is sent from the uranium
radiation Energy transferred through space or other media mill to the refinery in this form.
in the form of particles or waves. Certain radiation
types are capable of breaking up atoms or molecules.
The splitting, or decay, of unstable atoms emits ionizing
radiation.
radioactivity The spontaneous emission of radiation 1. URANIUM AND
from the nucleus of an atom. Radionuclides lose ITS CHARACTERISTICS
particles and energy through the process of radioactive
decay.
Since the 1940s, uranium mining and milling have
radionuclide A radioactive species of an atom. For
example, tritium and strontium-90 are radionuclides
involved extracting ore from the earth’s crust and
of elements of hydrogen and strontium, respectively. chemically processing it to prepare uranium concen-
radon A radioactive inert gas that is formed by the decay trate, sometimes called yellowcake. Processing of the
of radium. Radium, in turn, is a link in the decay chain uranium ore resulted in the generation of large
of uranium-238. Radon, which occurs naturally in volumes of slightly radioactive sandlike residues
many minerals, is a main hazard of uranium mill called mill tailings that typically contain radium,
tailings. thorium, radon, and nonradioactive heavy metals in
thorium A naturally occurring radioactive element. low concentrations. Usually, the tailings were depos-
uranium The basic material for nuclear technology. This ited as slurry in unlined pondlike structures. Eva-
element is naturally slightly radioactive and can be poration of the liquid content of the tailings left the
refined to a heavy metal more dense than lead. fine-grained tailings materials exposed to wind and
uranium mill A processing plant in which uranium is precipitation (Fig. 1).
separated from mined ore. To put the legacy waste problem into perspective,
Uranium Mill Tailings Radiation Control Act (UMTRCA)
the largest residual piles of mill tailings in the United
of 1978 (U.S. Public Law 95-604) The act that directed
the U.S. Department of Energy to provide for stabiliza-
States and Canada may total 30 million tonnes of
tion and control of the uranium mill tailings from solid material. Near Nucla, Colorado, the Uravan
inactive sites in a safe and environmentally sound pile contained more than 14 million tonnes of solids
manner to minimize radiation health hazards to the or mill tailings. The Helmsdorf pile near Zwickau in
public. It authorized the department to undertake Saxony, Germany, consists of 50 million tonnes of
remedial actions at 24 designated inactive uranium tailings and the Culmitzsch pile near Seelingstädt in
ore-processing sites and at an estimated 5000 vicinity Thüringia, Germany, contains 86 million tonnes of
properties. solids.
Uranium Mill Tailings Remedial Action (UMTRA) Pro- Many tailings piles and ponds were left in a state of
ject A program to reduce the hazards posed to the uncontrolled abandonment that harmed the environ-
public by uranium mill tailings. The program was ment. Windblown tailings contaminated soils, and
created by the U.S. Department of Energy in response to
radioactive and hazardous constituents migrated into
the Uranium Mill Tailings Radiation Control Act
enacted in 1978. The U.S. Department of Energy’s
surface waters and groundwaters. Significant efforts
Office of Environmental Management is responsible for
implementing the UMTRA Project.
uranium mining, milling, and refining Mining and milling
involves extracting uranium ore from the earth’s crust
and chemically milling (processing) it to prepare
uranium concentrate (U3O8), sometimes called uranium
octaoxide or yellowcake. Uranium concentrate is
refined, or chemically converted, to purify it into the
form suitable as feed material for further use.
uranium-238 The heavier of the two main isotopes of
uranium. Uranium-238 makes up more than 99% of the
uranium ore that is mined. It has a half-life of 4.5 billion
years and is not easily split by neutrons.
vicinity properties Locations away from inactive millsites FIGURE 1 In the early years of processing uranium ore in the
where uranium mill tailings were used for construction United States, liquid waste was piped to ponds where the liquid
or were transported by wind or water erosion. component evaporated, leaving fine sandlike tailings.
Uranium Mining: Environmental Impact 301

have been implemented during the past 20 years to Uranium oxide, the product of the milling process,
control and stabilize these piles and ponds and to needs further refinement and chemical conversion to
mitigate the adverse environmental consequences. purified forms that are suitable as feed materials. The
Today, more rigorous regulations and standards for product at this stage is uranium hexafluoride (UF6),
mining and milling uranium ore help prevent negative which requires enrichment as the succeeding step in
effects to human health and the environment. the fuel cycle process. Enrichment is the isotope
Uranium is a naturally occurring element and a separation of the fissile material (uranium-235). The
metal that has been identified in approximately fuel cycle material (highly enriched uranium) is
50 minerals. Uranium minerals are not particularly destined for fuel and target fabrication, reactor
rare. The main ores of uranium are uraninite operations, chemical separations, component fabri-
(pitchblende) and secondary minerals formed from cation, and ultimately weapons operations. The
it by weathering. Another important source of depleted uranium (containing less than 0.711%
uranium ore is carnotite. Carnotite is a complex uranium-235) is used in weapon components and
uranium and vanadium mineral that occurs in in reactor targets to be irradiated for the production
sedimentary rocks, is visible as yellow streaks in of plutonium-239.
sandstones, and is common in the southwestern
United States. Uranium minerals are widespread in
granites and pegmatites but generally not in large
concentrations. The average crustal abundance of
uranium varies from 2 to 4 parts per million, which is 2. RECOGNITION OF RISKS
similar to the natural occurrences of arsenic, TO HUMAN HEALTH AND
beryllium molybdenum, and tungsten. THE ENVIRONMENT
A unique characteristic of uranium is its radio-
active isotopes that are unstable and can change or Uranium mill tailings are the sandy waste produced
‘‘decay’’ to other forms. Some of uranium’s descen- by the uranium ore milling process. Because only 1–5
dants in its decay chain are more radioactive than pounds of usable uranium (depending on the ore
uranium and emit a significant level of radiation. grade) is extracted from each tonne of ore, large
Uranium is represented in the periodic table by the quantities of waste were produced during more than
symbol U and the atomic number 92. It is an actinide 40 years of processing ore for Cold War efforts,
and one of three naturally occurring isotopes that nuclear power plants, and medical uses. These
exist in nature: uranium-234, uranium-235, and tailings contain many naturally occurring hazardous
uranium-238. The natural abundance (atom percent) substances, both radioactive and nonradioactive, and
of uranium-238 is greater than 99%. All three are include approximately 85% of the radioactivity
long-lived radioactive isotopes with half-lives of present in the unprocessed uranium ore. The greatest
2.45  105 years for uranium-234, 7.04  108 years threat to public health and safety is the radioactive
for uranium-235, and 4.46  109 years for uranium- decay process of this material into radium and
238. A half-life is the time it takes for half of any radon-222, an inert gas that may cause cancer or
sample or amount to decay. genetic mutations.
Uranium-235, although occurring in natural The dominant hazard from tailings is the radio-
uranium to the extent of only 0.71%, is so fissionable active decay products of uranium-238, particularly
with slow neutrons that a self-sustaining fission chain radium-226 and its short half-life decay products
reaction can be made in a reactor constructed from (Table I). Each gram of natural uranium ore contains
natural uranium and only a suitable moderator, such approximately 500 pCi of uranium-238. In addition,
as heavy water or graphite. Because uranium-235 is natural uranium ore contains approximately 23 pCi
the only uranium isotope with fissionable character- of uranium-235 and 2 pCi of thorium-232. Because
istics and because it is found in relatively low natural these isotopes occur in relatively small proportions
abundance compared to uranium-238, significant and pose less risk to health, uranium-235 and
amounts of uranium ore need to be mined (extracted thorium-232 and their radioactive decay products
from the earth’s crust) and milled (crushed and are usually ignored in evaluating the hazard of
chemically processed) to produce uranium oxide uranium mill tailings. However, thorium-230, with
(U3O8) or concentrate as the preparatory step in a half-life of 77,000 years, is a significant decay
processing uranium for the nuclear fuel cycle. product because it is the radioactive parent of
Yellowcake is the common term for uranium oxide. radium-226.
302 Uranium Mining: Environmental Impact

TABLE I
Decay Chain of Natural Radioactivity Starting with Uranium and Ending with Lead

Isotope Name Half-life Main radiations emitted

Uranium 4.47  109 years a

Thorium 24.1 days b, g

Protactinium 1.17 min b, g

Protactinium 6.75 h b, g

Uranium 2.45  105 years a

Thorium 7.54  104 years a

Radium 1.60  103 years a

Radon 3.82 days a

Polonium 3.11 min a

Lead 26.8 min b, g


Astatine 1.6 s a

Bismuth 19.7 min b, g

Polonium 164 ms a

Thallium 1.30 min b, g

Lead 22.3 years a, b

Bismuth 5.01 days a

Polonium 138 days a


Thallium 4.20 min b
Lead Stable —

Uranium tailings emit three types of radiation: effects of such changes to be difficult to detect.
alpha (a) particles, beta (b) particles, and gamma (g) Studies show, however, that individuals exposed to
rays. The type of radiation emitted by a nucleus ionizing radiation have a greater chance of develop-
depends on the nature of the imbalance in the nuclear ing cancer.
forces, but all types are forms of ionizing radiation The increased chance of cancer or genetic damage
that breaks up molecules into electrically charged after exposure to radiation cannot be predicted with
fragments called ions. Ions are created when an precision. Health experts have based risk estimates
electron is removed from one of the orbital electron on studies of individuals exposed at doses higher
shells of an atom. This process is called ionization. In than those associated with uranium mill tailings and
biological tissues, ionization can produce harmful on the assumption that the effects will be propor-
cellular changes. At low radiation levels usually tionally less at lower doses. The slope function of the
encountered in the environment, we expect the proportionality is not well understood.
Uranium Mining: Environmental Impact 303

Alpha, beta, and gamma radiation from tailings The thorium-230 decay product, radium-226, has a
can cause cancer or genetic damage. However, the 1600-year half-life. Both thorium and radium are
major threat comes from breathing air containing relatively insoluble and immobile in their usual
radon decay products with short half-lives, such as chemical forms. However, the decay product of
polonium-218, with a half-life of 3.11 min. However, radium-226 is radon-222, an inert radioactive gas
if alpha emitters have been inhaled, ingested (swal- that readily diffuses through interstitial spaces to the
lowed), or absorbed into the bloodstream, sensitive surface of the uncontrolled tailings piles where it
living tissue can be exposed to alpha radiation. The becomes airborne. The half-life of radon-222 is 3.8
resulting biological damage increases the risk of days, so some radon atoms can travel a long distance
cancer; in particular, alpha radiation is known to through the atmosphere before decaying to nonra-
cause lung cancer in humans when alpha emitters are dioactive lead-210.
inhaled. The radon decay process involves seven principal
Human exposure to gamma rays from radioactive decay products before ending with lead, a stable
material in the tailing piles is possible under nuclide (Table I). The four short half-life radioactive-
uncontrolled settings. Radium is also a source of decay products immediately following radon in the
gamma rays that can travel much farther than alpha decay chain are the most important sources of cancer
or beta particles and have enough energy to pass risk. These decay, for the most part, within less than
through the entire human body, potentially exposing 1 h. Members of the decay chain with relatively long
all organs. A large portion of gamma radiation half-lives (beginning with lead-210, which has a
passes through the body without interacting with 22.3-year half-life) are more likely to be ingested
tissue. The human body is mostly empty space at the than inhaled and represent a much smaller risk.
atomic level and gamma rays are massless uncharged The principal short half-life products of radon are
‘‘packets’’ of electromagnetic energy. In contrast, polonium-218, lead-214, bismuth-214, and polo-
alpha and beta particles inside the body lose all their nium-214. Polonium-218 has a half-life of 3.11 min,
energy by colliding with tissue and causing damage. which is long enough for most of the electrically
The body’s internal organs would still be exposed charged polonium atoms to attach to microscopic
to radiation from radionuclides even if all the airborne dust particles that are typically less than 1
uranium mill tailings piles suddenly disappeared millionth of a meter across. When inhaled, these
because radon, radium, uranium, thorium, and other small particles have a good chance of sticking to the
radioactive elements occur naturally in air, rocks, moist epithelial lining of the bronchial tubes in the
and soils. A typical background concentration of lungs.
radium is 1 pCi of radium per gram of soil; outdoor Most of the inhaled particles are eventually
air contains a few tenths of a picocurie of radon per cleared from the bronchi by mucus but not quickly
liter. Normal eating and breathing introduces these enough to keep the bronchial epithelium from being
and other radioactive materials into the body, exposed to alpha radiation from polonium-214 and
increasing the potential for cancer and genetic polonium-218. This highly ionizing radiation passes
changes. Understanding the occurrence of natural through and delivers radiation doses to several types
radiation and the potential for everyday exposure of lung cells.
does not justify the risk of exposure to tailings but Since the 15th century, middle-aged miners who
does provide a realistic context for comparison. had worked underground in the European mining
Tailings also contain toxic elements that could district of Schneeberg, Germany, for at least 10 years
eventually be inhaled or ingested by man or animals often died from a pulmonary disease that the miners
or absorbed by plants. Often, hazardous elements called Bergkranheit or mountain disease. In 1879,
leach from the uncontrolled tailings piles and con- doctors diagnosed the disease as lung cancer. By the
taminate shallow groundwater. mid-1930s, industrial health experts understood that
radioactivity of the ore and the radon gas in the air
were the leading causes of lung cancer among the
2.1 Radon and Radon Progeny
European miners.
Because the milling and extraction processes re- During the boom years of underground uranium
moved most of the uranium from the ore, the mining, many miners were exposed to increased
remaining significant radioactive members of the levels of radon by the very nature of their work (Figs
uranium series (Table I) are determined by the 2 and 3). The ore zones were small and confined, and
presence of thorium-230 and its decay progeny. blasting in the stope (underground excavation
304 Uranium Mining: Environmental Impact

FIGURE 2 Burros pulled the ore carts in uranium mines on the


Colorado Plateau during the 1950s. At that time, knowledge was
limited about the dangers of radon in these mines. Photograph
courtesy of the U.S. Bureau of Land Management. FIGURE 3 A miner uses a jackhammer to drill a blast hole in a
uranium mine (United States). Miners often worked without safety
glasses and other personal protective equipment in the 1950s.
formed by the extraction of ore) created dusty Photograph courtesy of the U.S. Bureau of Land Management.
conditions and suspended radon daughters in the
confined air. The ionizing radon tended to attach to
tions, such as precipitation and evaporation. Chemi-
solid particles such as dust and cigarette smoke that
cal, physical, and biological processes in the subsoil
were inhaled by the miners. The miners and millers
remove a portion of some of the contaminants from
often worked in unprotected conditions because of
soil–water interactions. However, some contaminants
the desire to increase production. Radon exposure
are relatively nonreactive and move though the soil at
was not limited to the mines and mills. Often,
the velocity of water movement. For example,
unprotected workers carried radon home on their
common tailings contaminants such as nitrate,
clothes and ingested it as they drank and ate.
sulfate, and natural uranium are more nonreactive
than vanadium, selenium, and molybdenum.
The greatest hazard from uranium mill tailings
2.2 Exposure Pathways
that have been removed from waste piles and used in
Uncontrolled use of uranium mill tailings may lead to construction is their potential to increase levels of
radiation exposure in a number of ways (Fig. 4). radon decay products in buildings. The concentra-
Sandy tailings removed from piles and used for tion of radon decay products in a building depends
backfill and to improve drainage around foundations on the amount of radium in the tailings and the
or for other construction purposes pose the largest location of the tailings in, under, or adjacent to the
hazard by increasing indoor concentrations of radon structure.
decay products. Tailings at an uncontrolled millsite Many of the radioactive isotopes in tailings piles
emit radon gas into the atmosphere and are a source and abandoned mines emit gamma radiation. Unlike
of radioactive windblown particles and direct gam- alpha radiation, which must originate within the
ma radiation. body to become hazardous, gamma radiation can
Because of the chemicals used in uranium proces- travel farther and penetrate both air and tissue. Near
sing, the wet discarded tailings contain large volumes the edge of a pile, gamma radiation can be greater
of toxic chemicals that leach out of the unlined piles than the background level (unaffected) in unconta-
and into the underlying soils and groundwater. The minated areas. The gamma radiation from a pile,
contaminated groundwater becomes a contaminant however, decreases rapidly because of shielding. Data
pathway if humans and animals drink the water. In show that at an approximate distance of a few tenths
some cases, the contaminated groundwater discharges of a mile from a typical uncontrolled uranium ore
to streams and lakes and contaminates surface water. tailings pile, the gamma ray measurement cannot be
Movement of contaminants leaching out of differentiated from the normal background, which is
uncontrolled piles into underlying soils depends on 80–100 millirems (mrem) per year.
complex chemical and physical properties of the Levels of radiation from an uncontrolled uranium
subsurface environment and on local climatic condi- tailings pile depend on the amount of radium in the
Uranium Mining: Environmental Impact 305

Windblown Rain
dust
Radon and decay
products accumulated Radioactivity
in buildings absorbed
in vegetation

Run
off
Radioactive Water
materials
or wastes

Migration

Groundwater

FIGURE 4 Some of the pathways by which environmentally dispersed radionuclides and wastes from uranium mill tailings
can affect living organisms.

tailings. Field measurements of gamma radiation on produce an attractive orange color. Prior to World
top of tailings piles show levels up to 4000–8000 mrem War II, uranium production was not in high world
per year. demand because of limited commercial uses, and its
scarcity kept the price of the metal too high to
promote new industrial development.
3. HISTORICAL REVIEW OF Scientists’ investigations to unlock the secrets of
URANIUM ORE MINING uranium evolved over 100 years. Martin Heinrich
Klaproth isolated ‘‘a strange kind of half-metal’’ from
Mining of uranium-bearing ores began in 16th- its naturally occurring ore of pitchblende in 1789 in
century mining centers such as the Erzgbirge Germany and named it uranium after the planet
Mountains (Ore Mountains) of Saxony and nearby Uranus. However, the uranium metal was first
Bohemia in Germany. Georgius Agricola (1494– isolated in 1841 by Eugene-Melchoir Peligot, who
1555), credited as the father of modern geology, reduced the anhydrous chloride uranium chloride
artfully illustrated and scrupulously described ura- (UCl4) with potassium. The radioactive nature of
nium ore mining in ‘‘De Re Metallica.’’ During this uranium was not appreciated for another 55 years
period of mining for silver, copper, and other base when Henri Becquerel detected its radioactivity in
and precious metals, the uranium-bearing ores were 1896.
discarded as waste because they had no known Research by Ernest Rutherford led to publication
economic value. of a paper in 1904 about the nature of radioactivity
At the beginning of the 20th century, there were and the theory of radioactive decay. Physicists were
no large-scale commercial uses for uranium. Marie aware of the potential military uses of nuclear energy
Curie announced the discovery of the 88th element by the 1930s, and Otto Hahn and Lise Meitner of
radium at the turn of the century. It was known that Germany determined that uranium could release
radium was associated with uranium ore, and energy by nuclear fission in 1939. A chain reaction
European refiners needed radium for medical uses. occurs during the nuclear fission process, starting
Uranium ore was mined for radium, and the uranium with one nucleus that splits and releases neutrons
was considered a by-product for the most part. At that collide with other nuclei, causing those nuclei to
one time, it was thought that uranium was a viable split and release more neutrons, and the chain
alloy for hardening steel, but this industrial use never reaction continues.
materialized. In the 1920s and 1930s, uranium was Albert Einstein, a German-born scientist, sent a
used in some brands of pottery (Fiesta Ware) to letter to U.S. President Franklin Roosevelt in 1939
306 Uranium Mining: Environmental Impact

alerting him to the importance of the nuclear TABLE II


research being conducted in Germany. Soon after Uranium Production, 1946–1992
the United States entered World War II, the U.S.
government secretly established the Manhattan Country Uranium (tonnes)
Project to develop an atomic bomb. Uranium for
USA 339,290
this new weapon was acquired from the Belgian
Canada 257,692
Congo, Canada, and the Colorado Plateau in the
East Germany 217,791
United States. Deployment of two atomic bombs by
South Africa 143,302
the United States in 1945 ended World War II and
Czechoslovakia 102,245
heralded the arrival of the atomic age and the
Kazakhstan 72,000
beginning of the Cold War.
France 68,174
Namibia 56,682
Niger 54,143
4. THE COLD WAR ERA Australia 25,600
Zaire 25,600
Uranium ore mining increased dramatically follow-
Gabon 22,226
ing the end of World War II and during the Cold War
Bulgaria 21,000
era from 1946 to 1991. The Cold War was a result of
Rumania 16,850
growing tensions from the concluding resolutions of
Hungary 16,718
World War II. The Soviet Union and the United
India 5920
States were competing in an arms race to have the
Total 1,445,233
best, the largest, and the most nuclear weapons.
Large quantities of uranium were necessary to
produce those weapons.
Uranium was also needed to supply fuel for the accomplished with conventional mining methods,
nuclear reactors being constructed throughout the such as in open pits and underground excavations. In
world to produce electricity and to replace diesel- recent years, in situ mining methods with chemicals
powered units in submarines, aircraft carriers, and have been employed when the geologic conditions
other naval vessels. Medical uses of uranium are appropriate. This method has the potential to
products include X-rays, radiation therapies, and reduce costs but adds complexity to the environ-
radiation isotopes. mental consequences because of difficulties in con-
At the end of World War II, Germany was a trolling subsurface chemical excursions.
divided country. The Allies controlled West Germany The principal known deposits of uranium ores in
and the Soviet Union controlled East Germany. The the United States are located in three major districts:
Soviet Union knew of the large deposits of uranium the Wyoming Basins, the Colorado Plateau, and the
ore in Saxony and Thüringia in East Germany. Gulf Coast in Texas. The general area known as the
During the Cold War years, both East Germany and Colorado Plateau covers more than 100,000 square
West Germany embarked on ambitious government- miles in southeastern Utah, western Colorado, north-
sponsored programs to explore, mine, mill, and eastern Arizona, and northwestern New Mexico.
refine uranium ore. The uranium would fuel the Processing of tailings from dumps on the Color-
nuclear weapons programs. Most of the uranium ado Plateau supplemented production of uranium
fuel-cycle program was kept secret during the Cold from the Belgium Congo and Canada during the
War by both the Allies and the Soviet Union and its early 1940s to meet the military demand. Crude
associates. Exploration for uranium ore spread from ore milling processes used during this period on the
Eastern Europe and the United States to countries Colorado Plateau reflected little change from
throughout the world. Table II presents production methods used 40 years earlier: Uranium was re-
statistics for the top uranium producers during the covered in the milling process from leach solutions
1946–1992 period. based on several stages of selective precipita-
Unfortunately, there were no international stan- tion. Passage of the Atomic Energy Act of 1946
dards in the past, no best practices, and no encouraged prospecting and mining through various
environmental laws to protect workers, public forms of assistance. These incentives led directly
health, and the environment and to ensure worker to an increase in the known mineable uranium
safety. Most of the uranium ore mining was ore reserves in the western United States from
Uranium Mining: Environmental Impact 307

approximately 1 million tonnes in 1946 to 80 mil- TABLE III


lion tonnes in 1959. U.S. Uranium Production (Tonnes U in Concentrate)
During the peak production years from 1960 to
1962, the number of uranium ore mills in operation Conventional Unconventional
Years mining methods mining methods Total
in the United States varied from 24 to 26, with the
total annual production exceeding 13,000 tonnes of Pre-1983 281,000 10,000 291,800
uranium per year from the treatment of 7.25 million - 1983–1989 23,800 14,250 38,050
tonnes of ore per year. The number and production 1995–2001 Not available Not available 13,050
rates of the active uranium ore mills decreased from
1962 to 1976 with the cessation of government
procurement contracts (Table III).
In the past, the five countries that produced the TABLE IV
largest volumes of uranium had distinctively differ- Canadian Uranium Ore Reserves, Grades, and Production
ent mining profiles. The United States mined Capacity
relatively low-grade uranium ores (average 0.03%
uranium) by conventional underground methods, Proven Average ore Annual
reserves grade production
and the ore was transported to mills that were often Mine (tonnes U3O8) (% U3O8) (tonnes U3O8)
located near waterways. Canada was, and still is,
fortunate to possess the highest grade uranium ores Key Lake 450 0.41 353
in the world (Table IV). In fact, the unusually high Rabbit Lake 10,150 1.30 2070
grade of some Canadian ores requires special robotic Cluff Lake 4100 2.7 1519
procedures for extraction. Milling of this high-grade McClean Lake 19,500 2.40 2990
uranium ore produces less residual waste and, McArthur 161,300 21.00 7830
consequently, fewer adverse environmental impacts. River
East Germany mined large quantities of uranium
ore during the Cold War (Table II). Wismut, the
German Democratic Republic/Soviet Company that verted the mining operations to in situ leach
mined the ore, produced more than 217,000 tonnes methods. The in situ methods inflicted serious
of uranium ore between 1946 and 1990. During adverse effects to the environment, with challenging
peak times in following years, production exceeded problems to solve. In this case, the environmental
7000 tonnes per year with all uranium products effects involve large volumes of low pH-contami-
delivered to the Soviet Union. Initially, the uranium nated groundwater requiring active engineered hy-
was processed exclusively for nuclear weapons, but draulic controls to contain further migration of the
later it was also used for nuclear power plants. The contamination.
ore grades were low, even less than those of the Since the end of the Cold War, world uranium ore
sandstone deposits of western United States. Toward mining production has shifted (Table V). Now,
the end of the Wismut mining era, the ore grades Canada produces approximately one-third of the
averaged 0.07%. world’s uranium. Germany is no longer one of the
In South Africa, uranium ore is a secondary ore top 16 producing countries, and the United States
associated with gold mining. Large heaps of mill has fallen to eighth place. Today, most countries
tailings from processing ore to recover gold remain mining and milling uranium ore follow international
visible in the Transvaal, often near residential areas. standards and best practices as provided by the
Although the tailings are regulated as radioactive, the International Atomic Energy Agency (IAEA), and
mining and milling are primarily for other commod- many countries are actively engaged in the cleanup
ities and, therefore, the uranium is more a commod- and disposal of the residual wastes.
ity credit than a stand-alone extraction and
processing industry.
The Czech Republic (formerly Czechoslovakia) 5. ENVIRONMENTAL IMPACTS IN
has mined uranium ore for many years. Diamo, a THE UNITED STATES
government-owned company, produced uranium
primarily with in situ methods using acid. In the The early mills in the United States were built next to
early years, Diamo mined uranium ore using rivers within floodplains to harness the water for
conventional underground methods but later con- processing. Most of the tailings left the mill as a
308 Uranium Mining: Environmental Impact

TABLE V
Production from Mines (Tonnes of U3O8), 2002

Country Production

Canada 11,604
Australia 6888
Niger 3075
Russia (estimated) 2900
Kazakhstan 2800
Namibia 2333
Uzbekistan 1860
USA 919
South Africa 824
Ukraine (estimated) 800
China (estimated) 730
FIGURE 5 This mill, located near Grand Junction, Colorado,
Czech Republic 465
processed uranium ore from 1951 until 1970 (three tailings ponds
India (estimated) 230 are visible in the foreground). Remediation of the land and
Brazil 270 buildings began in 1989 and was completed in 1994. The Uranium
Romania 90 Mill Tailings Remedial Action Project removed contaminated
Spain 37 material, backfilled remediated areas with uncontaminated soil,
recontoured the land to promote surface drainage, and revegetated
France 20
the site.
Others 252
Total world production 36,097

semiliquid waste or slime (fine-grain sandlike materi-


al) generated during the milling process. A common
practice was to dispose of the radioactive liquid mill
effluent directly into the rivers after it had been
minimally diluted to reduce radiation and acidic or
basic strength. Some tailings were discharged directly
into river tributaries. More commonly, mills stored
the wet tailings behind massive earthen dikes in
structures called tailings ponds (Fig. 5). These con-
tainment structures were unlined, and most leaked
pore fluids into the shallow groundwater systems
beneath the ponds. As the moisture evaporated or FIGURE 6 A portion of the remediated site of the former mill
seeped out of the ponds, the ponds became generally near Grand Junction, Colorado, located adjacent to the Colorado
River, is now owned by the City of Grand Junction. Site
unstable piles of sand and slimes that were easily restoration focused on compatibility with long-term plans for
eroded by wind and rain. development of a riverfront park and trail system. Only one
As the price of uranium declined, many of the mills building (circle) remains on the site.
ceased operations. During the 1960s, going out of
business for a uranium mill generally meant abandon- the millsites for use as foundation material under
ment. No controls were in place at the abandoned buildings and as an additive in concrete. Radium,
mills to ensure that the tailings would not interact which decays to radon gas, and radon progeny
with the environment and would not be used for remained in the tailings. Risks to human health were
construction purposes. Environmental damage oc- identified by how the tailings were used in habitable
curred for many years until the Uranium Mill Tailings structures, such as in mortar. More than 5000 of these
Remedial Action Project, managed by the U.S. contaminated properties, called vicinity properties,
Department of Energy, began remedial action to were identified and remediated in the United States.
remove, stabilize, and control the contamination In some cases, the tailings were left in place and
(Fig. 6). In many cases, tailings had been taken from the condition for nonremoval of the contamination
Uranium Mining: Environmental Impact 309

was designated as supplemental standards. An East Germany, to launch Wismut, a state-run non-
example is tailings used as cover material around ferrous metal stock company based in Aue (a small
underground utilities or under public streets. The mining town in Saxony) in 1947. Managed by units of
U.S. Department of Energy and the state of Colorado the Soviet Union military, the company’s only aim was
cleaned up more than 4000 vicinity properties within the rapid exploitation of East German uranium
the city boundaries of Grand Junction. An ‘‘en- deposits for the Soviet Union’s nuclear program.
gineered hole’’ was left in the disposal cell con- To cover reparation claims of the war, Saxon
structed near Grand Junction for future tailings mining companies were transferred to Soviet Union
disposal because additional tailings will be uncov- ownership; land was seized arbitrarily and became a
ered in the community during the next 25 years, ‘‘no go’’ area. An enormous workforce (peak of
primarily around utility lines. 130,000 employees) was employed, and uranium
The problem of radiological pollution from former mining operations rapidly spread throughout the Ore
uranium ore mill operations was first identified in the Mountains and into eastern Thüringia. Poor working
surface waters of the Colorado River Basin. Radium conditions and complete disregard for the environ-
was the most hazardous of the elements in the tailings ment characterized mining of uranium ore in these
and was therefore of primary concern to public health densely populated areas.
officials. From a radiological standpoint, tailings The binational Soviet–German company Wismut,
were more dangerous than unprocessed uranium ore founded in 1954, continued uranium mining, with
because tailings particles are extremely small. Water the German Democratic Republic sharing equity
could more easily dissolve the radium component in capital. Intense exploration efforts increased Wis-
the tailings than the radium component in its natural mut’s reserves as new deposits were discovered.
state in uranium ore. Working conditions were gradually improved, and
During the 1950s, the U.S. Public Health Service environmental protection legislation introduced dur-
identified radium concentrations that were more ing the 1960s enhanced awareness of radiation
than 100 times the background level in samples protection requirements.
from rivers in which raffinate liquids had been Technology developments had an increasingly
discharged by the uranium ore-processing mills. positive influence on production processes, reducing
Aquatic insects collected during a 1955 survey the workforce to a permanent staff of approximately
revealed radium accumulation as high as 60 times 45,000 in later years. Market economy conditions
normal background levels; algae samples showed after German reunification put a sudden end to
radium concentrations as high as 100 times normal uranium mining on December 31, 1990. Soviet
levels. By the 1970s, all the mills in the United States Union personnel left the mines and mills, and
had stopped discharging raffinate liquids directly to Wismut and its environmental legacy became the
river courses. As an alternative, the mills adopted the sole possession of the Federal Republic of Germany.
standard practice of discharging the contaminated Following the restructuring of Wismut, the com-
liquids to unlined ponds. When contained in unlined pany was legally changed at the end of 1991 to a
ponds, contaminated liquid would partly seep into company of German corporate law under the provi-
the underlying shallow groundwater and partly sions of the Wismut Act. The corporate purpose of
evaporate. Of the 24 sites specified in the Uranium Wismut GmBH shifted from uranium production to
Mill Tailings Radiation Control Act, 23 had asso- decommissioning of the former mining holdings and
ciated contaminated groundwater. remediation of the land that had been adversely
affected by decades of unrestrained mining and milling
of uranium ores. This remediation project will cost 6.6
billon euros, to be provided by federal funding, and it
6. ENVIRONMENTAL IMPACTS will take 15 years to complete the large-scale
IN GERMANY environmental restoration requirements (Table VI).
Exposure levels were measured at all the Wismut
Disposal practices for wastes in other countries were sites and vicinity properties. A total of 11,885 ha,
similar to those in the United States. In Germany, including 8223 ha of vicinity properties associated
some of the most egregious environmental impacts with the nearby communities, has been investigated.
occurred in Saxony and Thüringia. Successful pro- Characterization data show that 85% of the radio-
specting for uranium in the immediate postwar period active dose rate representing all the Wismut GmBH
induced the Soviet Union, the occupying power in sites is less than 200 nanoseiverts per hour.
310 Uranium Mining: Environmental Impact

TABLE VI
Summary of Wismut Remedial Operation Units at Beginning of Remedial Action

Site Subsites Unit area (ha) Waste piles (ha) Tailings ponds (ha)

Aue Aue, Pohla 569.4 342.3 10.4


Koigsteinn Konigstein, Dresden-Gittersee 144.8 40.0 4.6
Ronneburg Ronneburg 1670.7 604.4 9.0
Seelingstadt Seelingstadt, Crossen 1314.8 533.1 76.7
Total 3699.7 1519.8 730.7

7. REMEDIATION IN THE assessed the hazards of uranium mill tailings and


UNITED STATES several federal agencies and states had acknowledged
a need for controls, a comprehensive program to
The demise of the United States uranium industry address the problem was not started until the late
began quietly in 1958, when the U.S. Atomic Energy 1970s.
Commission withdrew its offer to purchase uranium In 1974, the subcommittee on raw materials of the
from ore reserves developed thereafter. This action Joint Committee on Atomic Energy conducted a
led either to the shutdown of mills after expiration of hearing to discuss two congressional bills. These bills
contracts or to continued mill production through proposed that the U.S. Atomic Energy Commission
so-called stretch-out contracts that were extended (later designated the Energy Research and Develop-
through 1970. Stretch-out contracts reduced govern- ment Administration and now called the U.S.
ment purchases and served to ease the uranium ore Department of Energy) and the state of Utah jointly
mining and milling industry through the transition assess and act to limit public exposure to radiation
period when nuclear power growth had not pro- from a uranium mill tailings site located in South Salt
gressed sufficiently to create a significant commercial Lake City, UT.
demand. United States production totaled approxi- The U.S. Environmental Protection Agency en-
mately 17,000 tonnes of uranium oxide in 1980, but dorsed the objectives of the bill but, with the U.S.
less than 1000 tonnes of uranium was mined and Atomic Energy Commission, recommended instead
milled in 2002 (Table V). that the two agencies, in cooperation with the affected
When the industry realized that no more nuclear states, assemble comprehensive studies of all inactive
power plants were being constructed and that uranium mill tailings sites. The studies would be
demand for uranium was greatly reduced, mining divided into two phases. Phase I studies would esta-
and milling of uranium ore again drastically blish the condition of the sites, ownership, surround-
declined. By the end of 1984, only eight conventional ing areas, and the need, if any, for more detailed
mills were still operating. Many of the unconven- studies. Phase II studies would, as needed, evaluate the
tional uranium recovery plants were also inactive. hazards and analyze disposal alternatives and their
Today, only a few mines in the United States are costs. The U.S. Congress accepted this proposal. Phase
being worked, and these are mostly unconventional I studies began in 1974, followed by phase II studies in
operations that employ in situ leach methods. 1975. Both studies were completed by 1978.
Canada and Australia continue to produce more On the basis of these studies, the Congress enacted
than half of the world’s uranium (Table V). the Uranium Mill Tailings Radiation Control Act of
The United States was the first country to 1978 (Public Law 95-604, 42 United States Code
implement a program to assess the risks of uranium 7901). Congress found the following:
mill tailings and begin cleanup of the adverse effects
Uranium mill tailings located at active and inactive mill
to the environment caused by past uranium ore operations may pose a potential and significant radiation
milling practices. In the United States, the hazards health hazard to the public.
posed by mill tailings were not completely recognized
Every reasonable effort should be made to provide for the
in the early years of production by the uranium
stabilization, disposal, and control in a safe and envir-
industry. The Atomic Energy Act of 1954 instituted onmentally sound manner of such tailings in order to
licensing of mill operations, but the tailings remained prevent or minimize radon diffusion into the environment
free of controls. Although numerous studies had and to prevent or minimize other environmental hazards.
Uranium Mining: Environmental Impact 311

The act established a 7-year completion deadline located on the Navajo Indian Reservation, the
for the project and outlined the funding formula for contaminated groundwater occurs in a sole-source
the cleanup. Participating states were responsible for aquifer (the Navajo aquifer). This aquifer provides
10% of the cost of remedial action, and the federal drinking water and irrigation water for northeastern
government would pay the remaining 90%. For Arizona and is noted as a high-quality water
those sites on Native American lands, the federal resource. A pump-and-treat groundwater remedial
government was responsible for 100% of the cost. action was required at the Tuba City site to reduce
The Department of Energy would manage cleanup of the contaminant concentrations to acceptable levels.
the sites and the contaminated groundwater under Active engineered treatment of the contaminants in
the Uranium Mill Tailings Remedial Action Project. the groundwater is expected to take at least 20 years
The Uranium Mill Tailings Radiation Control Act employing extraction wells and an ion exchange
originally specified 24 former uranium ore processing system, coupled with a distillation unit and reinjec-
sites for cleanup, but one state (North Dakota) tion into the subsurface of the treated groundwater.
withdrew 2 sites. The act requires the Department of Contaminated groundwater sites near rivers are
Energy to keep community leaders informed of plans good candidates for natural flushing when modeling
and activities involved in the remedial actions. with computer software predicts that the contami-
Remedial actions at the sites designated in the act nants will decrease to acceptable levels through
began in the early 1980s (Figs. 5 and 6). By 1998, 22 natural attenuation processes and dilution within
disposal cells had been constructed for permanent 100 years. Institutional controls and verification
entombment of the wastes. Ten of the disposal cells monitoring will be required at these sites. Institu-
were constructed on former uranium processing sites, tional controls are ‘‘checks and balances’’ that
and 12 disposal cells were sited at locations that were effectively protect public health and the environment
more advantageous. Nearly all these former uranium by reducing exposure to or reducing health risks by
ore processing sites are located in the arid west. Two preventing inappropriate intrusion into contami-
commonalities associated with the arid west are low nated groundwater or by restricting access to or use
annual precipitation and vast open areas with few of contaminated groundwater for unacceptable
inhabitants. This scenario contrasts with that of the purposes (e.g., domestic household use). One form
German Wismut program because the mining and of an institution control is a deed restriction on the
processing sites are subjected to high annual volumes property.
of precipitation and few uninhabited areas are The global experience of using active engineered
available within the country. Therefore, relocation methods and technologies to reduce the contaminant
of tailings and other contaminated material has levels to premilling water quality demonstrates that it
limited potential. is extremely difficult, if not impossible, to achieve
Most older uranium ore processing sites have a complete restoration to pristine conditions. This fact
component of relic-contaminated groundwater re- is one more reason why today the emphasis is placed
lated to chemicals used in the recovery processes. The on prevention rather than intervention in protecting
contaminated groundwater is generally limited to the environment.
shallow unconfined aquifers. Contaminants of con-
cern are identified by potential risk based on
toxicities and pathways to receptors. Ammonia,
arsenic, cadmium, gross alpha, molybdenum, nitrate, 8. OTHER REMEDIATION
radium, selenium, sulfate, and uranium are the most PROGRAMS
common groundwater contaminants associated with
older uranium processing sites. Of these, nitrate, Wismut has become a global leader in uranium mill
sulfate, and uranium are the most mobile and tend to tailings cleanup, along with the United States,
move with the average velocity of groundwater. At Canada, and other countries (Fig. 7). In recent years,
many of the former processing sites, the groundwater Germany and the United States have emphasized
contaminant of most concern is not a radionuclide integrating technical and nontechnical factors into
but a stable inorganic, such as nitrate or sulfate. remediation decisions. One example of integration is
Contaminated groundwater is a concern at most tailings cover designs. Environmental remediation
sites, especially those sites in arid regions where factors for cover design extend beyond geotechnical
groundwater is a precious and valuable resource. At and erosion criteria and include considerations such
some sites, such as the Tuba City, Arizona, site as esthetics. Will the cover material blend into the
312 Uranium Mining: Environmental Impact

FIGURE 7 The worked-out open pit at the Ronneburg Wismut FIGURE 8 Former waste rock piles near Schlema, Germany,
uranium mine at ThZrgen, Germany, was backfilled with waste generated from processing of uranium ore were recontoured and
rock from mining operations. covered with uncontaminated soil.

surrounding environment? Will the cover be attrac- mined in Canada, but the volume of tailings is
tive to the public and nearby residents? expected to increase only marginally in the future
One of the Wismut remediation projects in because the current higher grade of uranium ore will
Schlema, Saxony, has been advertised as ‘‘toxic town generate lower volumes of mine and mill tailings.
to health spa.’’ Schelma is a small town southwest of The uranium mine and mill tailings in Canada
Chemnitz in Saxony, a region in eastern Germany are currently managed by a few large mining
that has a southerly border with the Czech Republic. companies, and the tailings are held in containment
In the 1920s, individuals afflicted with rheumatism areas close to the mine sites. Because of their
used a radioactive spring near the town. After World relatively large volumes, the tailings are generally
War II, the Soviet Union began mining uranium ore, disposed of where they are deposited during opera-
and the town and former spa were sacrificed as a tions, typically in tailings ponds or in mined-out pits.
mining production zone. The mines were closed in The final decommissioning of these tailings and the
1990, and more than 45,000 jobs were lost. associated costs are the responsibility of the uranium
The Wismut remediation program for Schelma mining companies and will be regulated in accor-
considered a number of options: seal off the town dance with Canadian Atomic Energy Control Board
and surrounding contaminated areas, continue oper- regulations.
ating the mine in a noncompetitive market, or
convert the town into a world-class health spa
featuring the radioactive springs. In 1992, Wismut
began to decommission the former mine workings 9. PROTECTING THE
and actively rehabilitate the land (Fig. 8). The ENVIRONMENT FOR THE
Schelma radon-containing springs and spa gardens LONG TERM
are an example of integrating the technical require-
ments with land use decisions and considering In the United States, tailings must have a disposal
esthetically pleasing factors. This approach to cover designed to control radiological hazards for a
environmental restoration is becoming the norm minimum of 200 years and for 1000 years to the
today rather than the exception. greatest extent reasonably achievable. Disposal
In Canada, uranium mine and mill tailings covers must also limit radon (radon-222) releases
constitute the largest inventory by volume of radio- to 20 pCi/m2/s averaged over the disposal area.
active waste. Uranium has been mined since the early Radon-release limitation requirements apply to any
1930s in Canada, and approximately 225 million portion of the tailings disposal site unless radium
tonnes of tailings has accumulated in Ontario concentrations do not exceed 5 pCi/g in the first
province, Saskatchewan province, and the North- 15 cm below the surface and 15 pCi/g in layers more
west Territories. This volume of tailings constitutes a than 15 cm below the surface.
small fraction of all nonuranium mine and mill No law exists in Germany specific to the manage-
tailings in Canada. Uranium ore is still actively ment of the uranium-mining legacy. The German
Uranium Mining: Environmental Impact 313

government favors the Canadian approach of site- tion of uranium. This production is accompanied by
specific decisions. The Wismut program rehabilitates approximately 1681 million tonnes of processing
the uranium tailings, heap piles, mines, and other residues, of which 780 million tonnes is related to
contaminated media based on site-specific risk-based processing plants that produced or still produce
analyses that demonstrate protection of human uranium as a by-product. The accumulated and
health and the environment. estimated costs for the decommissioning and rehabi-
litation of the uranium-producing facilities in this
study total approximately $3.7 billion (all costs are
based on 1993 U.S. dollars). The resulting specific
10. COMPARISON OF rehabilitation costs are $1.25 per pound of U3O8 and
DECOMMISSIONING AND $2.20 per tonne of tailings. Omitting plants that
CLEANUP COSTS produce or produced uranium as a by-product of
gold and copper production, the specific cost per
Wismut and other remediation programs investi- tonne of milling doubles to approximately $4.00.
gated remedial action costs associated with the These values, however, are only indicative because
cumulative uranium production of 14 major ura- the specific costs for different projects and countries
nium-producing countries through 1992 (Table VII). vary widely, ranging from a minimum of $0.12 per
Cumulative production resulted in approximately pound of U3O8 (Canada) and $0.12 per tonne of
1.14 million tonnes of uranium or nearly 3 billion tailings (South Africa) to a maximum of approxi-
pounds of uranium oxide (U3O8), corresponding to mately $40.00 per pound of U3O8 (Sweden) and
approximately 63% of the cumulative world produc- $68.00 per tonne of tailings (Uranium Mill Tailings

TABLE VII
Decommissioning and Cleanup Costs of Uranium-Producing Projects

Specific cost

Production (tonnes of Tailings Total cost (million U.S. $ per tonne U.S. $ per pound
Country U, including 1992) (million tonnes) U.S. $, 1993) of tailings of U3O8

Australia 54,225 98.7 85.10 0.60


Bulgaria 21,871 23.0 173.10 7.53 3.04
Canada 257,702 160.6 77.10 0.48 0.12
Czech Republic 101,901 48.8 433.33 8.88 1.64
France 70,038 31.4 128.45 4.09 0.71
Gabon 21,446 6.5 30.13 4.64 0.54
Germany 218,463 160.2 7893.9 49.50 13.90
Hungary 19,970 19.0 78.40 4.13 1.51
Namibia 53,074 350.0 53.20 0.15 0.39
Niger 56,845 17.2 79.87 4.64 0.54
South Africa 143,305 700.0 81.97 0.12 0.22
Spain 1145 1.2 14.82 12.35 4.98
Sweden 200 1.5 20.98 13.99 40.35
USA (total) 310,000 222.9 2428.96 10.90 3.01
Uranium Mill 56,000 31.3 2140.00 68.37 14.70
Trailings
Radiation
Control Act
(UMTRCA) Title
I sites (federal
government)
UMTRCA Title II 254,000 191.6 288.96 1.51 0.44
sites (private
industry)
314 Uranium Mining: Environmental Impact

Radiation Control Act Title I Program in the United involving industrial activities with naturally occur-
States). This large range substantiates that remedia- ring radioactive material, such as the mining and
tion costs depend on numerous factors, such as milling of naturally radioactive ores.
upfront environmental studies, types of contami- The IAEA stresses that all radiation sources,
nants, concentration levels of contaminants, on-site including radioactive waste, are potentially hazar-
or relocation disposal options, and required level of dous to health and, therefore, must be managed to
protection. protect human health and the environment. The
organization approaches the problem by acknowl-
edging that a relatively small fraction of radioactive
waste is routinely released into the environment in
11. MANAGING THE the form of discharges that need to be properly
LONG-TERM RISK controlled. Some amounts may remain in the
environment as radioactive residues, particularly
Consequences of uranium mining and milling will after the termination of past operations and the
remain for a long time. The half-lives of uranium, decommissioning of installations, and may require
radium, and thorium are long lived. Disposal restoration of the affected environments. The bulk of
considerations cover millenniums, but managing radioactive waste must be disposed of in repositories
uncertainty for millenniums becomes impossible to isolated from human and animal intrusions.
understand with precision and accuracy. Are today’s Technical meetings sponsored by the IAEA in
best management practices adequate environmental Vienna, Austria, and in countries with significant
protection for more than 1000 years or are some uranium ore mining and milling operations share
countries going overboard with conservatism? This member states’ experiences, lessons learned, and
question will take time to answer. Over time, technical information. Today’s challenges are final
verifying the performance of disposal cells, checking disposition of uranium wastes, risk reduction, long-
cultural and economic paradigms shifts, adjusting to term performance of disposal facilities, cost efficien-
climate change, and understanding how technologies cies, and archiving of records. The lessons learned
will change the paradigm of future generations are and the experiences gained during the past 25 years
factors that will form the scorecard on judging our of studying the effects of uranium mining and milling
decisions for addressing the uranium mining and operations and conducting remedial actions to
milling environmental legacy during the 1980s, remedy those effects can help prevent negative
1990s, and early 21st century. impacts in the future.
The IAEA, with more than 130 member states, is
an independent, intergovernmental science and
technology-based organization in the United Nations
family that serves as the global focal point for SEE ALSO THE
nuclear cooperation. One of the missions of the FOLLOWING ARTICLES
organization is to develop nuclear waste manage-
ment standards and, based on those standards, Nuclear Engineering  Nuclear Fission Reactors:
promote the achievement and maintenance of high Boiling Water and Pressurized Water Reactors 
levels of safety in applications of nuclear energy as Nuclear Power: Risk Analysis  Occupational Health
well as the protection of human health and the Risks in Nuclear Power  Radiation, Risks and
environment against ionizing radiation. Health Impacts of  Uranium and Thorium Resource
Within the IAEA, the Waste Technology Section is Assessment  Uranium Mining, Processing, and
responsible for fostering technology transfer, pro- Enrichment
moting information exchange and cooperative re-
search, and increasing the number of member states
to manage radioactive wastes from both the nuclear Further Reading
fuel cycle and nuclear applications. The agency Agricolo, G. (1950). ‘‘De Re Metallica’’ (H. C. Hoover and L. H.
routinely meets with member states for discussions Hoover, Trans.). Dover, New York.
concerning radioactive waste issues while emphasiz- De Voto, R. H. (1978). ‘‘Uranium Geology and Exploration.’’
Colorado School of Mines, Golden, CO.
ing that radioactive waste is an unavoidable remnant Federal Ministry of Economics and Technology (2000). ‘‘Wismut,
from the use of radioactive materials and nuclear an Ecological Challenge, New Horizons through Remediation.’’
technology. IAEA representatives review practices Druckhaus, Berlin.
Uranium Mining: Environmental Impact 315

Ford, Bacon and Davis Utah (1976–1978). Phase II Title I, Remedial Action Ground Water Project.’’ U.S. Department
Engineering assessment of inactive uranium mill tailings, 20 of Energy, Albuquerque Operations Office, Albuquerque,
contract reports for the U.S. Department of Energy. Ford, Bacon NM.
and Davis Utah, Salt Lake City, UT. U.S. Department of Energy (1997). ‘‘Linking Legacies, Connecting
International Atomic Energy Agency (2002). ‘‘Preliminary final the Cold War Nuclear Weapons Production Processes to Their
report on the Coordinated Research Project: The long-term Environmental Consequences.’’ U.S. Department of Energy,
stabilisation of uranium mill tailings.’’ International Atomic Washington, DC.
Energy Agency, Vienna, Austria. U.S. Department of Energy (1999). ‘‘Uranium Mill Tailings
Lavore, M. (1987). ‘‘Radon, the Invisible Threat.’’ Rodale, Remedial Action Surface Project 1979–1999, End-of-Project
Emmaus, PA. Report.’’ U.S. Department of Energy, Uranium Mill Tailings
Merritt, R. C. (1971). ‘‘The Extractive Metallurgy of Uranium.’’ Remedial Action Project, Albuquerque Operations Office,
Colorado School of Mines Research Institute, prepared under Albuquerque, NM.
contract with the U.S. Atomic Energy Commission, Golden, CO. U.S. Department of Energy (1999). ‘‘Uranium Mill Tailings
Mogren, E. W. (2002). ‘‘Warm Sands, Uranium Mill Tailings Policy Remedial Action Surface Project 1978–1998, Disposal Cell
in the Atomic West.’’ Univ. of New Mexico Press, Albuquerque, Design.’’ U.S. Department of Energy, Uranium Mill Tailings
NM. Remedial Action Project, Albuquerque Operations Office,
Murray, R. L. (1989). ‘‘Understanding Radioactive Waste.’’ 3rd Albuquerque, NM.
Ed. Battelle, Columbus, OH. U.S. Department of Health, Education, and Welfare (1966).
Organization for Economic Cooperation and Development and ‘‘Disposition and Control of Uranium Mill Tailings Piles in
International Atomic Energy Agency (1989). ‘‘Uranium re- the Colorado River Basin.’’ U.S. Department of Health,
sources, production, and demand.’’ A joint report by the Education, and Welfare, Washington, DC.
Organization for Economic Cooperation and Development and U.S. Environmental Protection Agency (1982). ‘‘Final Environ-
International Atomic Energy Agency, Paris. mental Impact Statement for Remedial Action Standards for
U.S. Department of Energy (1996). ‘‘Final Programmatic Environ- Inactive Uranium Processing Sites.’’ U.S. Environmental Protec-
mental Impact Statement for the Uranium Mill Tailings tion Agency, Washington, DC.
Uranium Mining, Processing,
and Enrichment
IAN HORE-LACY
World Nuclear Association
London, United Kingdom
Uranium Information Centre
Melbourne, Australia

other ores, such as the gold-bearing ores of South


1. Uranium Mining, Milling, and Processing Africa. In these cases, the concentration of uranium
2. Uranium Refining and Conversion may be as low as a tenth of those in orebodies mined
3. Uranium Enrichment primarily for their uranium content. Olympic Dam
quotes ore reserves down to 0.045% U.

Glossary
enrichment The physical process of increasing the propor- 1. URANIUM MINING, MILLING,
tion of U-235 to U-238.
isotope An atomic form of an element having a particular
AND PROCESSING
number of neutrons. Different isotopes of an element
have the same number of protons but different numbers 1.1 Overview
of neutrons and hence different atomic mass (e.g., U-235, Generally speaking, uranium mining is no different to
U-238).
other kinds of mining unless the ore is of a very high
mill Treatment plant producing concentrate from ore.
ore Rock containing economic concentrations of minerals.
grade. Where orebodies lie close to the surface, they
radon An inert but radioactive gas which is a decay are usually accessed by open cut mining, involving a
product of radium. large pit and the removal of much overburden as well
stope Cavity formed underground by drilling, blasting, as a lot of waste rock. Where orebodies are deeper,
and removing ore. underground mining is employed, involving construc-
tailings Crushed and ground rock from which economic tion of access tunnels and shafts but with less waste
minerals have been recovered. Uranium tailings are rock removed and less environmental impact. In
radioactive due to decay products that remain. either case, the grade is usually controlled by
measuring radioactivity as a surrogate for uranium
concentration. (The radiometric device detects asso-
There are many uranium mines operating around the ciated radioactive minerals, which are decay products
world, in some 20 countries, though almost three- of the uranium rather than the uranium itself.)
quarters of world production comes from just At Ranger in north Australia, Rossing in Namibia,
10 mines. Most of the uranium ore deposits at and most of Canada’s Northern Saskatchewan mines
present supporting these mines have average grades through to McClean Lake, the orebodies have been
in excess of 0.10% of uranium. In the first phase of accessed by open cut mining. Other mines such as
uranium mining to the 1960s, this would have been Olympic Dam in Australia, McArthur River, Rabbit
seen as a respectable grade, but today some Canadian Lake and Cigar Lake in Northern Saskatchewan, and
mines have huge amounts of ore up to 20% U Akouta in Niger are underground, up to 600 m deep.
average grade. Some uranium is also recovered as a At McClean Lake, mining will be completed under-
by-product with copper, as at Olympic Dam in ground. Table I lists the largest-producing uranium
Australia, or as by-product from the treatment of mines in the West.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 317
318 Uranium Mining, Processing, and Enrichment

TABLE I
The Largest-Producing Western World Uranium Mines in 2001

Mine Country Main owner Type Production (tU) Percentage of world

McArthur R. Canada Cameco Underground 6937 19.4


Olympic Dam Australia WMC By-product/underground 3693 10.3
Ranger Australia ERA (Rio Tinto 68%) Open pit 3564 10.0
McClean L. Canada Cogema Open pit 2512 7.0
Rossing Namibia Rio Tinto (69%) Open pit 2239 6.3
Akouta Niger Cogema/Onarem Underground 2027 5.7
Rabbit Lake Canada Cameco Underground 1755 4.3
Cluff Lake Canada Cogema Open pit/underground 1306 3.6
Arlit Niger Cogema/Onarem Open pit 1069 3.0
AngloGold South Africa Anglo American By-product/underground 840 2.9
Top 10 total 25,942 72.5

Some orebodies lie in groundwater in porous addition, loads of mined material are often scanned
material and may be accessed simply by oxygenating radiometrically to ascertain average ore grade, and
that groundwater and pumping it out—this is in situ trucks are then directed to stockpiles, primary
leach (ISL) mining. ISL mining means that removal crusher, or waste dump accordingly.
of the uranium minerals is accomplished without any At Canada’s McClean Lake mine, waste is
major ground disturbance. Weakly acidified or alka- material with less than 0.025% U or less than
line groundwater with a lot of oxygen injected into it 0.085% U if it has high acid-generating potential and
is circulated through an enclosed underground requires special disposal. Anything over 0.085% U is
aquifer, which holds the uranium ore in loose sands. unequivocally ore, but is stockpiled according to
The leaching solution with dissolved uranium is then grade so that mill feed may be varied according to
pumped to the surface treatment plant. market conditions.
Over half of the world’s uranium now comes from With underground mining, the objective is to
underground mines, about 30% from open cut mines move as little waste rock as possible in sinking shafts
and 16% from ISL. Conventional mines have a mill or declines and digging tunnels (drives and adits)
where the ore is crushed, ground, and then leached accessing the orebody as fully as possible. Mining the
with sulfuric acid to dissolve the uranium oxides. actual orebody is then generally more selective.
Most of the ore, however, remains undissolved in the Various mining techniques are employed, but open
leaching process, and these solids or tailings are then stoping is common. This involves carefully drilling
separated from the uranium-rich solution, usually by and then blasting a large mass of rock so that the
allowing them to settle out. At the mill of a con- broken material can be removed. When the void is
ventional mine, or the treatment plant of an ISL empty, it is usually filled from above with waste rock
operation, the uranium is then separated by ion and coarse tailings material, with some cement and
exchange before being dried and packed. flyash binder, to maintain structural support and
enable extraction of adjacent ore.
At Olympic Dam, mining is by longhole open
1.2 Hard Rock Mining
stoping, back-filled after ore extraction. This means
With open cut mining, the overburden needs to be that a block of ore is drilled from below and above,
removed to expose the orebody, the part of the rock then blasted so that up to 80,000 tonnes is broken at
that contains economic concentrations of the miner- once. Each stope will yield up to 500,000 tonnes.
als being sought. This, and subsequent mining, is Ore is extracted from drawpoints at the bottom of
undertaken by drilling and blasting, followed by the stope and taken to the underground primary
removal of the broken rock. At open cut uranium crusher. Crushed ore is hoisted to the surface in skips.
mines, the drill cuttings from mine development may At McArthur River in Canada, the orebody is so
be tested radiometrically so that ore and waste high-grade (up to 20% U) that remote methods need
(below ore-grade material) are blasted separately. In to be employed for mining it because the minerals
Uranium Mining, Processing, and Enrichment 319

associated with the uranium are also so concentrated on an experimental basis in Wyoming during the
that they emit high levels of gamma radiation. It is also early 1960s. The first commercial mine began
about 600 m deep and in wet, porous rock, so control operating in 1974. About a dozen projects are
of water under high pressure is another problem. licensed to operate in the United States (in Wyoming,
Manned operations are confined to the barren rock Nebraska, and Texas), and most of the operating
surrounding the orebody, and water is controlled by mines were less than 10 years old in the early 21st
freezing all around the orebody with some grouting. century. Most are small, but they supply some 85%
The orebody is than accessed remotely by raise boring, of the U.S. uranium production. About 16% of
using a 3-m diameter reaming head. Remotely world uranium production is by ISL (including all
operated front-end loaders remove the ore cuttings Kazakhstan and Uzbekistan output).
that fall from this. Each load is radiometrically ISL can also be applied to other minerals such as
scanned, and waste rock or low-grade mineralized copper and gold. Uranium deposits suitable for ISL
material is hoisted to the surface for disposal. While occur in permeable sand or sandstones, confined
this whole exercise is high cost per tonne of ore above and below by impermeable strata and below
removed, the ore is of such a grade that relatively little the water table. They may either be flat, or roll
is involved, about 120 tonnes per day. front—in cross section, C-shaped deposits within a
The low volume also means that the ore cuttings permeable sedimentary layer. Such deposits were
are fed straight to an underground grinding circuit, formed by the lateral movement of groundwater
and the ground slurry is then pumped to the surface. bearing oxidized uranium minerals through the
It is then loaded into special transportation tanks and aquifer, with precipitation of the minerals occurring
road-hauled 80 km to the mill for further treatment. when the oxygen content decreased, along extensive
Meanwhile, the void from the raise boring is filled oxidation-reduction interfaces. The uranium miner-
with concrete to provide ground support for sub- als are usually uraninite (oxide) or coffinite (silicate)
sequent raise boring operations. coatings on individual sand grains. The ISL process
At the Cigar Lake underground mine in Canada, essentially reverses this ore genesis in a much shorter
poor ground conditions mean that water jet boring time frame. There are two operating regimes for ISL,
will be employed instead of raise boring, with ground determined by the geology and groundwater. If there
freezing. Below ore-grade material with significant is significant calcium in the orebody (as limestone or
mineralization from open cut mines has in the past gypsum), alkaline (carbonate) leaching must be used.
been heaped up on an impervious pad and leached Otherwise, acid (sulfate) leaching is generally better.
with sulfuric acid. This heap leaching produces Techniques for ISL have evolved to the point
pregnant liquor, which is fed to the mill for uranium where it is a controllable, safe, and environmentally
extraction. However, the process can give rise to benign method of mining, which can operate under
significant problems of rehabilitation, so it is appar- strict environmental controls and which often has
ently no longer used. At Australia’s Nabarlek mine in cost advantages. The mine consists of well fields,
the 1980s, about 50% of the uranium recovery was which are progressively established over the orebody
achieved from 150,000 tonnes of heap leach material. as uranium is depleted from sections of the orebody
after leaching. Well-field design is on a grid with
alternating extraction and injection wells, each of
1.3 In Situ Leach (ISL) Mining
identical design and typical of normal water bores.
In situ leaching (ISL), also known as solution mining, The spacing between injection wells is about 30 m
involves leaving the ore where it is in the ground and with each pattern of four having a central extraction
using liquids that are pumped through it to recover well with a submersible electric pump. A series of
the minerals out of the ore by leaching. Consequently monitor wells are situated around each mineralized
there is little surface disturbance and no tailings or zone to detect any movement of mining fluids outside
waste rock generated. However, the orebody needs to the mining area. The wells are cased to ensure that
be permeable to the liquids used and located so that liquors only flow to and from the ore zone and do
they do not contaminate groundwater away from the not affect any overlying aquifers. They are pressure-
orebody. tested before use.
Some ISL mining in the past, notably in the The submersible pumps initially extract native
eastern bloc, has occurred in broken rock with groundwater from the host aquifer prior to the
insecure containment of fluids, and this has resulted addition of uranium complexing reagents (acid or
in considerable pollution. ISL mining was first tried alkaline) and an oxidant (hydrogen peroxide or
320 Uranium Mining, Processing, and Enrichment

oxygen) before injection into the well field. The leach oxygen input and leaching are discontinued, the
liquors pass through the ore to oxidize and dissolve water quality soon reverts to its original condition.
the uranium minerals in situ. With ISL, no tailings are involved and very little
While uranium production in Australia uses acid waste is generated. ISL thus has clear environmental
leaching of the crushed ore, ISL elsewhere normally advantages in the places it can be applied.
uses alkaline leaching agents such as a combination
of sodium bicarbonate and carbon dioxide. At
Beverley and Honeymoon in South Australia the 1.4 Milling and Extraction Process
process is acid leaching, with weak sulfuric acid plus
oxygen. The leach solution is at a pH of 2.0 to 3.0, Milling refers to the extraction of uranium product
about the same as vinegar. from the mined ore. The following is a simplified
The pregnant solution from the production wells account. At conventional hard rock mines, the ore
is pumped to the treatment plant where the uranium must first be crushed. At Olympic Dam and some
is recovered (see Section 1.4). Before the process other underground mines, the first stage is done
solution depleted of uranium (i.e., barren liquor) is underground. Primary crushing breaks up the largest
reinjected, it is oxygenated and if necessary re- pieces followed by secondary crushing to reduce the
charged with sulfuric acid, or with sodium bicarbo- material to small pieces of about 20 mm and less.
nate or carbon dioxide, to maintain its pH. At some mines, after primary crushing the broken
Most of the solution is returned to the injection ore is fed through a radiometric ore sorter so that
wells, but a very small flow (about 0.5%) is bled off individual pieces of low-grade material are rejected.
to maintain a pressure gradient in the well field and The broken ore is then ground in water to produce a
this, with some solutions from surface processing, is slurry of fine ore particles suspended in the water. At
treated as waste. It contains various dissolved McArthur River, the grinding is done underground.
minerals such as radium, arsenic, and iron from the Because that is such a high-grade ore, it has to be
orebody and is reinjected into approved disposal diluted down to 4% U3O8 at the mill before being
wells in a depleted portion of the orebody. This bleed treated in order to limit radiation doses to staff at
of process solution ensures that there is a steady flow the mill.
into the well field from the surrounding aquifer and The U3O8 slurry, effectively a mixture of UO3 and
serves to restrict the flow of mining solutions away UO2, is leached with sulfuric acid to dissolve the
from the mining area. uranium oxides, this being the same process as in
In the United States, the production life of an acid ISL:
individual ISL well pattern is usually less than 3 years,
UO3 þ 2 Hþ ¼¼4UOþþ
2 þ H2 O
typically 6 to 10 months. Most of the uranium is
4
recovered during the first 6 months of the operation UOþþ 
2 þ 3 SO4 ¼¼4UO2 ðSO4 Þ3 :
of those wells. The most successful operations have
achieved a total overall recovery of about 80% of the With an oxidant such as hydrogen peroxide or ferric
uranium from the ore. Over time, production flows iron present, the UO2 is oxidized to UO2þ þ .
decrease as clay and silt become trapped in the With some ores, and notably with ISL in the
permeable sediments. These can be dislodged to some United States, carbonate leaching is used to form a
extent by using higher pressure injection or by soluble uranyl tricarbonate ion: UO2(CO3)4- 3 . This
reversing the flow between injection and production can then be precipitated with an alkali (e.g., as
wells. At established operations in the United States, sodium or magnesium diuranate). Alkaline leaching
after ISL mining is completed, the quality of the or treatment of ores is not undertaken in Australia or
remaining groundwater must be restored to a baseline Canada.
standard determined before the start of the operation The liquid containing the uranium is filtered and
so that any prior uses may be resumed. the uranium then separated by an ion exchange
In contrast to the main U.S. operations, the water process. Two methods are used for concentration and
quality at the Australian sites is very low to start purification of uranium: solid ion exchange (IX) with
with, and it is quite unusable. At Beverley the resin and liquid ion exchange, better known as
groundwater in the orebody is fairly saline and solvent extraction (SX). Early operations in Australia
orders of magnitude too high in radionuclides for used ammonium type resins in polystyrene beads for
any permitted use. At Honeymoon, the water is even ion exchange, but solvent extraction with amines in
more saline and high in sulfates and radium. When kerosene is now predominant.
Uranium Mining, Processing, and Enrichment 321

With pregnant solution from the ISL production With IX, such as at Beverley, uranium is stripped
wells, the choice is largely determined by the salinity from the ion exchange resin and precipitated
of the groundwater. SX is better with high salinity, as chemically, usually with hydrogen peroxide. The
at Honeymoon (17,000 to 20,000 ppm dissolved uranium slurry is dewatered and dried to give
solids), while IX is most effective below 3000 ppm hydrated uranium peroxide (UO4.2H2O) product.
chloride, as presently at Beverley. With alkaline Either product is then packed into 200-liter steel
leaching, IX is effective to about 3000 ppm dissolved drums, which are sealed for shipment. The U3O8 is
solids, but there are no commercially available resins only mildly radioactive and requires no special
that work at high chloride levels. packaging on that account.
In solvent extraction, tertiary amines (‘‘R’’ is an
alkyl [hydrocarbon] grouping, with single covalent
1.5 Wastes from Mining and Milling
bond) are used in a kerosene diluent, and the phases
move countercurrently: In most respects, conventional mining of uranium is
the same as mining any other metalliferous ore, and
2R3 N þ H2 SO4 ¼¼¼¼¼4ðR3 NHÞ2 SO4
well-established environmental constraints apply to
2ðR3 NHÞ2 SO4 þ UO2 ðSO4 Þ4
3 ¼¼¼¼¼4 avoid any offsite pollution. From open cut mining,
ðR3 NHÞ4 UO2 ðSO4 Þ3 þ 2SO2 there are substantial volumes of barren rock and
4 :
overburden waste. These are placed near the pit and
In the mill at Olympic Dam (which is primarily a either used in rehabilitation or shaped and revege-
copper mine; uranium is the major by-product), the tated where they are. At Ranger mine, the develop-
ore is ground and treated in a copper sulphide ment of the first orebody involved a waste to ore
flotation plant. About 80% of the uranium minerals ratio of 2.2:1. However, uranium minerals are
remain in the tailings from the flotation cells, from always associated with more radioactive elements
which they are recovered by acid leaching. The such as radium and radon in the ore. Therefore,
copper concentrate is also processed through an acid although uranium itself is not very radioactive, the
leach to recover the other 20% of the uranium. The ore that is mined, especially if it is high-grade, is
pregnant liquor is then separated from the barren handled with some care for occupational health and
tailings, and in the solvent extraction plant the safety reasons.
uranium is removed using kerosene with an amine. Mining methods, tailings and run-off manage-
The loaded solvents may then be treated to remove ment, and land rehabilitation are subject to govern-
impurities. First, cations are removed at pH 1.5 using ment regulation and inspection. Mining operations
sulfuric acid, then anions are dealt with using are undertaken under relevant national health and
injected gaseous ammonia. radiation protection codes of practice. These set
The solvents are then stripped in a countercurrent strict health standards for exposure to gamma
process using ammonium sulfate solution: radiation and radon gas. Standards apply to both
workers and members of the public.
ðR3 NHÞ4 UO2 ðSO4 Þ3 þ 2ðNH4 Þ2 SO4
¼¼¼¼44R3 N þ ðNH4 Þ4 UO2 ðSO4 Þ3 þ 2H2 SO4 : 1.5.1 Tailings and Radon
Yellow ammonium diuranate is then precipitated Solid waste products from the milling operation are
from the loaded strip solution by adding gaseous tailings. They constitute most of the original ore and
ammonia to raise the pH and neutralize the solution they contain most of the radioactivity in it. In
(though in earlier operations caustic soda and particular, they contain all the radium present in the
magnesia were used). original ore. At an underground mine, they may be
first cycloned to separate the coarse fraction, which is
2NH3 þ 2UO2 ðSO4 Þ4
3 used for underground fill. The balance is pumped as
¼¼¼4ðNH4 Þ2 U2 O7 þ 4SO2 a slurry to a tailings dam, which may be a worked-
4 :
out pit as at Ranger and McClean Lake.
The diuranate is then dewatered in a thickener and When radium undergoes natural radioactive
then by filter or centrifuge before being roasted in a decay, one of the products is radon gas. Because
furnace to produce a uranium oxide concentrate, radon and its decay products (daughters) are radio-
about 99% U3O8, which is the form in which active and because the tailings are now on the
uranium is marketed and exported. This is some- surface, measures are taken to minimize the emission
times known as yellowcake, though it is khaki. of radon gas. During the operational life of a mine,
322 Uranium Mining, Processing, and Enrichment

the material in the tailings dam is usually covered by are retained in secure storage. During the operational
water to reduce surface radioactivity and radon phase, such water may be used to cover the tailings
emission (though with lower-grade ores neither pose while they are accumulating.
a hazard at these levels). With in situ leach (ISL) operations, the orebody
On completion of the mining operation, it is stays in the ground and uranium is recovered by
normal for the tailings dam to be covered with some circulating oxygenated and acidified groundwater
2 m of clay and topsoil to reduce radiation levels to through it, using injection and recovery wells. The
near those normally experienced in the region of the saline quality of this groundwater in Australian ISL
orebody, and for a vegetation cover to be established. mines makes it far from potable in the first place, and
At Ranger and Jabiluka in North Australia, tailings after the uranium is recovered, oxygen input and
will be returned underground, as was done at the circulation are discontinued, leaving the groundwater
now-rehabilitated Nabarlek mine. In Canada, ore much as it was. The main environmental considera-
treatment is often remote from the mine that the new tion with ISL is avoiding pollution of any groundwater
ore comes from, and tailings are emplaced in mined away from the orebody and leaving the immediate
out pits wherever possible and engineered dams groundwater no less useful than it was initially.
otherwise.
The radon gas emanates from the rock and tailings 1.5.3 Rehabilitation
as the radium or thorium decays. It then decays itself At the conclusion of mining, tailings are covered
to (solid) radon daughters, which are significantly permanently with enough clay and soil to reduce
alpha radioactive. About 95% of the radioactivity in both gamma radiation levels and radon emanation
the ore is from the U-238 decay series, totaling about rates to levels near those naturally occurring in the
450 kBq/kg in ore with 0.3% U308 (e.g., from region, and enough rock to resist erosion. A vege-
Ranger). The U-238 series has 14 radioactive iso- tation cover is then established.
topes in secular equilibrium, thus each represents Mary Kathleen in Queensland was the site of
about 32 kBq/kg (irrespective of the mass propor- Australia’s first major rehabilitation project of a
tion). When the ore is processed, the U-238 and the uranium mine. It involved the plant site, a 28-hectare
very much smaller masses of U-234 and U-235 are tailings dam, and a 60-ha evaporation pond area. All
removed. The balance becomes tailings and at this this has now returned to being a cattle station, with
point has about 85% of its original intrinsic radio- unrestricted access. The rehabilitation project was
activity. However, with the removal of most U-238, completed at the end of 1985 at a cost of some $19
the following two short-lived decay products (Th- million and won an award for engineering excellence.
234 and Pa-234) soon disappear, leaving the tailings The Nabarlek uranium mine in the Northern
with a little over 70% of the radioactivity of the Territory, c 270 km east of Darwin, was the first of
original ore after several months. The controlling the new generation of uranium mines to commence
long lived isotope then becomes Th-230, which operations and the first to be rehabilitated. Environ-
decays with a half life of 77,000 years to radium- mental protection was stressed at Nabarlek since
226 followed by radon-222. Radon occurs in most before mining commenced, and everything pro-
rocks, and traces of it are in the air we all breathe. ceeded with eventual rehabilitation very much in
However, at high concentrations it is a health hazard. mind. During the life of the mine, the company
worked together with government agencies, the
1.5.2 Water Northern Land Council (NLC), and Aboriginal
Run-off from the mine stockpiles and waste liquors landowners to ensure a high standard of environ-
from the milling operation are collected in secure mental management, culminating in its decommis-
retention ponds for isolation and recovery of any sioning and successful rehabilitation.
heavy metals or other contaminants. The liquid Apart from groundwater considerations, rehabili-
portion is disposed of either by natural evaporation tation of ISL mines is straightforward, making this a
or recirculation to the milling operation. Most technique with remarkably low environmental im-
Australian mines adopt a zero-discharge policy for pact. Upon decommissioning, wells are sealed or
any pollutants. capped, process facilities removed, any evaporation
Process water discharged from the mill contains pond revegetated, and the land can readily be
traces of radium and some other metals that would returned to its previous uses. Experience at many
be undesirable in biological systems downstream. mine sites is networked throughout the industry and
This water is evaporated and the contained metals available to present and future operators.
Uranium Mining, Processing, and Enrichment 323

1.6 Health of Workers *


Efficient dust control, because the dust may
contain radioactive constituents and emit radon
In Australia, all uranium mining and milling opera-
gas
tions are undertaken under the Code of Practice on *
Limiting the radiation exposure of workers in
Radiation Protection in the Mining and Milling of
mine, mill, and tailings areas so that it is as low as
Radioactive Ores. This was drawn up by the
possible and in any event does not exceed the
Commonwealth in line with recommendations of
allowable dose limits set by the authorities; in
the International Commission on Radiological Pro- Canada this means that mining in very high-grade
tection (ICRP), but it is administered by state health
ore is undertaken solely by remote control
and mines departments. This Health Code, which
techniques and by fully containing the high-grade
was updated in 1995 and again in 2002–2003 (as
ore where practicable
part of a combined Health-Waste Code), sets strict *
The use of radiation detection equipment in all
health standards for radiation and radon gas ex-
mines and plants
posure for both workers and members of the public. *
Imposition of strict personal hygiene standards for
In Canada, the Canadian Nuclear Safety Commis-
workers handling uranium oxide concentrate
sion is responsible for regulating uranium mining as
well as other aspects of the nuclear fuel cycle. In At any mine, designated employees (those likely to
Saskatchewan, provincial regulations also apply be exposed to radiation or radioactive materials) are
concurrently and set strict health standards for both monitored for alpha radiation contamination and
miners and local people. Similar standards are set in personal dosimeters are worn to measure exposure to
other countries. gamma radiation. Routine monitoring of air, dust,
While uranium itself is only slightly radioactive, and surface contamination is undertaken. Canadian
radon, a radioactive inert gas, is released to the mine and mill facilities are designed to handle safely
atmosphere in very small quantities when the ore is ore grades of up to 26% U.
mined and crushed. Radon is one of the decay If uranium oxide is ingested, it has a chemical
products of uranium and radium, and occurs naturally toxicity similar to that of lead oxide. Similar hygiene
in most rocks—minute traces of it are present in the precautions to those in a lead smelter are therefore
air which we all breathe. taken when handling it in the drying and packing
Australian uranium mines have mostly been open areas of the mill. The usual radiation safeguards are
cut and therefore naturally well ventilated. The applied at an ISL mining operation, despite the fact
Olympic Dam and Canadian underground mines that most of the orebody’s radioactivity remains well
are ventilated with powerful fans. Radon levels are underground and there is hence minimal increase in
kept at a low and certainly safe level in uranium radon release and no ore dust.
mines. (Radon in non-uranium mines also may need
control by ventilation.)
Gamma radiation may also be a hazard to those 2. URANIUM REFINING
working close to high-grade ores. It comes princi-
AND CONVERSION
pally from radium in the ore, so exposure to this is
regulated as required. In particular, dust is sup-
Most nuclear reactors require uranium to be
pressed, since this represents the main potential
enriched from its natural isotopic composition of
exposure to alpha radiation as well as a gamma
0.7% U-235 (most of the rest being U-238) to 3.5 to
radiation hazard.
4% U-235. The uranium therefore needs to be in a
At the concentrations associated with uranium
gaseous form, and the most convenient way of
(and some mineral sands) mining, radon is a
achieving this is to convert the uranium oxides to
potential health hazard, as is dust. Precautions taken
uranium hexafluoride, commonly referred to as hex.
during the mining and milling of uranium ores to
Conversion plants are operating commercially in
protect the health of the workers include the
United States, Canada, France, the United Kingdom,
following:
and Russia (see Table II).
Uranium leaves the mine as the concentrate of a
*
Good forced ventilation systems in underground stable oxide known as U3O8 or as a peroxide. It still
mines to ensure that exposure to radon gas and its contains some impurities, and prior to enrichment it
radioactive daughter products is as low as possible has to be further refined before being converted to
and does not exceed established safety levels uranium hexafluoride (UF6). The uranium oxide
324 Uranium Mining, Processing, and Enrichment

TABLE II management of a conversion plant requires no special


World Uranium Conversion Capacity in 2001 arrangements beyond those for any chemical proces-
sing plant involving fluorine chemicals.
Tonnes U/yr

Canada 10,950
France 14,000 3. URANIUM ENRICHMENT
UK 7200
USA 12,700 3.1 General
Russia 18,700
Uranium found in nature consists largely of two
Source. OECD NEA (2002). Nuclear energy data. Nuclear isotopes, U-235 and U-238. The production of
Engineering International (2002). ‘‘World Nuclear Handbook.’’ energy in nuclear reactors is from the fission or
splitting of the U-235 atoms, a process that releases
energy in the form of heat. U-235 is the main fissile
concentrate received by the refinery is dissolved in isotope of uranium.
nitric acid. The resulting solution of uranyl nitrate Natural uranium contains 0.7% of the U-235
UO2(NO3)2.6H2O is fed into a countercurrent isotope. The remaining 99.3% is mostly the U-238
solvent extraction process, using tributyl phosphate isotope, which does not contribute directly to the
dissolved in kerosene or dodecane. The uranium is fission process (though it does so indirectly by the
collected by the organic extractant, from which it formation of fissile isotopes of plutonium).
can be washed out by dilute nitric acid solution and Uranium-235 and U-238 are chemically identical
then concentrated by evaporation. The solution is but differ in their physical properties, particularly
then calcined (heated strongly) in a fluidized bed their mass. The nucleus of the U-235 atom contains
reactor to produce UO3. 92 protons and 143 neutrons, giving an atomic mass
The purified uranium oxide UO3 is then reduced of 235 units. The U-238 nucleus also has 92 protons
in a kiln by hydrogen to UO2: but has 146 neutrons, three more than U-235, and
UO3 þ H2 ¼¼¼4UO2 þ H2 O therefore has a mass of 238 units. The difference in
mass between U-235 and U-238 allows the isotopes
DH ¼  109 kJ=mole:
to be separated and makes it possible to increase or
This reduced oxide is then reacted in another kiln enrich the percentage of U-235. All enrichment
with gaseous hydrogen fluoride (HF) to form processes, directly or indirectly, make use of this
uranium tetrafluoride (UF4), though in some places small mass difference.
this is made with aqueous HF by a wet process: Some reactors—for example, the Canadian-de-
UO2 þ 4HF ¼¼¼4UF4 þ 2H2 O signed Candu and the British Magnox reactors—use
natural uranium as their fuel. Most present day
DH ¼  176 kJ=mole: reactors (Light Water Reactors or LWRs) use
The tetrafluoride is then fed into a fluidized bed enriched uranium, where the proportion of the U-
reactor with gaseous fluorine to produce uranium 235 isotope has been increased from 0.7% to about 3
hexafluoride, UF6. Hexafluoride (‘‘hex’’) is con- or up to 4%. (For comparison, uranium used for
densed and stored: nuclear weapons would have to be enriched in plants
specially designed to produce at least 90% U-235.)
UF4 þ F2 ¼¼¼4UF6 :
A number of enrichment processes have been
Removal of impurities takes place at several of these demonstrated in the laboratory and some on a larger
steps. scale, but only two, the gaseous diffusion process and
The UF6, particularly if moist, is highly corrosive. the centrifuge process, are operating on a commercial
When warm it is a gas, suitable for use in the scale. In both of these, UF6 gas is used as the feed
enrichment process. At lower temperature and under material. Molecules of UF6 with U-235 atoms are
moderate pressure, the UF6 may be liquefied and the about 1% lighter than the rest, and this difference in
liquid run into specially designed steel shipping mass is the basis of both processes. Large commercial
cylinders, which are thick walled and weigh up to enrichment plants are in operation in the United
15 tonnes when full. As it cools, the liquid UF6 within States, the United Kingdom, France, Germany, the
the cylinder becomes a white crystalline solid and is Netherlands, and Russia, with smaller plants else-
shipped in this form. The siting and environmental where (see Table III).
Uranium Mining, Processing, and Enrichment 325

TABLE III 3.2 Early Processes


World Uranium Enrichment Capacity in 2001
The electromagnetic isotope separation (EMIS)
 1000 kg process was developed in the early 1940s in the
Method SWU/year Manhattan Project to make the highly enriched
uranium used in the Hiroshima bomb, but was
France Diffusion 10,800 abandoned soon afterward. However, it reappeared
Germany, Netherlands, Centrifuge 5250 as the main thrust of Iraq’s clandestine uranium
United Kingdom
enrichment program for weapons discovered in
Japan Centrifuge 1050
1992. EMIS uses the same principles as a mass
United States Diffusion 18,700
spectrometer (albeit on a much larger scale). Ions of
Russia Centrifuge 19,000
uranium-238 and uranium-235 are separated be-
China Mostly centrifuge 400–800
cause they describe arcs of different radii when they
Pakistan Centrifuge 5
move through a magnetic field.
Total 55,000 approx.
Two aerodynamic processes were brought to
Source. OECD NEA (2002). Nuclear energy data. Nuclear
demonstration stage. One is the jet nozzle process,
Engineering International (2002). ‘‘World Nuclear Handbook.’’ with demonstration plant built in Brazil, and the
other the Helikon vortex tube process developed in
South Africa. Neither is in use now. They depend on
a high-speed gas stream bearing the UF6 being made
The capacity of enrichment plants is measured in
to turn through a very small radius, causing a
terms of separative work units, or SWU. The SWU is
pressure gradient similar to that in a centrifuge.
a complex unit that is a function of the amount of
The light fraction can be extracted toward the center
uranium processed and the degree to which it is
enriched (i.e., the extent of increase in the concen- and the heavy fraction on the outside. Thousands of
stages are required to produce enriched product for a
tration of the U-235 isotope relative to the remain-
reactor. Both processes are energy-intensive—more
der). The unit is strictly a Kilogram Separative Work
than 3000 kWh/SWU.
Unit, and it measures the quantity of separative
work performed to enrich a given amount of
uranium a certain amount. It is thus indicative of
3.3 Gaseous Diffusion Process
energy used in enrichment when feed and product
quantities are expressed in kilograms. The unit Commercial uranium enrichment was first carried
tonnes SWU is also used. For instance, to produce out by the diffusion process in the United States. It
one kilogram of uranium enriched to 3% U-235 has since been used in Russia, the United Kingdom,
requires 3.8 SWU if the plant is operated at a tails France, China and Argentina as well. Only the
assay 0.25%, or 5.0 SWU if the tails assay is 0.15% United States and France use the process on any
(thereby requiring only 5.1 kg instead of 6.0 kg of significant scale. The remaining large USEC plants in
natural U feed). the United States was originally developed for
About 100 to 120,000 SWU is required to enrich weapons programs and have a capacity of some 19
the annual fuel loading for a typical 1000 MWe light million kg SWU per year. At Tricastin, in southern
water reactor. Enrichment costs are related to France, a more modern diffusion plant with a
electrical energy used. A gaseous diffusion plant capacity of 10.8 million kg SWU per year has been
typically demands 2500 kilowatt hours (9000 MJ) per operating since 1979. This plant can produce enough
SWU (kWh/SWU), while modern gas centrifuge 3.7% enriched uranium a year to fuel some 90 1000-
plants require only about 50 kWh (180 MJ) per kg MWe nuclear reactors.
SWU. Enrichment accounts for almost half of the cost The gaseous diffusion process accounts for over
of nuclear fuel and about 5% of the total cost of the 57% of world enrichment capacity. However, though
electricity generated. It can also account for the main they have proved durable and reliable, most gaseous
greenhouse gas impact from the nuclear fuel cycle if diffusion plants are now nearing the end of their
the electricity used for enrichment is generated from design life and the focus is on which enrichment
coal. However, it still typically amounts to only 0.1% technologies will replace them.
of the carbon dioxide from equivalent coal-fired The process involves forcing uranium hexafluor-
electricity generation if gas centrifuge plants are used, ide gas under pressure through a series of porous
or up to 3% in a worst case situation. membranes or diaphragms. As U-235 molecules are
326 Uranium Mining, Processing, and Enrichment

lighter than the U-238 molecules they move faster Like the diffusion process, the centrifuge process
and have a slightly better chance of passing through uses UF6 gas as its feed and makes use of the slight
the pores in the membrane. The UF6 that diffuses difference in mass between U-235 and U-238. The
through the membrane is thus slightly enriched, gas is fed into a series of vacuum tubes, each
while the gas which did not pass through is depleted containing a rotor about 1 to 2 m long and 15 to
in U-235. 20 cm diameter. When the rotors are spun rapidly, at
This process is repeated many times in a series of 50,000 to 70,000 rpm, the heavier molecules with
diffusion stages called a cascade. Each stage consists of U-238 increase in concentration toward the cylin-
a compressor, a diffuser, and a heat exchanger to der’s outer edge. There is a corresponding increase in
remove the heat of compression. The enriched UF6 concentration of U-235 molecules near the center.
product is withdrawn from one end of the cascade and These concentration changes are enhanced by indu-
the depleted UF6 is removed at the other end. The gas cing the gas to circulate axially within the cylinder.
must be processed through some 1400 stages to obtain The enriched gas is drawn off and goes forward to
a product with a concentration of 3% to 4% U-235. further stages while the depleted UF6 goes back to
the previous stage.
To obtain efficient separation of the two isotopes,
3.4 Centrifuge Process
centrifuges rotate at very high speeds, with the outer
The gas centrifuge process was first demonstrated in wall of the spinning cylinder moving at between 400
the 1940s but was shelved in favor of the simpler and 500 m per second to give a million times the
diffusion process. It was then developed and brought acceleration of gravity. Although the capacity of a
on stream in the 1970s as the second-generation single centrifuge is much smaller than that of a single
enrichment technology. It is economic on a smaller diffusion stage, its capability to separate isotopes is
scale (e.g., less than 2 million kg SWU/year, which much greater. Centrifuge stages normally consist of a
enables staged development of larger plants). It has large number of centrifuges in parallel. Such stages
been deployed at a commercial level in Russia and in are then arranged in cascade similarly to those for
Europe by Urenco, an industrial group formed by diffusion. In the centrifuge process, however, the
British, German and Dutch companies. Russia’s three number of stages may only be 10 to 20 instead of a
plants at Seversk, Zelenogorsk and Novouralsk thousand or more for diffusion.
account for some 30% of world capacity. Urenco
operates enrichment plants in the United Kingdom,
3.5 Laser Processes
the Netherlands, and Germany and is participating in
a proposal for one in the United States. Laser enrichment processes have been the focus of
In Japan, JNC and JNFL operate small centrifuge interest for some time. They are a possible third-
plants, the capacity of JNFL’s at Rokkasho planned generation technology promising lower energy in-
to be 1.5 million SWU/year. China also has a small puts, lower capital costs, and lower tails assays,
centrifuge plant imported from Russia at Lanzhou, hence significant economic advantages. None of
which is expected to reach 0.5 million SWU/year these processes is yet ready for commercial use,
about 2005. Another small plant at Hanzhong is though one is well advanced.
operating and was to reach 0.5 million SWU/year by Development of the Atomic Vapour Laser Isotope
2003. Brazil has a small plant that is being developed Separation (AVLIS and the French SILVA) began in
to 0.2 million SWU/year. Pakistan has developed the 1970s. In 1985, the U.S. government backed it as
centrifuge enrichment technology based on Urenco the new technology to replace its gaseous diffusion
designs, and this appears to have been sold to North plants as they reached the end of their economic lives
Korea. Iran has sophisticated centrifuge technology, early in the 21st century. However, after some US$2
which had not been commissioned as of early 2003. billion in R&D, it was abandoned in United States in
Both France and the United States are now favor of SILEX, a molecular process. French work on
considering centrifuge technology to replace their SILVA has now ceased.
aging diffusion plants, not least because they are Atomic vapor processes work on the principle of
more economical to operate. As noted, a centrifuge photo-ionization, whereby a powerful laser is used to
plant requires as little as 50 kWh/SWU power ionize particular atoms present in a vapor of uranium
(Urenco at Capenhurst, United Kingdom, input metal. (An electron can be ejected from an atom by
62.3 kWh/SWU for the whole plant in 2001–2002, light of a certain frequency. The laser techniques for
including infrastructure and capital works). uranium use a frequency that is tuned to ionize a
Uranium Mining, Processing, and Enrichment 327

U-235 atom but not a U-238 atom.) The positively Feed, product, and depleted material are all in the
charged U-235 ions are then attracted to a negatively form of UF6, though the depleted uranium may be
charged plate and collected. Atomic laser techniques stored long-term as the more stable U3O8.
may also separate plutonium isotopes. Uranium is only weakly radioactive, and its
The main molecular processes that have been chemical toxicity—especially as UF6—is more sig-
researched work on a principle of photo-dissociation nificant than its radiological toxicity. The protective
of UF6 to solid UF5, using tuned laser radiation as measures required for an enrichment plant are
noted earlier. Any process using UF6 fits more readily therefore similar to those taken by other chemical
within the conventional fuel cycle than the atomic industries concerned with the production of fluori-
process. The leading molecular laser process on the nated chemicals.
world stage is SILEX, an Australian development Uranium hexafluoride is a corrosive material,
that also utilizes UF6. In 1996, USEC secured the therefore any leakage is particularly undesirable.
rights to evaluate and develop SILEX for uranium (it Hence,
is also usable for silicon and other elements). The
SILEX process is now at prototype stage in Sydney *
In most areas of a centrifuge plant the pressure of
and applications to silicon and zirconium are being the UF6 gas is maintained below atmospheric
developed. pressure and thus any leakage could only result in
an inward flow.
*
Double containment is provided for those few
3.6 Enrichment of Reprocessed Uranium areas where higher pressures are required.
In some countries, spent fuel is reprocessed to *
Effluent and venting gases are collected and
recover its uranium and plutonium and to reduce returned to the process.
the final volume of high-level wastes. The plutonium
is normally recycled promptly into mixed-oxide
(MOX) fuel by mixing it with depleted uranium. 3.8 After Enrichment
Where uranium recovered from reprocessing spent
nuclear fuel is to be reused, it needs to be converted The enriched UF6 is converted back to UO2 and
and re-enriched. This is complicated by the presence made into fuel pellets—ultimately a sintered cera-
of impurities and two new isotopes in particular: U- mic—which are encased in metal tubes to form fuel
232 and U-236, which are formed by neutron capture rods, typically up to 4 m long. A number of fuel rods
in the reactor. Both decay much more rapidly than U- make up a fuel assembly, which is ready to be loaded
235 and U-238, and one of the daughter products on into the nuclear reactor.
U-232 emits very strong gamma radiation, which
means that shielding is necessary in the plant. U-236 is
a neutron poison, which impedes the chain reaction SEE ALSO THE
and means that a higher level of U-235 enrichment is FOLLOWING ARTICLES
required in the product to compensate. Both isotopes
tend to report with the enriched (rather than depleted) Coal Mining, Design and Methods of  Nuclear
output, so reprocessed uranium that is re-enriched for Engineering  Nuclear Fission Reactors: Boiling
fuel must be segregated from enriched fresh uranium. Water and Pressurized Water Reactors  Radiation,
Both diffusion and centrifuge processes are used Risks and Health Impacts of  Uranium and Thorium
for re-enrichment, though contamination issues are Resource Assessment  Uranium Mining: Environ-
more readily managed with the latter. A laser process mental Impact
would theoretically be ideal as it would ignore all but
the desired U-235, but this remains to be demon-
strated with reprocessed feed. Further Reading
Hore-Lacy, I. (2003). ‘‘Nuclear Electricity,’’ 7th Ed. World Nuclear
Association, London and Uranium Information Centre, Mel-
3.7 Environmental Aspects bourne. [Available at http:/ www.world-nuclear.org.]
With the minor exception of reprocessed uranium, Heriot, I. D. (1988). ‘‘Uranium Enrichment by Centrifuge,’’ Report
EUR 11486, Commission of the European Communities,
enrichment involves only natural, long-lived radio- Brussels.
active materials; there is no formation of fission Kehoe, R. B. (2002). ‘‘The Enriching Troika, a History of Urenco
products or irradiation of materials, as in a reactor. to the Year 2000.’’ Urenco, Marlow UK.
328 Uranium Mining, Processing, and Enrichment

Pollock, R., and Rowson, J. (2002). COGEMA Resources’ Wilson, P. D. (ed.). (1996). ‘‘The Nuclear Fuel Cycle—From Ore to
McClean Lake and other mines. The Nuclear Engineer 43(1), Wastes.’’ Oxford University Press, Oxford, UK.
9–13. Woodcock, J. T., and Hamilton, J. K. (1993). ‘‘Australasian
Quick, M. (2001). New uranium mines in Canada: McArthur Mining and Metallurgy, the Sir Maurice Mawby Memorial
River. The Nuclear Engineer 42(6), 179–183. Volume.’’ Four papers, pp. 1160–1170. Aust IMM, Melbourne.
Urbanization and Energy
DONALD W. JONES
RCF Economic and Financial Consulting, Inc.
Chicago, Illinois, United States

trated labor forces required to undertake more


1. Urbanization, Development, Industrialization, and specialized industrial production for larger markets
Energy Use and to facilitate the coordination between city and
2. Effects of Urban Population Concentration on country, as well as among various locations in the
Energy Use countryside, required to support an efficient agricul-
3. Effects of Increases in Individual Income on Energy tural sector.
Demands During Development
4. Aggregate Energy Implications of Urbanization
1. URBANIZATION, DEVELOPMENT,
INDUSTRIALIZATION, AND
Glossary ENERGY USE
elasticity A dimensionless measure of the responsiveness of
a dependent variable to a causal variable, constructed as 1.1 Development as Urbanization
the percentage change in the responding variable to a
The 18th, 19th, and 20th centuries witnessed the
1% change in the causal variable; the range of
magnitude of an elasticity is from –N to þ N. urbanization of Europe and North America, with its
embedded (embodied) energy Energy used to produce a Australian and New Zealand outposts, and Japan
good; for example, the energy embedded in an auto- joined the group two-thirds of the way through the
mobile is that required to mine the minerals and fuels 20th century. These countries transferred approxi-
used in its production. mately two-thirds of their labor forces from rural
modern energy Fossil fuels and electricity. agricultural settings to cities over 100 to 150 years,
traditional energy Firewood, charcoal, animal dung, hu- with the gross national product (GNP) shares of
man and animal traction, and stationary (nonelectric) agriculture and nonagriculture (industry and ser-
hydropower. vices) changing similarly. The increases in GNP
shares coming from industry, particularly metal-
producing and -using manufacturing industries, both
Urbanization is the process of transferring a coun- induced and were facilitated by substitutions of coal
try’s population and labor force from rural areas and for wood and charcoal as fuels. For financial
predominantly agricultural pursuits to cities and feasibility, larger scale manufacturing required more
industrial and related service occupations. A coun- dependable fuel supplies and found greater flexibility
try’s urbanization is largely coincidental with its in delivery of coal, and later oil, than could be
industrialization and is a major feature in its achieved with either of the wood renewables or with
economic development. Economic development is a stationary hydropower. These other energy sources
society’s transformation from predominantly local also proved to be capable of providing power with
orientations, based largely on animate- or renew- different qualities, such as controllability, and their
ables-powered production and using technologies energy densities permitted delivery of larger quan-
that have changed little if any over several centuries, tities of effective power.
to a more nationally and internationally integrated, Urbanization in the Third World outstripped late
larger scale society that uses more powerful and 20th-century projections, rising from about 27%
specialized technologies, usually powered by more urban in 1975 to nearly 40% in 2000. The 1999
flexible energy sources. Cities collect the concen- revision of the United Nations’ World Urbanization

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 329
330 Urbanization and Energy

Prospects projected that the world’s less developed the third most energy-intensive manufacturing activ-
regions’ urbanization will rise to 56% by 2030 while ity, behind cement and iron and steel. As more
that of the more developed regions will reach 83%. multiple cropping is undertaken, coordination of the
The populations of both China and India, the world’s timely arrival of agricultural inputs requires more
two most populous countries, are currently less than attention, and non-farm-produced supplies are more
25% urbanized. likely to be delivered by fueled vehicles. The same
holds for transport of harvested outputs.
Evidence from post-World War II Taiwan shows a
1.2 Changes in Agriculture
shift from 67% human-supplied and 33% animal-
A large part of the urban population comes from supplied energy in agriculture to roughly 35%
agriculture during earlier phases of urbanization, so human-supplied, 5% animal-supplied, and 60%
the increments to urban labor forces are matched mechanically supplied energy within a quarter-
pari passu by decreases in agricultural labor forces. century. Evidence from India suggests that shifting
Consequently, farmers who largely fed only them- workers from traditional agriculture to the least
selves and their own families must devise ways in energy-intensive manufacturing (textiles) can quad-
which to feed a larger number of people. Most (but ruple the per worker energy requirements of the
certainly not all) countries cannot shift increases in transferred workers.
economy-wide food consumption per farm producer
entirely to the foreign trade sector. Agricultural
1.3 Industrial Composition Changes and
production must change to permit a smaller farming
Energy Use
population to feed a larger nonfarming population.
The requisite productivity increases come primarily As a country urbanizes and develops, the composi-
through technological and organizational change: tion of its employment and production systematically
use of new seed varieties and chemical fertilizers, changes from predominantly agriculture to a much
mechanization, irrigation (particularly pumped irri- larger prominence of industry and services. Industry,
gation), and improvements in infrastructure such as even traditional industry, uses considerably more
rural credit, agricultural extension, and marketing. energy per worker and per unit of output than does
The use of machinery reduces labor shortage agriculture, and the mechanization of energy, with its
problems at peak demand times such as harvesting. attendant substitution of modern energy for tradi-
Traditional agriculture uses virtually no fuels; its tional, exacerbates this effect. The changes in
power sources are human and animal labor. As with industrial structure accompanying urbanization and
traditional fuels in cities, food production considered economic development increase fuel consumption,
as a fuel source is a more spatially diffuse activity. particularly consumption of fossil fuels, per worker
Land requirements of fodder production have and per unit of output. Not all industrialization
represented major shares of cropland in pre-fossil occurs within urban areas, and the energy use
fuel societies. Mechanization increases the ability of increases from industrialization can be separated
a farm labor force to feed more consumers per from those increases attributable to urbanization,
worker, but it requires fossil fuels. India devoted although the two developments are related.
nearly 17% of its oil imports to agricultural tractors Within manufacturing, the share of metals in-
alone during the early 1970s, and its agriculture was creases, partly due to increases in the array of capital
not highly mechanized. Replacement of draft animals goods and consumer durables produced and partly
releases land used for fodder for use in food due to substitution of metal parts for wooden and
production, equivalent to roughly a 20% yield leather ones in existing products. Similar substitution
increase in South Asia. Introduction of modern occurs with plastics. Both metals and plastics are more
heating, lighting, and cooking fuels concomitant energy intensive than wood and leather parts. Plastics
with mechanization releases more animal dung for production ordinarily uses fossil fuels, although some
use as fertilizer instead of fuel; however, eventual metal products, particularly steel, may get by with
decline in the number of draft animals requires charcoal or combustible scrap materials, at least
chemical fertilizers to substitute for dung, and during the early stages of industrialization.
chemical fertilizers require petroleum feedstocks in Development involves the acquisition of market
their production. Chemical fertilizer use may require discipline among both workers and firms. Unreliable
pumped irrigation, which also requires fossil fuels. In producers either improve their performances or go
India during the late 1970s, fertilizer production was out of business. Fossil fuels offer greater reliability in
Urbanization and Energy 331

heating performance and often are required to their use of land for low-value uses, such as storing
produce products of required quality standards. low-energy traditional fuels (e.g., firewood), leading
in turn to substitution of higher energy per volume
fossil fuels. This fuel substitution also permits
1.4 Characteristics of the
production at greater distances from the fuel source,
Empirical Evidence and the transportation of the fossil fuel is likely to
The structural outlines of the changes in energy use encourage further substitution of fossil fuel for
involved in urbanization are clear, but much of the animate traction.
empirical evidence is scattered to the point of being
anecdotal. National-level data on energy use are 2.2 Food Delivery
compiled by the United Nations and the Organization
for Economic Cooperation and Development In traditional agriculture in Third World countries,
(OECD), and these can be supplemented by compar- farmers consume large proportions of what they
ably national economic and demographic data from produce and also produce most of what they
which aggregate relationships can be estimated. consume, particularly in terms of food. The separa-
Beyond cross-national studies of long-term develop- tion of food consumers from food producers is a
mental and structural trends, a number of country- major consequence of urbanization. In low-income
specific studies, and even city-specific studies, have countries, food processing, particularly for nonex-
focused on particular issues such as energy embodied ported products, remains relatively simple. Urbani-
in food delivery to cities, the composition of urban zation permits larger scale and more efficient food
and rural residential energy use, and urban transpor- processing, but urban food processing is more likely
tation choices. In general, these studies are time- to use fuels instead of human or animal power
specific snapshots, although an occasional study sources. During the mid-1960s, the United States
tracks changes over time. Similar topics are sometimes devoted more than 7% of its energy use to food
studied in different cities but cover different time processing and another 2% to transporting food.
periods, and these may imply different developmental During the mid-1970s, with considerably lower
phases in the history of the societies. Some legitimate levels of urbanization, India and Pakistan devoted
generalizations may emerge from these studies, 2.3 and 3.6% of their national energy consumptions
although with circumspection and qualification. to food processing, respectively, and each devoted
another 1.3% to food transportation. Similar per-
centages of processing and transportation energy
2. EFFECTS OF URBAN were estimated for food delivered to Mexico City
POPULATION CONCENTRATION during the mid-1970s.
ON ENERGY USE
2.3 Infrastructure
2.1 Scale of Production
The large concentrations of people in cities require
Higher concentrations of populations in cities allow the construction and operation of both public and
larger labor forces to be assembled for employment in private infrastructures. The assembly phase of con-
larger scale, more specialized facilities. Assembling struction is not particularly energy intensive, but
these larger labor forces, despite their greater construction materials, particularly cement and
residential density, requires reaching labor markets structural steel, are quite intensive. Data from India
over greater distances, and selling the outputs of these during the late 1970s indicate that construction
facilities requires selling over larger markets. required 2087 kcal per rupee of output, compared
Although the larger scale of production often lowers with 15,344 for cement and 8757 for iron and steel.
unit production costs, the transportation component These compared with 4552 for nonferrous metals,
of total costs rises to sustain the scale increase. Data 2708 for chemicals, 2378 for electrical goods, 2004
on Turkish cement production show that expansion for transport vehicles and equipment, and 625 for
of a market area from 6 to 190 km reduces capital food and agriculture. Data from The Philippines
and labor costs by 60% and delivered output price by from 1981 show a similar pattern of relative energy
47% while increasing transportation costs 16 times. intensities: 5724 kcal per peso for cement, 1431 for
The large scale of production drives up urban land basic metals, 399 for machinery and equipment, and
prices and induces urban producers to conserve on 95 for agriculture and livestock. Clearly, the building
332 Urbanization and Energy

of a city—streets, bridges, private and public non- even among lower income workers. Urban transpor-
residential buildings, sanitation systems, and power tation has a large, modern, fuel-using component
generation facilities—requires considerable expendi- that is absent in rural settings, that is, automobiles
ture of energy. Traditionally constructed residential and buses. Despite widespread use of bicycles and
housing in Third World cities is not particularly feet (walking) among low-income groups, transpor-
energy intensive, although the use of cement will tation can take up to 25 to 60% of total household
involve embedded energy. energy use in Third World cities. There is not an
However, once the infrastructure is built, it still equivalent fuel use in agriculture.
must be operated and maintained. The provision of
urban services, such as water treatment and supply,
municipal lighting, and garbage collection, can 2.5 Urban Density and Fuel Use Patterns
consume approximately 5 to 6% of the total private Whereas rural dwellers will send women and
fuel use of residents in cities, judging from evidence children into forests to collect wood, urban dwellers
collected in Mexico City, Nairobi, and India from the in many Third World cities are served by extensive
mid-1970s. These services are not urban luxuries but markets in fuelwood transported by fossil-fueled
rather important inputs to maintaining the produc- trucks. Nonetheless, the higher residential densities
tivity of a high-density urban labor force. The of cities place a premium on the compactness and
diseases accompanying polluted water supplies and portability of domestic fuels and encourage the
rotting garbage are well known from the histories of substitution of more compact modern energy forms
Western cities, and the resources devoted to these for traditional fuels. Statistical analysis of Hong
services are repaid in higher productivity. Kong census data from the early 1970s indicate that
population density depressed the share of firewood
2.4 Changes in Domestic Activity and charcoal in household fuel consumption, with an
elasticity of 0.25. (An elasticity is the percentage
In cities, energy use changes in the home as well as in change in one variable, in this case the firewood and
the market. Households use 40 to 90% of all energy charcoal share of domestic energy use, caused by a
in Third World countries, so small percentage 1% change in another variable, in this case popula-
changes in domestic energy use can be important in tion density.) Population density in Hong Kong is
the aggregate. Urban households purchase many also associated with a larger share of domestic energy
goods and services that rural households provide derived from kerosene and with a larger share of
domestically, with an increase in the energy used in energy devoted to commercial uses as opposed to
their production. Increased specialization and divi- domestic uses.
sion of labor accompany urbanization, and many Higher urban residential densities also reduce per
production activities performed at home in rural capita transmission and distribution costs of elec-
areas are transferred to the market in cities. Some of tricity, reducing supply costs for electricity in cities
these activities require fuels in the home, typically by reducing hook-up costs. Data on the magnitude of
traditional fuels, but can be performed with lower this effect, holding the effects of income constant, are
fuel inputs per unit of output by specialized market not available.
providers, albeit often using modern energy forms.
Such activities include baking, food preparation, and
water heating for clothes washing. Other activities,
such as weaving and sewing, generally use only 3. EFFECTS OF INCREASES IN
human energy when conducted at home but use fuel INDIVIDUAL INCOME ON ENERGY
when conducted in the market. DEMANDS DURING DEVELOPMENT
Probably the most obvious energy-using change in
individual activity occurs in personal transportation. Real income increases with economic development,
Urban life requires transportation to and from work, and in developing countries substantial differences
often over greater distances than those separating exist between rural and urban real incomes. Move-
farmers from fields in agriculture. Although farmers ment to a city can be expected to raise the income of
may spend a quarter to a third of their total labor the average migrating individual or family immedi-
time traveling to and from fields, they almost always ately or within an acceptable period of time. These
walk or use an animate power source. In cities, use of real income changes propel a number of consump-
fuel-consuming transportation is much more the rule, tion changes affecting energy.
Urbanization and Energy 333

Income elasticities of household demand for 1985. Both studies yielded elasticities of energy use
energy have been estimated to be greater than 0.5, with respect to urbanization, that is, the percentage
and sometimes greater than 1.0, for a number of change in national energy use for a 1% increase in
developing countries in East and South Asia, Africa, the share of the national population living in cities.
and Latin America. Income elasticities are higher for The two studies’ results differ in some details, but
modern energy forms than for traditional forms. The altogether they largely corroborate each other. Jones
magnitude of these demand elasticities will ensure analyzed modern, traditional, and total energy
increased consumption of energy when rural resi- separately, whereas Parikh and Shukla analyzed only
dents migrate to cities, with a shift to modern energy total energy. Where their quantitative results do
sources. The Hong Kong data show a strong effect of differ somewhat, these differences can be explained
higher income on the traditional fuel share, with an largely by the differences in their measurements of
elasticity of 1.17. That is, a 1% increase in income income and energy and the variables they use to
will lower the share of traditional fuels by 1.17%. control for outside influences.
Real income increases also encourage the purchase Jones used gross domestic product (GDP) data that
of energy-using appliances. The energy use by these had been adjusted for purchasing power parity (PPP)
purchases is included in the energy consumption on corrections for the prices of the nontradable compo-
which the income elasticities just noted are esti- nents of GDP, whereas Parikh and Shukla did not use
mated, but their full energy implications are wider. In such PPP corrections in their GNP data. (The goods
countries with domestic markets large enough to that a developing country produces that are traded
support appliance production, the increased demand internationally, or that compete with internationally
for appliances associated with urbanization feeds traded goods, are priced—even domestically—at
back into industrial demand for energy to produce close to the international prices. However, the prices
goods made of metals and plastics. of personal services and immobile or otherwise
These income-induced increases in end use energy nontraded goods, such as housing, depend on the
may be mitigated somewhat by the use of more income levels of the populations. The PPP correction
efficient fuels and combustion technologies by urban raises the prices attributed to those nontraded goods
consumers. In addition, some potential fuel substitu- and services closer to their international valuations.
tions induced by higher incomes may be restricted by An example might be a lawyer in Chicago who gets a
food preparation traditions. For example, kerosene haircut for $20 before leaving for India, where he
and electricity are poor substitutes for wood and spends 6 weeks and needs another haircut, which
charcoal in grilling food. costs him, calculating through the exchange rate
[ER], $2. It is the same haircut, but it is offered by a
barber with sharply lower costs of living in India. PPP
4. AGGREGATE ENERGY corrects for such discrepancies in prices of equivalent
goods that cannot be brought into parity by interna-
IMPLICATIONS OF URBANIZATION tional trade.) Parikh and Shukla controlled for the
economic structure of countries by using the share of
4.1 Studies and Data
agriculture in GDP, whereas Jones accomplished that
As noted earlier, although many of the preceding control function with the share of GDP in industry
insights have been quantified, and although some (although Jones used a simple ER conversion, with-
have even been subjected to statistical analysis, they out the PPP corrections, in the share calculation, and
defy combination into a comprehensive measure of this will yield a smaller industrial share for poorer
how much urbanization can be expected to con- countries). Jones controlled for nationwide popula-
tribute to a nation’s energy use. However, two studies tion density with arable land, whereas Parikh and
have assembled aggregate data for groups of Shukla used all land as their control for population
countries and conducted statistical analyses of the density. Energy use can be expected to exhibit more
relationships among urbanization, various indexes of sensitivity to the PPP measure of GDP than to the ER
development, and energy use. In 1989, Donald Jones measure because the adjustments in the PPP measure
analyzed a cross section of 1980 data from 59 tend to raise estimates of GDP at earlier dates in a
developing countries. In 1995, Jyoti Parikh and given country and at any particular time to raise the
Vibhooti Shukla conducted a somewhat different GDPs of lower income countries. Consequently, a
statistical analysis on a series of 78 developing and given variation in energy use responds to a larger
industrialized countries over the period from 1967 to change in ER-measured GDP, leaving the response
334 Urbanization and Energy

appearing smaller with ER–GDP elasticities than with other statistical approaches, that is, that the differ-
PPP–GDP elasticities. Both measures are valid, but ence between that and 0.47 depends on how the
the differences in what they measure should be kept urban transportation energy is accounted.
in mind when considering the responsiveness of other
variables to them.
4.3 The Effect of Income Changes,
Industrialization, and Population Density
4.2 The Pure Urbanization Effect on on Energy Use
Energy Use
These urbanization elasticities were estimated while
Despite these data differences, similar stories emerge. controlling for GDP per capita, the level of indus-
The magnitude of the urbanization elasticity of trialization, and (in some cases) population density.
energy use depends importantly on whether one Jones’s estimates of the GDP elasticity with the PPP-
refers to all energy or just modern energy. The adjusted GDP yielded larger values than did Parikh
changes in total energy include substitutions of and Shukla’s ER-converted GDP value (0.47). The
modern energy for traditional, and this depresses GDP elasticities of modern energy of 1.10 and 0.95
the urbanization elasticity of total energy (0.35, are larger than the corresponding elasticities of total
meaning that a 1% increase in urbanization increases energy (0.77 and 0.64). The GDP elasticities of
total energy use per unit of GDP by 0.35%) below traditional energy are effectively zero. Jones’s indus-
that of modern energy (0.47). The urbanization trialization elasticity is positive, as expected, but
elasticity of traditional energy, whether measured on varies considerably among modern, traditional, and
a per capita basis or per dollar of GDP, is not total energy as well as across per dollar of GDP and
statistically different from zero. Parikh and Shukla’s per capita measures of energy. The elasticity per
urbanization elasticity for total energy per capita dollar of GDP for industrialization is 1.08 for
(0.47) is virtually the same magnitude as Jones’s modern energy but is effectively zero for traditional
urbanization elasticity for modern energy per dollar energy, and this weakens the statistical estimation of
of GDP (0.48) and is very close to the per capita the corresponding elasticity of total energy. For
version (0.45), but it is roughly half again the energy per capita, the industrialization elasticity for
magnitude of Jones’s urbanization elasticities for modern energy is smaller than on the per product
total energy (0.35 and 0.30). basis (0.83), but the elasticity for traditional energy
Parikh and Shukla’s alternative analysis took per capita is nearly as large but negative (0.67); as a
advantage of the cross-sectional component of their country industrializes, people move away from
data set to estimate country-specific effects for each traditional energy. Parikh and Shukla’s agricultural
country estimated from the time series. This estima- GDP share variable depresses energy use per capita,
tion cut the magnitude of the urbanization elasticity with an elasticity of 0.69 that becomes effectively
in half (to 0.25), but it also cut the estimates of all zero when controlling for country-specific effects.
other influences by the same magnitude or more, Parikh and Shukla’s variable and Jones’s industrial
transferring much of the explanatory power of the share variable are roughly mirrors of one another.
analysis to the country effects. Approximately 40% The control for population density is useful only
of the country-specific effects can be explained by the in the analysis of traditional energy per dollar of
percentage of a country’s urban population residing GDP and modern and traditional energy per capita.
in cities with populations exceeding 500,000; the It is small and of marginal statistical significance in
larger the share of the population living in those big Parikh and Shukla’s analyses, but their definition,
cities, the more energy use that is accounted for by using all land rather than arable land, is less precise
the country-specific effect. This extra explanatory than the definition using arable land. Higher arable
power of population concentration in larger cities population densities reduce traditional energy use
may capture additional energy use in transportation per dollar of GDP and per capita fairly sharply, and
congestion. The fact that another dimension of they yield small positive elasticities of modern energy
urbanization accounts for so much of the variation use per capita. The effect on traditional energy
in per capita energy use across countries suggests that reflects the higher land cost of supporting animals for
the 0.25 urbanization elasticity from the analysis dung and forests for wood and charcoal at higher
relying on country-specific effects is not entirely population densities as well as the greater conve-
comparable to the urbanization elasticities from the nience of more compact modern fuels and the lower
Urbanization and Energy 335

hook-up costs of electricity. The opposite effect on elasticities were estimated with the world’s full range
modern energy per capita simply mirrors the of development, income, and urbanization, and their
substitution of modern fuels for traditional fuels fixed-effects elasticity of 0.28 might be a reasonable
prompted by higher densities. long-run lower bound. A 28% increase in energy
Increases in energy prices would moderate energy consumption would still be worth noticing. Techno-
consumption. Parikh and Shukla found that an index logical change probably would tend to mitigate such
of sensitivity to energy price changes depressed the increases, and price increases would further retard
magnitudes of the country fixed effects. Jones found growth in energy consumption. Nonetheless, urba-
that two fuel-specific prices, those for oil and nization can be expected to be a major contributor to
gasoline, depressed modern energy consumption, growth in energy consumption over the next century.
both per capita and per dollar of GDP, with an
elasticity of approximately 0.30.

SEE ALSO THE


4.4 Significance of the Aggregate Findings
FOLLOWING ARTICLES
The United Nations’ projection of urbanization in
the developing world between 2000 and 2030, or City Planning and Energy Use  Ecological Foot-
roughly one generation, is a 40% increase. If GDP prints and Energy  Economic Growth and Energy 
per capita and industrialization remained unchanged Heat Islands and Energy  Land Requirements of
over that period, the urbanization alone, using Energy Systems  Lifestyles and Energy  Population
Parikh and Shukla’s elasticity obtained without the Growth and Energy  Renewable Energy and the
country-specific effects, would cause a 19% increase City  Suburbanization and Energy
in per capita consumption of modern and traditional
energy. Jones’s elasticity for energy per dollar of GDP
predicts the same 19% increase in modern energy Further Reading
alone. Some developing countries had well below
Jones, D. W. (1989a). Energy implications of urbanization in the
40% urbanization levels in 2000, with China and Third World. In ‘‘Spatial Energy Analysis: Models for Strategic
India being the most prominent at 32 and 28%, Decisions in an Urban and Regional Context’’ (L. Lundqvist,
respectively. It is not out of the realm of possibility L.-G. Mattsson, and E. A. Eriksson, Eds.), pp. 49–69. Avebury,
that those two countries’ urbanization levels could Aldershot, UK.
Jones, D. W. (1989b). Urbanization and energy use in economic
double in two or possibly three generations. Again,
development. Energy J. 10(1), 29–44.
without any increase in income or industrialization, Jones, D. W. (1989c). ‘‘Urbanization and Energy Use in Economic
the doubling of urbanization levels alone could Development,’’ ORNL-6432. Oak Ridge National Laboratory,
increase energy consumption per capita or per dollar Oak Ridge, TN.
of GDP by nearly 50%. Jones, D. W. (1991). How urbanization affects energy use in
It is reasonable to believe that these parameters developing countries. Energy Policy 19, 621–630.
Parikh, J., and Shukla, V. (1995). Urbanization, energy use, and
would change over a two- to three-generation period greenhouse effects in economic development: Results from a
of time, probably decreasing somewhat in absolute cross-national study of developing countries. Global Environ.
magnitude. Nonetheless, the Parikh and Shukla Change 5, 87–103.
Value Theory and Energy
ROBERT COSTANZA
University of Vermont
V
Burlington, Vermont, United States

should help us to make better, and more sustainable,


1. Definitions of Value decisions, not only as individuals but also as
2. History of Economic Concepts of Value groups, communities, and stewards of the entire
3. Ecological Concepts of Value planet.
4. Cost and Price
5. Conclusion

1. DEFINITIONS OF VALUE
Glossary The terms value system, value, and valuation have a
diminishing marginal utility The desire for one additional range of meanings in different disciplines. The
unit declines with successive units of the good. definitions provided here are used in this article in
embodied energy The direct and indirect energy required order to impose some consistency and to put the
to produce a good or service. range of prior and current definitions in context.
evolution In natural systems it has three components: (i) Value systems refer to intrapsychic constellations
generation of genetic variation by random mutations or of norms and precepts that guide human judgment
sexual recombination, (ii) natural selection by relative and action. They refer to the normative and moral
reproductive success, and (iii) transmission via informa-
frameworks people use to assign importance and
tion stored in the genes.
valuation The process of assessing the contribution of a
necessity to their beliefs and actions. Because value
particular object or action to meeting a particular goal, systems frame how people assign importance to
whether or not that contribution is fully perceived by things and activities, they also imply internal
the individual. objectives. Value systems are thus internal to
value The contribution of an object or action to specific individuals but are the result of complex patterns
goals, objectives, or conditions. of acculturation and may be externally manipulated
value systems Intrapsychic constellations of norms and through, for example, advertising.
precepts that guide human judgment and action. They Value refers to the contribution of an object or
refer to the normative and moral frameworks people use action to specific goals, objectives, or conditions. The
to assign importance and necessity to their beliefs and value of an object or action may be tightly coupled
actions.
with an individual’s value system because the latter
determines the relative importance to the individual
The concepts of value system, value, and valuation of an action or object relative to other actions or
have many meanings and interpretations and a long objects within the perceived world. However, peo-
history in several disciplines. This article provides a ple’s perceptions are limited, they do not have perfect
survey of some of these meanings to set the stage for information, and they have limited capacity to
a discussion of the relationship between energy and process the information they do possess. An object
value. There is clearly not one ‘‘correct’’ set of or activity may therefore contribute to meeting an
concepts or techniques to address this important individual’s goals without the individual being fully
issue. Rather, there is a need for conceptual pluralism (or even vaguely) aware of the connection. The value
and thinking ‘‘outside the box.’’ After a long and of an object or action therefore needs to be assessed
interesting history, the issue of value is now going both from the subjective standpoint of individuals
through another period of rapid development that and their internal value systems and from the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 337
338 Value Theory and Energy

objective standpoint of what we may know from value. Smith formulated a cost of production theory
other sources about the connection. of value, whereby wages, profit, and rent are the
Valuation is the process of assessing the contribu- three original sources of exchange value. In his
tion of a particular object or action to meeting a famous beaver–deer example, he suggested a labor
particular goal, whether or not that contribution is theory of exchange value: If it takes twice the labor
fully perceived by the individual. One can thus (and to kill a beaver than to kill a deer, one beaver will sell
must if one hopes to be comprehensive and accurate) for as much as two deer. He also suggested a labor-
do valuation from multiple perspectives, using multi- disutility theory of exchange value, noting that goods
ple methods (including both subjective and objec- exchange based on the unpleasantness of the labor
tive), against multiple goals. required to bring the goods to market. However, it is
Intrinsic value refers more to the goal or basis for significant that Smith limited his labor theory to
valuation and the protection of the ‘‘rights’’ of these ‘‘that early and rude state of society which precedes
goals to exist. For example, if one says that nature both the accumulation of stock and the appropria-
has intrinsic value, one is really claiming that tion of land.’’ In other words, when labor is the only
protecting nature is an important goal in itself. scarce factor, goods will exchange based on the ratio
Values (as defined previously) are based on the of labor use.
contribution that something makes to achieving In addition to formulating his hypothesis regard-
goals (directly or indirectly). One could thus talk ing the origins of exchange value, Smith sought to
about the value of an object or action in terms of its establish a unit of measure of value or what he
contribution to the goal of preserving nature but not termed the real measure or real price of a good. He
about the intrinsic value of nature. Therefore, proposed that ‘‘labor alone y never varying in its
intrinsic value is a confusing and unnecessary term own value, is alone the ultimate and real standard’’
and will not be used further. One should more of the values of all commodities. Hence, labor could
accurately refer to the intrinsic rights of nature to be a numeraire, and it had special properties of
qualify as a goal against which to assess value, in invariant value.
addition to the more conventional economic goals. Ricardo also sought an invariant unit of measure
for value. He believed that there was no commodity,
including labor, whose exchange value could serve as
an invariant standard to measure the variation in
2. HISTORY OF ECONOMIC exchange values of other commodities. Also, it was
CONCEPTS OF VALUE not possible to add up commodities to measure
national wealth or production with only exchange
The history of economic thought is replete with ratios. According to Ricardo, this measure must be
struggles to establish the meaning of value, both invariant to changes in relative factor rewards (i.e.,
what is it and how is it measured. Aristotle first capital versus labor) and be a commodity whose
distinguished between value in use and value in capital and labor use did not vary over time (i.e., no
exchange. The distinction between use and exchange technological change). He proposed that both wheat
value has been ‘‘resolved’’ several times, but it and gold possessed these properties. Although not
remains an important issue even today. For example, creating value, they could measure value.
the diamond–water paradox observed that although Although Ricardo had several followers, including
water has infinite or indefinite value, being necessary J. S. Mill and Marx, labor theories of value and the
for life, its exchange value is low, whereas unessential pursuit of an invariant standard of value waned in the
diamonds bear a high exchange value. Following this late 19th century. This was partially in response to
observation, there was widespread recognition of the the logic of the utilitarians, such as Menger, Gossen,
distinction between exchange value and use value of Jevons, and Walras, who argued that exchange value
goods. Galiani defined value to mean a relation of was based on both utility and scarcity. Sraffa, a noted
subjective equivalence between a quantity of one Ricardian scholar, sought to resurrect the classical
commodity and a quantity of another. He noted that pursuit of a theory of value independent of demand
this value depends on utility and scarcity (utilita et or value in use. In his 1960 book, ‘‘Production of
rarita). Two hundred years later, Adam Smith Commodities by Means of Commodities: Prelude to a
distinguished between exchange value and use value Critique of Economic Theory,’’ Sraffa established
of goods by citing the diamond–water paradox but conditions under which exchange ratios between
used it to dismiss use value as a basis for exchange commodities can be determined based on their use
Value Theory and Energy 339

in production (i.e., a set of commodity prices that standing, leisure, identity, and freedom. Although
would exhaust the total product). These exchange one can imagine needs such as affection being
ratios were not based on any optimality or margin- ‘‘purchasable’’ with money, or freedom being pur-
ality conditions. Instead, Sraffa divided commodities chasable by migration, many of these needs may not
into basic (goods that entered into all production be satisfied by money or time because individuals
processes) and nonbasic, and he showed that an simply may not consider them to be purchasable by
invariant standard of value would be a combination money or time. Thus, not only is it possible that
of basic commodities reflecting average input propor- trade-offs between needs will not be possible but also
tions in production. This contrived ‘‘commodity’’ some needs may not be reducible to money or time.
would then be usable as a measure of national wealth Lancaster introduced the concept of consumption
or income. technology, whereby consumers consider character-
The ‘‘marginal’’ revolution in value theory origi- istics of goods. For example, food may be evaluated
nated with the confluence of several related streams of on caloric, protein, or vitamin content. Different
economic thought in the 20th century. Menger foods are substitutable depending on the composi-
proposed there were different categories of wants or tion of their characteristics. People allocate their
desires, such as food, shelter, and clothing, that could budget across characteristics, purchasing goods that
be ordered in terms of their subjective importance. are efficient sources of desired characteristics. The
Within each category, there is an ordered sequence of technological inability to substitute characteristics
desires for successive increments of each good. He may restrict the margins on which environmental
postulated that the intensity of desire for one goods and services can be valued. For example,
additional unit declines with successive units of the although health may be valued, and individuals
good. Replacing the term ‘‘desire for one additional would be willing to pay for it, the proper mix of
unit’’ with the term ‘‘marginal utility,’’ we thus have calories, protein, and vitamins may make marginal
the economic principle of diminishing marginal utility. increases or decrements in one of these character-
The idea that people have different, but ordered, istics either very highly valued or of very low value.
categories of wants or desires raises the critical issue Building on this insight, multiattribute utility
of whether trade-offs exist between categories. If theory formalizes the utility-generating technology
individuals weight categories, it implies a trade-off. At by proposing that total utility is a function of the
one extreme, categories may be lexicographically characteristics of goods or services. A simple
ordered, like words in a dictionary. One level of want example is the case in which utility, U, from food
must be satisfied before a lower level becomes relevant consumption is a linear function of the caloric, C,
in the process of valuation. There are no trade-offs protein, P, and vitamin, V, content:
between levels of wants. For example, the need for
U ¼ aC þ bP þ cV;
caloric intake is likely superior to that of recreational
pleasure: No number of recreational opportunities where the parameters a–c reflect the weighting of
will likely substitute for an insufficient diet. In the three factors in determining utility for food consump-
lexicographic case, individuals would use their tion. When utilities are measurable in monetary
monetary resources hierarchically, satisfying higher willingness to pay or willingness to accept compensa-
order wants and needs first. When a higher order tion, these parameters represent the marginal mone-
want or need is at risk, the individual would take tary value of each characteristic. This logic forms the
resources away from lower level ones until higher basis for hedonic pricing models of valuation
level needs were satisfied. Lexicographic preferences (discussed later) whereby the value of market goods
do not mean monetary valuation is impossible such as a house depends on the characteristics of the
because individuals would still be able to state how house and its location as well as surrounding
much of their resources they would be willing to environmental amenities or disamenities.
sacrifice for a good or service; however, this may be all Gossen proposed that in order to maximize
their resources if a high-level need is at risk. satisfaction from a good, such as labor or money,
More problematic for valuation are instances in an individual must allocate that good across different
which basic needs cannot be satisfied by the uses to equate its marginal utility in each use. Hence,
resources at an individual’s disposal (i.e., time or marginal utility would provide a basis for explaining
money). Similar to Menger, Ekins and Max-Neef exchange value. If we treat things such as iron,
suggested the universality of basic human needs, cement, fertilizer, natural agents, and labor as
including subsistence, affection, protection, under- incomplete consumable goods, the marginal utility
340 Value Theory and Energy

of the goods they produce can be used to explain individual or group. This is a marginal WTP. The total
their exchange value. This logic established a theory WTP for T0 units of T is the aggregated areas A þ B.
of value. It also demonstrated that exchange values Area A may be very large for goods or services that
could be based on marginal use value. have some utility threshold where the good becomes
While the classical theorists sought a standard increasingly valuable as it becomes scarcer. This is
physical commodity unit for measuring exchange true for many ecological goods and services, including
value, neoclassical theorists substituted utility for life-support goods such as oxygen and water; the
such a commodity. Because value was assumed to be marginal value is finite but the total value is
determined solely by consumption utility on the indeterminate. This is the distinction that lies behind
margin, and consumers were assumed to allocate the diamond–water paradox discussed previously.
money optimally across uses (in possession of perfect Exchange-based values are reflected in the prices,
information, no externalities, fixed preferences, and P, at which the goods or services are exchanged.
no interpersonal effects), the marginal utility of When supply is T0, and the item is sold competi-
money was the same for an individual in all its uses. tively, a price P is determined that clears the market.
Money thus became the standard unit of measure. These prices also reflect the marginal valuations
The general optimization model of labor/leisure placed on available quantities around T0. Therefore,
and consumption/saving given time and wealth prices reflect marginal values when there are markets
constraints would yield equivalencies of goods for for the goods or services.The total exchange value of
money, goods for time, and time for money. Time or T0 is P  T0. This is an observable market value
money can thus be used as a standard of measure of when there are markets to observe. However, when
use value; how much time or money will a person there are no such markets, P must be determined
willingly sacrifice to obtain commodity X? indirectly, and P  T0 would represent a pseudo-
The utility-based values of goods and services are market value. This would be the total exchange value
reflected in people’s willingness to pay (WTP) to of the good if there were a market with an available
attain them or their willingness to accept compensa- supply of T0.
tion to forego them (WTA). WTP and WTA become Measures of economic value are assumed to reflect
measures of these values. They may be based on small the difference that something makes to satisfaction of
marginal changes in the availability of these goods human preferences. If something is attainable only at
and services or on larger changes, including their a cost, then the difference it makes to satisfy
complete absence or presence. These valuations are preferences is the difference between its utility and
reflected in Fig. 1. Let the curve D represent the WTP the cost of attaining it. Formal concepts of compen-
for each unit of the good or service, T, for an sating and equivalent variations are used to reflect
this difference. For example, suppose in Fig. 1 that
T0 is available at a cost of P. Under these terms of
$
availability, the welfare difference made by T0 is area
A. The marginal value that alterations in availability
make to welfare would be reflected by changes in
area A. Using timber from trees as an example,
suppose timber is harvested at a cost of P per unit of
timber. The value of trees, per se, would be
represented by area A, which is less than A þ B.
Thus conceived, the basic notion of value that
guides neoclassical economic thought is inherently
A anthropocentric or instrumental. Although value can
D
P generally mean the contribution to a goal, objective,
desired condition, etc., the mental model used by
B neoclassical economists is that value is based on want
satisfaction, pleasure, or utility goals. Things have
value insofar as they propel individuals toward
0 TX0 TX meeting pleasure and need objectives. Values of
objects in the environment can be considered on
FIGURE 1 Utility- and exchange-based values of goods and the margin as well as on the whole (i.e., the value of
services. one additional tree versus the value of all trees).
Value Theory and Energy 341

Although value relates to the utility of a thing, the though bears and elk are not substitutes in terms of
actual measurement of value requires some objective ecosystem function. On the production side, inputs
measure of the degree to which the thing improves are also considered to be substitutable for one
pleasure, well-being, and happiness. another. Machines and technology can substitute
In a finite world, the resources people have for people and natural inputs. Clearly, economists
available to meet their personal objectives are recognize that the relations between goods and
limited. Economists have thus developed an exten- services are often more complicated. For malnour-
sive theory of how people behave in the presence of ished people, sugar is no technological substitute for
constraints on feasible activities. The working protein, even though they both provide calories. As
hypothesis is that people make decisions in order to discussed previously, preferences may be lexico-
optimize satisfaction, pleasure, or utility. This graphic: Some things are more important than others
optimization always takes place in the presence of and cannot be substituted for lower level wants or
constraints, such as income, wealth, time, and needs. On the production side, no number of
resource supply. Optimization thus yields a set of lumbermen is a substitute for timber when there is
possible decisions in most real-world situations— no timber. Production may require certain inputs, but
when constraints change, so do the decisions. at the same time there may be substitutability
The essence of this perspective is that the between others. As Krutilla suggests, there may be
economic world works largely deterministically, close substitutes for conventional natural resources,
moving from one equilibrium to another in relatively such as timber and coal, but not for natural
stable fashion, and responds to changes in con- ecological systems.
straints in a predictable fashion. The determination The neoclassical perspective also assumes that
of equilibrium is a resultant of conflicting forces, tastes and preferences are fixed and given, and that
such as supply and demand, or unlimited wants and the fundamental economic ‘‘problem’’ consists of
limited means. Although there are instances of optimally satisfying those preferences. Tastes and
instability, disequilibria, and indeterminism, these preferences usually do not change rapidly and, in the
are treated as exceptions rather than the rule. short term, this basic assumption is probably not too
Since individuals can be observed making choices bad. In the longer term, however, it does not make
between objects in the marketplace while operating sense to assume tastes and preferences are fixed.
within the limits of income and time, economists People’s preferences do change over longer time
have developed measures of value as imputations frames, as the existence of a robust advertising
from these observed choices. Although monetary industry attests. This observation is important
measures of value are not the only possible yardstick, because sustainability is an inherently long-term
they are convenient since many choices involve the concept and ecosystem services are expected to
use of money. Hence, if you are observed to pay $10 continue far into the future. This fact is very
for a bottle of wine, the imputation is that you value disturbing for many economists because it takes
wine to be at least $10 and are willing to make a away the easy definition of what is optimal. If tastes
trade-off of $10 worth of other things to obtain that and preferences are fixed and given, then we can
bottle. The money has no intrinsic value but adopt a stance of ‘‘consumer sovereignty’’ and just
represents other things you could have purchased. give people what they want. We do not have to know
Time is often considered another yardstick of value; or care why they want it; we just have to satisfy their
if you spend 2 h golfing, the imputation is that you preferences efficiently.
value the golf experience to be worth more than 2 h However, if preferences change over time and
spent in other activities. Value is thus a resultant of under the influence of education, advertising, chan-
the expressed tastes and preferences of persons and ging cultural assumptions, variations in abundance
the limited means with which objects can be pursued. and scarcity, etc., we need a different criterion for
As a result, the scarcer the object of desire, the what is optimal. Moreover, we have to determine
greater its value will be on the margin. how preferences change, how they relate to this new
Importantly, the ‘‘technologies’’ of pleasure and criterion, and how they can or should be changed to
production allow for some substitution between satisfy the new criterion. One alternative for the new
things. A variety of goods can induce pleasure and criterion is sustainability, or more completely a set of
are thus treated conceptually as utility substitutes. A criteria: sustainable scale (size of the economic
bear may substitute for an elk in consumption, subsystem), fair distribution, and efficient allocation.
hunting, and a wildlife viewing experience even This set of criteria implies a two-tiered decision
342 Value Theory and Energy

process of first coming to a social consensus on a In contrast to economists’ traditional assumptions


sustainable scale and fair distribution and then using of positive time preferences, or positive discount
the marketplace and other social institutions, such as rates, psychologists suggest time preference is more
education and advertising, to implement these complicated. For example, Lowenstein and Prelec
decisions. This might be called community sover- find that in some circumstances people behave as if
eignty as opposed to consumer sovereignty. It makes they have negative time preference, preferring more
most economists very uncomfortable to stray from in the future to more now. The authors suggest this is
consumer sovereignty because it raises the following due to dread, the anticipation of savoring better
question: If tastes and preferences can change, then conditions in the future, and the aversion to loss.
who is going to decide how to change them? There is However, this negative time preference may not be
a real danger that a totalitarian government might be operative when the time period is ambiguous. The
employed to manipulate preferences to conform to implications of such experimental results for dis-
the desires of a select elite rather than the individuals counting in environmental policy settings are not
in society. clear, but they do raise serious questions about the
Here, two points need to be kept in mind: standard practice of discounting future environmen-
Preferences are already being manipulated every tal benefits.
day, and we can just as easily apply open democratic
principles to the problem as hidden or totalitarian
principles in deciding how to manipulate preferences.
Viewed in this light, the aforementioned question is 3. ECOLOGICAL CONCEPTS
transformed: Do we want preferences to be manipu- OF VALUE
lated unconsciously, either by a dictatorial govern-
ment or by big business acting through advertising, Value is a term that most ecologists and other natural
or do we want to formulate preferences consciously scientists would prefer not to use at all, except
based on social dialogue and consensus with a higher perhaps in its common usage as a reference to the
goal in mind? Either way, we believe that this issue magnitude of a number (e.g., ‘‘the value of parameter
that can no longer be avoided and is one that will b is 9.32’’). Using the definitions provided earlier,
best be handled using open democratic principles and ecosystems and nonhuman species are presumed not
innovative thinking. This leads us back to the role of to be pursuing any conscious goals, and therefore
individual preferences in determining value. If they do not have a value system. Likewise, one
individual preferences change in response to educa- cannot talk about value as the degree to which an
tion, advertising, and peer pressure, then value item contributes to achieving a goal in this context
cannot solely originate with individual preferences. since there is no conscious goal being pursued.
Values ultimately originate from within the constel- Nevertheless, some concepts of value are important
lation of shared goals to which a society aspires— in the natural sciences and are in fact quite
value systems—as well as the availability of ‘‘pro- commonly used.
duction technologies’’ that transform things into If one limits the concept of value to the degree to
satisfaction of human needs. which an item contributes to an objective or
In addition to income and education, time places condition in a system, then we can see how natural
constraints on value creation. Constraints of time and scientists use the concept of value to talk about
intertemporal substitutabilities create temporal im- causal relationships between different parts of a
plications for value. Neoclassical economists presume system. For example, one could talk about the value
that a present time preference exists due to limited of particular tree species in controlling soil erosion in
time horizons and concerns for uncertainty in the a high slope area or the value of fires in recycling
future. This means individuals will discount values of nutrients in a forest.
things in the future in comparison to the same things There are other ways in which the concept of
in the present. If I have an equal endowment of apples value is used in the natural sciences. For example, a
now and a year from now, I would place a greater core organizing principle of biology is evolution by
value on having an apple now than on having an natural selection. Evolution in natural systems has
apple 1 year from now. The ability to convert things three components: generation of genetic variation by
to money in the presence of positive financial interest random mutations or sexual recombination, natural
rates will therefore result in the ‘‘optimizing indivi- selection by relative reproductive success, and
dual’’ discounting things in the future. transmission via information stored in the genes.
Value Theory and Energy 343

Although this process does not require conscious, systems, the essential property of energy (the ability
goal-directed behavior on the part of any of its to do work) cannot be substituted.
participants, one can still think of the overall process 5. At the global scale, the earth is essentially a
as being ‘‘goal-directed.’’ The goal of survival is closed system in thermodynamic terms (only energy
embedded in the objective function of natural crosses the boundary), so at this scale it is the only
selection. Although the process occurs without primary input.
consciousness of this goal, individuals and species 6. Smith’s three sources of exchange value (wages,
as a whole can be observed to behave as if they were profits, and rent) are intermediate inputs in this
pursuing the goal of survival. Thus, one often hears global scheme and interconvertable using the pri-
evolutionary biologists talk about the survival value mary energy input.
of particular traits in organisms. Natural selection
models, which maximize the fitness of individuals, Available energy is thus the only basic commodity
are not only testable but also bear close similarities to and is ultimately the only scarce factor of produc-
economic utility maximization models. tion, thereby satisfying the criteria for a production-
In addition, the idea of coevolution among a based theory that can explain exchange values.
whole group of interacting species raises the possi- Energy-based concepts of value must follow the
bility that one species is valuable to the survival of basic principles of energy conversion. The first law of
another species. Extending this logic to the coevolu- thermodynamics states that energy and matter are
tion of humans and other species, we can talk of the conserved. However, this law essentially refers to
value of natural ecosystems and their components in heat energy and mechanical work (raw energy or the
terms of their contribution to human survival. bomb calorimeter energy). The ability to do work is
Ecologists and physical scientists have also pro- related to the degree of organization or order of a
posed an energy theory of value to either comple- thing relative to its environment, not its raw heat
ment or replace the standard neoclassical theory of content. Heat must be organized as a temperature
subjective utility-based value. It is based on thermo- gradient between a high-temperature source and a
dynamic principles in which solar energy is recog- low-temperature sink in order for useful work to be
nized to be the only primary input to the global done. Similarly, complex manufactured goods such
ecosystem. as cars have an ability to do work that is not related
This theory of value represents a return to the to their raw energy content but may be related to
classical ideas of Ricardo and Sraffa but with some their degree of organization relative to their environ-
important distinctions. The classical economists ment. The second law of thermodynamics states that
recognized that if they could identify a primary useful energy (organization) always dissipates (en-
input to the production process then they could tropy or disorder always increases) within an isolated
explain exchange values based on production rela- system. In order to maintain organized structures
tionships. The problem was that neither labor nor (e.g., an economy) one must constantly add orga-
any other single commodity was really primary since nized, low-entropy energy from outside the system.
they all require each other for their production. The The earth as a whole is just such a system. In
traditional primary factors are really intermediate thermodynamic terms, it is essentially closed (i.e.,
factors of production. energy, but not matter, crosses the boundaries). Of
The classical economists were writing before the course, some matter does cross the boundaries (i.e.,
science of thermodynamics had been fully developed. meteorites and spacecraft) so the earth system is at
Energy—or, more correctly, free or available energy least slightly open, but these flows of matter are very
defined as the ability to do work—has special small compared to the flow of solar energy in and
characteristics that satisfy the criteria for a primary heat energy out.
input described previously: Estimating total energy consumption for an econ-
omy is not a straightforward matter because not all
1. Energy is ubiquitous. fuels are of the same quality; that is, they vary in their
2. It is a property of all the commodities produced available energy, degree of organization, or ability to
in economic and ecological systems. do work. Electricity, for example, is more versatile
3. It is an essential input to all production and cleaner in end use than petroleum, and it also
processes. requires more energy to produce. In a oil-fired power
4. Although other commodities can provide alter- plant it takes 3–5 kcal of oil to produce 1 kcal of
native sources for the energy required to drive electricity. Thus, adding up the raw heat equivalents
344 Value Theory and Energy

of the various forms of fuel consumed by an economy ship for the U.S. economy from 1932 to 1987. Much
without accounting for fuel quality can radically of the apparent gain in energy efficiency (decreasing
distort the picture, especially if the mix of fuel types is E:GNP ratio) is due to shifts to higher quality fuels
changing over time. (e.g., natural gas and primary electricity) from lower
An energy theory of value thus posits that, at least quality ones (e.g., coal). Renewable energy sources
at the global scale, free or available energy from the are generally lower quality and shifts to them may
sun (plus past solar energy stored as fossil fuels and cause significant increases in the E:GNP ratio.
residual heat from the earth’s core) are the only Another way of looking at the relationship
primary inputs to the system. Labor, manufactured between available energy and economic output uses
capital, and natural capital are intermediate inputs. cross-sectional rather than time-series data. This
Thus, one could base a theory of value on the use in avoids some of the problems associated with changes
production of available energy that avoids the in fuel mix and distortions in GNP. For example,
problems that the classical economists encountered Costanza and Costanza and Herendeen used an 87-
when trying to explain exchange values in economic sector input–output model of the U.S. economy for
systems. 1963, 1967, and 1973, modified to include house-
There have been a few attempts to empirically test holds and government as endogenous sectors (to
this theory using both time series data and cross- include labor and government energy costs), to
sectional data. Studies that have tried to adjust for investigate the relationship between direct and
fuel quality have shown a very close relationship indirect energy consumption (embodied energy) and
between available energy consumption and economic dollar value of output. They found that dollar value
output. Cleveland et al. and Kaufmann have shown of sector output was highly correlated (R2 ¼ 0.85–
that almost all the changes in energy:gross national 0.98) with embodied energy when this was calcu-
product (E:GNP) (or energy:gross domestic product) lated including the energy costs of labor, government,
ratios in the United States and Organization for and environmental inputs (although not with direct
Economic Cooperation and Development countries energy consumption or embodied energy calculated
can be explained by changes in fuel quality and the excluding labor and government energy costs). Thus,
percentage of personal consumption expenditures if one makes some necessary adjustments to esti-
(PCE) spent directly on fuel. The latter effect is due mates of energy consumption in order to better assess
to the fact that PCE is a component of GNP and available energy, it appears that the empirical link
spending more on fuel directly will raise GNP between available energy cost and economic value is
without changing real economic output. Figure 2 is rather strong.
an example of the explanatory power of this relation- Some neoclassical economists have criticized the
energy theory of value as an attempt to define value
independent of consumer preferences. This criticism
90 is, on the one hand, axiomatic since a major purpose
85
of an energy theory of value was to establish a theory
E/GNP of value not completely determined by individual
80
PRED preferences. On the other hand, techniques for
75 calculating embodied energy utilize economic input–
E/GNP

70 output tables. These tables summarize production


65 interdependencies but they are not completely in-
60 dependent of consumer preferences, which helped to
structure the production interdependencies over time.
65
In summary, the energy theory of value overcomes
50 some of the problems of earlier production-based
45 theories of value encountered by the classical
1930 1940 1950 1960 1970 1980 1990
economists and does a fairly good job of explaining
Year
exchange values empirically in the few cases in which
FIGURE 2 The energy:GNP ratio for the U.S. economy from it has been tested. Despite the controversy and
1932 to 1987. The predicted ratio (PRED) is based on a regression ongoing debate about the validity of an energy
model with percentage of primary energy from petroleum and
from electricity and percentage of personal consumption expendi- theory of value, it seems to be the only reasonably
tures spent on fuel as independent variables (R2 ¼ 0.96). From successful attempt to operationalize a general bio-
Cleveland et al. (1984) and Kaufmann (1992). physical theory of value.
Value Theory and Energy 345

4. COST AND PRICE 5. CONCLUSION


Energy (and earlier labor) theories of value are A modern approach to value and valuation needs to
inherently based on relative production costs. Thus, be pluralistic, including a broad range of both
it is more accurate to speak of energy cost or labor subjective and objective methods. Embodied energy
cost and not energy value or labor value. However, cost has proven to be an important element in this
in economic systems it is well-known that cost and spectrum of approaches, and it makes the link with
price will, in general, come to equilibrium. This is the classical economists’ production-based theories
the essence of the basic ideas of supply and demand. of value. Embodied energy should more accurately
If a commodity has a much higher value than its be called a theory of cost rather than value, although
cost of production, profits will be high and more of the two are obviously related in well-functioning
the commodity will be produced (with increasing markets. The most productive approach is to keep
marginal cost) until cost just equals price and profits these distinctions in mind while applying a range of
are 0 for the last unit of production. Likewise, if subjective and objective methods in order to obtain a
cost is much higher than price, less will be produced clearer picture of the complex nature of value and,
until they are again equal. Therefore, a method that ultimately, to do a better job of valuation against a
estimates costs, although not technically estimating much broader range of social goals.
price or value, should in fact be a fairly good
approximation to price and value in cases in which
markets have reached an approximate equilibrium.
Since markets are never really in equilibrium and SEE ALSO THE
there are many types of market failure to complicate FOLLOWING ARTICLES
things, we would expect there to be some divergence
between cost and price in real systems. The question Cost–Benefit Analysis Applied to Energy  Depletion
then becomes the following: Are the commodities and Valuation of Energy Resources  Evolutionary
overpriced or underpriced? Should the energy costs Economics and Energy  Industrial Ecology 
be taken as the standard and market exchange Information Theory and Energy  Petroleum Prop-
values be adjusted, or should the energy costs be erty Valuation  Physics and Economics of Energy,
ignored and the market prices taken as the Conceptual Overview
standard? Given, on the one hand, the enormous
data requirements to calculate energy costs accu-
rately and, on the other hand, the pervasive market
Further Reading
imperfections complicating market prices, there is
no unambiguous correct answer. However, one can Alexander, A., List, J. A., Margolis, M., and d’Arge, R. C. (1998).
learn much by examining energy costs and market A method for valuing global ecosystem services. Ecol. Econ.
27(2), 161–170.
prices and comparing their degree of correspon- Arrow, K., and Fisher, A. C. (1974). Environmental preservation,
dence. Costanza did just that at the aggregate level uncertainty and irreversibility. Q. J. Econ. 88, 312–319.
of an 87-sector input–output model and found a Bishop, R. C. (1978). Endangered species and uncertainty: The
fairly high degree of correspondence for those economics of a safe minimum standard. Am. J. Agric. Econ.
sectors in which markets were fairly functional 60(1), 10–18.
Blamey, R.K., and James, R. F. (1999). Citizens’ juries—An
and lacking severe externalities and a low corre- alternative or an input to environmental cost–benefit analysis.
spondence for those sectors in which they were not In ‘‘Conference of the Australian and New Zealand Society for
(basically, the extractive sectors at this level of Ecological Economics, Brisbane, Australia, July 7.’’ Griffith
aggregation). University, Australia.
As discussed previously, embodied labor costs Blaug, M. (1968). ‘‘Economic Theory in Retrospect.’’ Irwin,
Homewood, IL.
alone would give a much poorer approximation Brown, M. T., and Herendeen, R. A. (1996). Embodied energy
to exchange value than embodied energy costs analysis and energy analysis: A comparative view. Ecol. Econ.
since embodied labor is a less comprehensive 19, 219–235.
measure of total cost than embodied energy, Chichilnisky, G., and Heal, G. (1998). Economic returns from the
especially in industrial economies in which capital, biosphere. Nature 391(6668), 629–630.
Ciriacy-Wantrup, S. V. (1963). ‘‘Resource Conservation: Econom-
direct energy, and government expenditures are ics and Policies.’’ Univ. of California Press, Berkeley.
significant components of total cost relative to Clark, C. W. (1973). The economics of overexploitation. Science
labor. 181, 630–634.
346 Value Theory and Energy

Cleveland, C. J., Costanza, R., Hall, C. A. S., and Kaufmann, R. Hicks, J. R. (1939). ‘‘Value and Capital: An Inquiry into Some
(1984). Energy and the U.S. economy: A biophysical perspec- Fundamental Principles of Economic Theory.’’ Oxford Univ.
tive. Science 225, 890–897. Press, London.
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‘‘Biodiversity’’ (E. O. Wilson, Ed.). National Academy Press, racy and public decision-making. In ‘‘Valuing Nature: Econom-
Washington, DC. ics, Ethics and Environment’’ (J. Foster, Ed.), pp. 211–231.
Coote, A., and Lenaghan, J. (1997). ‘‘Citizen Juries: Theory into Routledge, London.
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Costanza, R. (1980). Embodied energy and economic valuation. tion—Some recent Australian developments. Paper presented at
Science 210, 1219–1224. the Pacific Science Conference, Sydney, Australia.
Costanza, R. (2000). Social goals and the valuation of ecosystem Kaufmann, R. K. (1992). A biophysical analysis of the energy/real
services. Ecosystems 3, 4–10. GDP ratio: Implications for substitution and technical change.
Costanza, R., and Herendeen, R. A. (1984). Embodied energy and Ecol. Econ. 6, 35–56.
economic value in the United States economy: 1963, 1967, and Kopp, R. J., and Smith, V. K. (1993). ‘‘Valuing Natural Assets: The
1972. Resour. Energy 6, 129–163. Economics of Natural Resource Damage Assessment.’’ Re-
Daly, H. E. (1992). Allocation, distribution, and scale: Towards an sources for the Future, Washington, DC.
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185–193. 57(4), 777–786.
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Redirecting the Economy toward Community, the Environment Columbia Univ. Press, New York.
and a Sustainable Future.’’ Beacon, Boston. Leopold, A. (1949). ‘‘A Sand County Almanac.’’ Oxford Univ.
Desvouges, W.H., and Smith, V.K. Focus groups and risk Press, New York.
communication: The science of listening to data. Risk Anal. Loewenstein, G., and Prelec, D. (1991). Negative time preference.
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Dryzek, J. S. (1987). ‘‘Rational Ecology: Environment and Political Low, B. S. (2000). ‘‘Why Sex Matters: A Darwinian Look at
Economy.’’ Basil Blackwell, New York. Human Behavior.’’ Princeton Univ. Press, Princeton, NJ.
Ehrlich, P., and Raven, P. (1964). Butterflies and plants: A study in Mitchell, R. C., and Carson, R. T. (1989). ‘‘Using Surveys for
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Fisher, I. (1930). ‘‘The Theory of Interest.’’ Macmillan, New York. preferences: Why ‘‘sovereign’’ preferences may not lead to
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Freeman, M. (1993). ‘‘The Measurement of Environmental and Odum, H. T. (1971). ‘‘Environment, Power and Society.’’ Wiley,
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assessment. Science 192, 101–104. New York.
Vehicles and Their Powerplants:
Energy Use and Efficiency
PHILLIP S. MYERS and DAVID FOSTER
University of Wisconsin at Madison
Madison, Wisconsin, United States

occurs and the products are brought back to the original


1. History of Ground Vehicle Power Plants temperature, with any resulting water being condensed
to liquid.
2. Use Classification of Ground Vehicles
internal combustion engine An engine in which the work-
3. Constraints ing fluid is initially an air-fuel mixture and, after
4. Past Trends combustion and until exhausted, the products of
5. Energy Sources for Ground Vehicles combustion. It is different from an external combustion
6. Prognosis for the Future engine. The maximum work obtainable from a given
7. Considerations and Problems in Reducing amount of fuel is the Gibbs free energy. High
Fuel Consumption temperature is not required to achieve high thermal
efficiency. The Carnot cycle limitation of thermal
efficiency does not apply to an internal combustion
engine. The ideal thermal efficiency for any internal
Glossary combustion engines is 100%.
absolute pressure (P) Pressure measured relative to total internal energy (U) Total energy in a defined closed system.
vacuum—or zero pressure. thermal efficiency (g) The ratio of the work out to the
absolute temperature (T) Temperature measured in Kelvin input fuel HHV.
or Rankine.
Carnot cycle An external combustion engine whose
Rapid transportation of persons and material is a
compression and expansion strokes are ideally accom-
critical component of modern society. Internal com-
plished without heat transfer and for which the heat
addition and rejection processes occur at different but bustion engines, using petroleum as fuel, are the
constant temperatures. The Carnot cycle engine principle energy converter used in transportation.
achieves the maximum theoretical efficiency possible Consequently, transportation is a major consumer of
for an external combustion engine operating between petroleum. Because of increasing use and rapid
the temperatures at which heat addition and heat growth of developing countries, petroleum will
rejection take place. Its thermal efficiency is given by undoubtedly increase in cost and the supply is finite.
Z ¼ (ThighTlow)/Thigh. For a Carnot cycle, or any The desirable results of rapid transportation are
external combustion engine, to achieve an efficiency of accompanied by undesirable air pollution, safety
100% would require that either Thigh ¼ N or Tlow ¼ 0 issues, and other problems. This article reviews the
(absolute zero).
past trends of emissions, fuel economy, and safety
enthalpy (H) Defined as H ¼ U þ PV.
together with customer preferences as well as techni-
entropy (S) A measure of disorder.
external combustion engine An engine in which heat ques for minimizing the amount of petroleum needed
transfer from combustion occurring outside the engine to continue to meet society’s desires for mobility.
is transferred across the boundary of the system to the
working fluid of the engine (e.g., a steam engine).
1. HISTORY OF GROUND VEHICLE
Gibb’s Free Energy (G) Defined as G ¼ HTS.
heat (Q) Energy transferred across the boundary of a POWER PLANTS
system because of a temperature difference.
higher heating value (HHV) Heat transferred out of a Humans have always valued the capability of
constant pressure system in which complete combustion transporting themselves and possessions to desired

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 347
348 Vehicles and Their Powerplants: Energy Use and Efficiency

locations. Although wind power was used exten- fundamentally incorrect. It should also be clear that
sively for water transportation, personal transporta- for both internal and external combustion engines,
tion was initially human powered. However, it was inevitable irreversible processes, such as friction
soon recognized that the augmented power available (mechanical and fluid) and heat transfer to combus-
by using animals increased the distance that could be tion chamber walls, will occur that decrease system
covered in a given time. During this period of thermal efficiency.
development, horses became the most commonly
used animal, hence the term horsepower. Fundamen-
tally, the basic energy conversion process to develop 2. USE CLASSIFICATION OF
this power was low-temperature, catalytic oxidation GROUND VEHICLES
of combustible material (i.e., food).
As technological capability increased, it became Transportation energy is responsible for 65% of all
increasingly feasible to use high-temperature oxida- petroleum usage in the United States. Riley shows
tion (combustion) as the source of transportation that personal transportation vehicles consume more
energy. Suzuki shows a drawing, made by Huygens than half of this petroleum (i.e., light-duty, personal
in 1673, of a primitive gunpowder internal combus- transportation vehicles account for more than 35%
tion engine. Also shown is the Newcomen steam of the nation’s total consumption of petroleum and
engine (1712), an external combustion engine. Each are the largest consumers of transportation fuel in
type of energy converter underwent successive the United States) (Fig. 1). Due to the current low
development. The internal combustion engine, with price of gasoline, market forces provide little
its combination of high thermal efficiency and low incentive to reduce fuel consumption of light-duty
weight per unit of power, has become the dominant vehicles. However, competitive market forces pro-
choice for powering transportation vehicles. The vide strong incentives to minimize fuel consumption
manufacture of internal combustion engines for in the remaining sectors shown Fig. 1: freight trucks,
automobiles, boats, airplanes, trains, small power air transport, marine, and rail. As discussed in the
units, etc. is one of the largest industries in the world. Wall Street Journal (May 14, 2002), definitions of a
light-duty vehicle differ. Furthermore, it is not clear if
1.1 Thermodynamics small users of petroleum (i.e., agriculture, construc-
tion, lawn maintenance, recreation, etc.) are included
Thermodynamics, using ideal reversible processes, in the data depicted in Fig. 1. This article focuses
establishes the upper limit for the useful work that primarily on light-duty vehicles (i.e., cars and light-
can be obtained from a given quantity of fuel and air. duty trucks).
The upper limit of efficiency for an external
combustion engine is temperature dependent,
whereas the upper limit for an internal combustion 3. CONSTRAINTS
engine is 100% (i.e., an internal combustion engine
can theoretically convert all of the heating value of Transportation vehicles are sold in a competitive
the fuel into work). market. However, for reasons of environmental
impact, public health, and safety, government
1.2 External and Internal
Combustion Engines 23% Freight trucks

The thermodynamic processes involved in external


combustion engines and internal combustion engines
are fundamentally different. The practical signifi-
cance of this difference is not generally realized. For
simplicity, most engineering thermodynamic texts do
15% Air transport
not make this distinction clear. For example, the
internal combustion engine is often analyzed as if it
were an air standard Otto cycle, which is an external 6% Marine
combustion engine with heat added and rejected at 53% Light-duty vehicles
constant volume. In some situations, this can aid in 2% Rail
understanding, but it is a simplification that is FIGURE 1 U.S. transportation energy consumption, 1990.
Vehicles and Their Powerplants: Energy Use and Efficiency 349

regulations, which must be met before vehicles can 3.1.3 Fuel Economy
be sold, have been imposed. Often, these regulations There are many interactive parameters that influence
result in attributes of the vehicle that are not part of a vehicle’s fuel economy. U.S. consumers are fami-
the consumer’s criteria for purchasing the vehicle. liar with the term miles per gallon to express fuel
economy. However, the inverse of miles per gallon,
the volume of fuel consumed per unit distance, is
3.1 Government Constraints
the most useful for analysis purposes. Note that
There are numerous government-imposed, regula- there is a nonlinear, inverse relationship between the
tory constraints on the light-duty fleet. The most two expressions. Europe’s future vehicle fuel econ-
significant regulations embody interrelated aspects of omy goal is 3 liters of fuel per 100 kilometers
a vehicle’s operation: emissions, safety, and fuel traveled.
economy. The standard fuel consumption parameter used
for engines, brake-specific fuel consumption, is the
3.1.1 Emissions amount of fuel required to produce one brake
Four gaseous emissions from the engine are of horsepower-hour, or kilowatt-hour, of work. An
primary concern for both gasoline and diesel engines: analogous expression for vehicle fuel consumption
unburned or partially burned fuel, in both vapor and of cars or light trucks would be gallons/vehicle ton/
solid form; nitrogen–oxygen compounds, which are mile––that is, the gallons of fuel required to move a
formed in the cylinder during high-temperature 1-ton vehicle 100 miles). Obviously, it will take twice
combustion; carbon monoxide (CO); and carbon as many gallons to move a 2-ton vehicle 100 miles
dioxide (CO2). These emissions enter the atmosphere than it will to move a 1-ton vehicle 100 miles. Figure
via the vehicle exhaust. Reduction of pollutants in 2 presents this data for 2000 and 2001 model year
the engine exhaust, except for CO2, is the primary cars and light trucks. Vehicles of the same weight can
control technique for reducing emissions. Carbon have engines with major differences in power,
dioxide, which is directly related to the fuel performance, and fuel economy. Consequently, for
consumed, is increasingly being viewed as a pollutant vehicles of the same weight, significant differences in
because of its impact as a greenhouse gas. Vehicle fuel consumption (i.e., vertical spread in Fig. 2) can
emissions are measured on a chassis dynamometer be expected. The current system to regulate fuel
that is loaded, in steps, to represent different vehicle consumption of light-duty transportation vehicles in
weights. The vehicle is operated over a specific the United States is the corporate average fuel
driving cycle and emissions and fuel consumption are economy (CAFE). Vehicles sold by a given manu-
measured. Different countries have different driving facturer are divided into two groups––cars and light-
cycles. For a given vehicle classification, regulations duty trucks. Currently, the sales-weighted average
are typically expressed in mass of pollutant emitted fuel economy of all cars sold by a given manufacturer
per unit distance driven. The driving cycle requires must be 27.5 miles per gallon or higher, whereas the
engine operation over a variety of speeds and loads. sales-weighted average fuel economy of all light-duty
This variation of operating conditions changes the trucks sold by a given manufacturer must be 20.7
engine’s exhaust gas temperature and exhaust con- miles per gallon or higher. Failure to meet these
stituents. Confounding the situation, the variations standards results in significant penalties.
in exhaust gas temperature and constituent composi-
tion during the driving cycle will be different for
3.2 Customer Preferences
different types of engines (e.g., a compression
ignition and a spark ignition engine). To be saleable, cars and light trucks must meet
customer desires. Customer preferences are ob-
3.1.2 Safety viously affected by the cost of desired amenities
There are many regulations on vehicle and occupant and by current trends. At current U.S. fuel prices,
safety. Achieving vehicle occupant safety is difficult fuel economy is not a high-priority consumer item.
and is affected by many factors, including road In contrast, in Japan and Europe, where fuel prices
characteristics; multiple- or single-vehicle collisions; are two to four times higher than those in the United
vehicle weight, design, structure, and maneuverabil- States, fuel economy is much more important to the
ity; driver experience, mood, use of alcohol, distrac- consumer. The trends in consumer choices of
tion, use of safety constraints such as seat belts; solid vehicles in these countries reflect this difference in
objects within the vehicle; and occupant resiliency. priorities.
350 Vehicles and Their Powerplants: Energy Use and Efficiency

10
9

LSFC, gallons/ 100 miles - tons of


8

passengers plus cargo


7
6
5
4 Cars Trucks
Premium small Comp van
3 Entry small STD PU
Midsize Small SUV
2 Near luxury midsize Comp SUV
Luxury midsize Luxury comp SUV
Large Large SUV
1 Luxury large
Average
0
2000 2500 3000 3500 4000 4500 5000 5500
Weight, lb
FIGURE 2 Weight-specific fuel consumption versus weight for all vehicles.

4. PAST TRENDS 2 Current standards

Nitrogen oxides (grams per mile)


Final tier 2 standards
4.1 Emissions
1.5
Vehicle emissions have been of concern since the
early 1950s when a California researcher determined
that traffic was to blame for the smoggy skies over 1
Los Angeles. At that time, typical new cars were
emitting nearly 13 g of hydrocarbons per mile, 3.6 g
of nitrogen oxides per mile, and 87 g of CO per mile. 0.5
Since then, the federal government has set increas-
ingly more complex and restrictive standards to
reduce these pollutants. Figure 3 shows the current 0
standard for nitrogen oxides as well as the tier 2 LDT1 LDT2 LDT3 LDT4
standard. It is clear that dramatic reductions in GVW
emissions have been achieved from the vehicles of the Cars and Large SUVs, vans
early 1950s, but there is still work to be done to meet small trucks and trucks
the tier 2 standards. FIGURE 3 Comparison of current vehicle emission standards
for nitrogen oxides and final tier 2 standards.

4.2 Safety
and interaction between the factors causing traffic
Numerous factors influence safety: vehicle design deaths (two-vehicle crashes, single-vehicle crashes,
including mass, maneuverability, passenger re- vehicle–pedestrian crashes, vehicle–fixed-object
straints, driver age, driver sobriety, peripheral crashes, intoxication, speed, etc.) preclude simple
distractions, etc. Also significant are traffic design conclusions and result in disagreement between
factors, such as traffic control lights, merging authorities in the field.
lanes, and speed limits. Figure 4 summarizes the
history of death rates for vehicle crashes between
4.3 Fuel Economy
1950 and 1998 using three different normaliza-
tions. The lower curve (death rate per million From a national standpoint, fuel economy can be
population) initially exhibits a small increase fol- expressed in many different ways: per vehicle; per
lowed by a continuing small decrease. The other two class of vehicle, car or light truck; a sales-weighted
curves, the death rate per million vehicles and the average for vehicles of a given classification from a
death rate per 10 million miles traveled, show given manufacturer; etc. For regulation purposes, the
significant decreases over time. The complexity of U.S. federal government uses the fuel consumption
Vehicles and Their Powerplants: Energy Use and Efficiency 351

800 MPG Top speed Hp

700 2.00 Hp/Ib Weight


Per million vehicles
Per 10 billion miles
600 Per million population

500 1.50
Rate

400

300
1.00
200

100
0.50
0
50
54
58
62
66
70
74
78
82
86
90
94
98
19
19
19
19
19
19
19
19
19
19
19
19
19
Year 0.00
1975 1980 1985 1990 1995 2000
FIGURE 4 Motor vehicle crash death rate.
Index: 1975 = 1.0
FIGURE 6 Trends in fuel economy-related characteristics of
passenger cars, 1975–2000.
35.0
30.0
MPG Hp Hp/Ib
Miles per gallon

25.0
New cars 2.00 Top speed Weight
20.0 On-road cars
New lt. trucks
15.0
On-road trucks
10.0
1.50
5.0
0.0
1965 1971 1977 1983 1989 1995 1.00

FIGURE 5 Fleet fuel economy of new and on-road passenger


cars and light trucks.
0.50

results obtained from the emission-measurement


test cycle. Figure 5 shows the history of fleet fuel 0.00
economy for cars and light trucks as well as their on- 1975 1980 1985 1990 1995 2000
road fuel economy. The difference between chassis- Index: 1975 = 1.0
measured fuel economy and on-road fuel economy is FIGURE 7 Trends in fuel economy-related characteristics of
significant. Figure 6 also shows trends in fuel light trucks, 1975–2000.
economy-related characteristics of passenger cars,
whereas Fig. 7 shows the fuel economy trends for
light trucks. In both cases, miles per gallon has been (the ‘‘both’’ curve in Fig. 8) has decreased during the
relatively constant, probably reflecting the fact that past decade.
the CAFE requirements have not changed. It is worth
noting that horsepower/pound, or kilowatts/kilo-
4.4 Customer Preferences
gram, has increased more rapidly for passenger cars
than for light trucks, and weight has remained Customer preferences, expressed at the time of
relatively constant for cars but increased slightly for purchase, depend on many factors and cover a range
light trucks. Figure 8 illustrates a different aspect of of costs. The time interval over which consumer
fuel economy, total fleet fuel economy. As shown in preferences change varies from a few years to more
Fig. 8, the percentage of light trucks, which consume than a decade. These preferences may be in contrast
more gallons per mile (or liters per kilometer) than to general goals targeted by regulations. For exam-
cars, has increased significantly in the past two ple, consider vehicle volume. Figure 9 shows
decades. Consequently, the total fleet fuel economy car interior volume for domestic (United States),
352 Vehicles and Their Powerplants: Energy Use and Efficiency

Adjusted 55/45 MPG Percent truck Percentage change from 1970


30 100%

30

25 75%
Cars
20
Both

20 50%
Trucks
10

15 25%
Percent truck 0
1971 1975 1980 1985 1990 1993
FIGURE 10 The increase in technical efficiency in new U.S.
10 0% passenger cars, model years 1971–1993.
1970 1975 1980 1985 1990 1995 2000
Model year
FIGURE 8 Miles per gallon versus model year of cars and light 30
trucks and light truck percentage of sales.
28
26
EPA volume (cu. ft.) 24
Combined car and light truck
130 22
MPG

Large 20
18
120 16
Domestic
Midsize 14
12
110
All
10
Compact
1975
1977
1979
1981
1983
1985
1987
1989
1991
1993
1995
1997
1999
100
FIGURE 11 Fuel economy history of combined car and light
European
truck.
Subcompact
90
Asian expressed as the time, in seconds, to go from 0 to 60
miles per hour. High acceleration is of special
80
Minicompact interest when passing or merging. However, there is
1970 1975 1980 1985 1990 1995 2000 a trade-off between acceleration and fuel economy.
Model year There have been significant increases in technical
FIGURE 9 Car interior volume as a function of time. fuel efficiency in new U.S. passenger cars (Fig. 10).
However, this increase in technical efficiency has
not necessarily translated into decreased fuel
European, Asian, and all as a function of model year.
consumption.
The volume of domestic cars remained essentially
To quote John German of Honda,
constant, whereas the volumes of European and
Asian cars increased significantly. This increase There is a misconception that vehicle manufacturers have
reflects changes in vehicle sales. Initially, the foreign not introduced fuel-efficient technology since the mid-
1980s. This is understandable, as the car and light truck
vehicles sold were compact or smaller vehicles; the
CAFE have remained constant for the past 15 years and the
progression in size simply reflects the strong U.S. combined fleet has gone down due to increasing light truck
market demand for high interior-volume vehicles. market penetration as shown in Fig. 1 [Fig. 11]. However,
Another example is vehicle acceleration, typically there has been a substantial amount of fuel efficiency
Vehicles and Their Powerplants: Energy Use and Efficiency 353

technology introduced in this time period. Some examples When considering vehicle trends, it is imperative to
for the entire car and light truck fleet from EPA’s 2000 distinguish between individual and fleet trends. For
‘‘Fuel Economy Trends’’ are shown in Fig. 2 [Fig. 12]. example, Figs. 6 and 7 show vehicle weights remain-
However, this new technology has been employed more to
respond to vehicle attributes demanded by the marketplace ing relatively constant with time. A different picture
than to increase fuel economy. Over the past two decades is obtained when the sales fraction of vehicles is
consumers have insisted on such features as enhanced included. Environmental Protection Agency data
performance, luxury, utility, and safety, without decreasing (Figs. 15 and 16) show a clear customer preference
fuel economy. Figure 3 [Fig. 13] shows the changes in for cars and light trucks that are heavier. A similar
vehicle weight, performance, and proportion of automatic
transmissions since 1980 in the passenger car fleet. It is
picture is obtained when examining fuel economy;
clear that technology has been used for vehicle attributes that is, a higher percentage of customers are
which consumers value more highly than fuel economy. purchasing new vehicles in the light truck category,
Figure 4 [Fig. 14] compares the actual fuel economy for cars resulting in a decrease in total fleet fuel economy
to what the fuel economy would have been if the even though the fuel economy standards for both
technology were used solely for fuel economy instead of
performance and other attributes. cars and light trucks have remained constant.

MPG
38
1981 wts, accel,
100% 36 and % maunal
Lock-up torque converter
90% 34
1981 wts
80% 32 and accel
Port fuel injection
30
70%
28
60% Actual data
26
50%
24
40%
22
30%
4-valves/cyl 20
20% 80 82 84 86 88 90 92 94 96 98 00
19 19 19 19 19 19 19 19 19 19 20
10%
FIGURE 14 Fuel economy that could have been obtained if
0% advanced technology had been used to increase fuel economy.
1980 1985 1990 1995 2000
FIGURE 12 Examples of efficiency technology introduced
Sales fraction
since 1980.
100%
<2500

35 3500 80%
Weight

2750
30 3000
60% 3000
MPG
25 2500
% manual 40%
20 2000 3500

15 1500 20%
0−60 time
4000
10 1000 >4000
0%
80 982 984 986 988 990 992 994 996 998 000
19 1 1 1 1 1 1 1 1 1 2 1975 1980 1985 1990 1995 2000
Model year
FIGURE 13 Changes in vehicle weight, fuel economy, propor-
tion of automatic transmission, and acceleration time since 1980. FIGURE 15 Changes in inertia weight class of cars with time.
354 Vehicles and Their Powerplants: Energy Use and Efficiency

Sales fraction with time. Note also that the average annual miles
100% driven per car in the United States has increased
<3500 slightly with time. Figure 19 suggests that there is a
relationship between taxation rate and per capita
80% consumption of petroleum.

3500
60% 5. ENERGY SOURCES FOR
4000
GROUND VEHICLES
40% Essentially all cars and light trucks have internal
4500 combustion engines using petroleum as their primary
energy source. Optimum performance of a given type
20% of internal combustion engine is achieved when fuel
5000
characteristics are optimized for that type of engine
>5000
(e.g., diesel fuel, jet fuel, and gasoline).
0% All aspects of providing fuel to the vehicle must be
1975 1980 1985 1990 1995 2000 considered. Because the fuel is necessarily combus-
Model year tible, fire and explosions during production, storage,
FIGURE 16 Changes in inertia weight class of light trucks with
distribution, and use are a common concern. Appro-
time. priate safeguards and distribution procedures must
be followed. These are not without cost. In addition
to the emissions from the vehicle, emissions during
Millions of barrels per day fuel procurement, modification, and use are also of
25
concern. Consequently, to obtain a true picture of the
global impact of using a particular fuel, engine, and
20
vehicle combination, the ‘‘well-to-wheels’’ assess-
ment, as described by Louis, should be used in all
15 Net imports efficiency and emission analyses. For example, an
10
electric vehicle is not truly a zero emission vehicle.
Generating the electricity to charge the batteries is
Domestic oil production
5 not without environmental impact.
Alaska
A vehicle’s range depends on both the overall
0
Other* operational efficiency of the vehicle and the amount
1950 1960 1970 1980 1990 2000 2010 2020 of energy that can be stored onboard as fuel. To
Year satisfy current consumer demands, energy density of
the fuel used in the vehicle must be sufficiently high to
FIGURE 17 U.S. oil import trends. *Natural gas liquids and
yield a vehicle driving range in the hundreds of miles
other.
with an acceptable size and weight of the fuel storage
tank. Figure 20 shows large differences in required
4.5 Fuel Availability and Cost tank volume and weight between different ‘‘energy
carriers’’ (i.e., fuels). Although some progress has
to Consumer
been made, Fig. 20 illustrates one of the reasons why
The United States has been the largest consumer of vehicles using batteries for energy storage have had
petroleum-based transportation. Prior to the past limited success in the marketplace. Hybrid vehicles,
decade or two, the discovery of new petroleum which accomplish battery recharging via engine and
resources in the United States kept pace with the wheel generators, overcome this limitation and show
increased usage. However, as shown in Fig. 17, an significant improvement in fuel economy. They are in
increasing amount of the petroleum used in the limited production. However, with today’s gasoline
United States has been supplied by importation; it prices in the United States, they are not cost-effective.
appears that this trend will increase with time. As As another example, solar energy falling on 1 m2 is
shown in Fig. 18, the cost of gasoline to the con- approximately equal to 1 horsepower (0.745 kW).
sumer, expressed in constant dollars, has decreased Consequently, if solar energy is to be used extensively
Vehicles and Their Powerplants: Energy Use and Efficiency 355

Thousands of miles traveled per car 1987 dollars per gallon


12 3.00

2.50
10
2.00
$1.75

8 $1.32 1.50
$1.19
$1.03
$1.09 1.00
6 $0.90
$0.97
0.50
Miles driven Leaded Unleaded

4 0.00
1945 1950 1955 1960 1965 1970 1975 1980 1985 1990
FIGURE 18 Real gasoline prices and annual miles driven per car, United States.

2000
Consumption=777−1223 (tax) + 0.0245 (income)
1750 USA (t = −3.55) (t = −1.37)

1500

CAN
1250

AST
1000
NZE
SWI
750 NOR SWE
GER UK
500 DEN
JPN BEL IRE ITY
AUS POR
250
SPN NTH
TUR
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Motor fuel tax in U.S. dollars per liter
FIGURE 19 Relationship between motor fuel consumption and tax rates.

5300 1590 kg fuel economy. For example, California passed a law


124
1182 similar to other exhaust emission restrictions, limit-
76 88
Weight 46 46 ing the permissible output of greenhouse gases per
60 103 121 350 630 2040 14301
Volume 67 unit distance. Decreases in fuel consumption are the
most obvious way to meet such a regulation.
Lead battery
Low temp. −
hybrid Ti Fe
Cryogenic

Whether the law will stand up in court is not known.


Methanol

Sodium−
Ethanol

storage

battery
sulfur

However, the implication of the regulation in


Gasoline Diesel Hydrogen Electricity
question is clear: Reduce CO2 emissions via reduced
Alcohol
fuel fuel consumption.
FIGURE 20 Tank volume and weight required for various
energy carriers based on 55 liters of gasoline. Source: Sieffert and 6. PROGNOSIS FOR THE FUTURE
Walzer (1990).

6.1 Maximum Fuel Energy


for transportation, energy conversion and storage will
be essential elements.
Recoverable as Work
Increasing concern about greenhouse gas emis- As indicated previously, when using an internal
sions may result in additional legislation affecting combustion engine the maximum fuel energy that
356 Vehicles and Their Powerplants: Energy Use and Efficiency

can be theoretically converted to work is the Gibbs vehicle is moving via the transmission, generator/
free energy, which for hydrocarbon fuels is approxi- alternator, water pump, amenities, etc. The magni-
mately equal to heating value of the fuel. In today’s tude of these expenditures is shown in Fig. 22.
transportation market, the only engines used, or Fuel consumption is determined by the integrated
proposed for use, are internal combustion engines. operation of the total system. It should be empha-
Consequently, the thermodynamic efficiency of all sized that the components of the system are inter-
transportation engines is computed as the ratio of the active. How the functions of these components are
work obtained from the engine to the energy content achieved in future vehicles may be impacted by new
of the fuel consumed to obtain that work, which is technologies. The subsequent impact on fuel con-
the heating value of the fuel: It has a maximum sumption will be dependent on how the interaction
theoretical value of 100%. This is true for diesels, of the various components is integrated, the extent to
spark ignition engines, fuel cells, humans, animals, which consumer desires continue along current
etc. Irreversibilities that naturally occur in all real trends, and how manufacturers choose to implement
processes decrease the thermodynamic efficiency the capabilities of the new technology. To make
actually obtained. projections of potential fuel economy gains requires
assessing these trends and will be subject to
significant engineering judgment. Comparisons of
6.2 Where Fuel Energy Is Used, more detailed estimations are presented later.
Reductions and Recovery
Figure 21 illustrates that fuel consumption is a result
of the system efficiency and road load. The system hp kW
efficiency is determined by the power plant and the 6 4.46
Air conditioner
driveline, which consists of the transmission and the
final drive gear. Fuel is consumed and power is 5 3.72
Water pump
produced in an internal combustion engine (gasoline, and fan
4 2.98
diesel, fuel cell, etc.). A transmission (mechanical,
electrical, hydraulic, etc.) and final drive are used, 3 2.23
insofar as possible, to match the operation of the
Power steering
power plant to its optimum efficiency for each of the 2
Alternator
(30 amp)
1.49
widely varying power requirements demanded during
the driving cycle. In addition, power is also needed 1 0.74
Water pump only
for consumer-demanded amenities. The road load of
the vehicle includes aerodynamic drag, rolling resis- 0
1000 2000 3000
tance, and weight resulting in inertia. A vehicle must
Engine rpm
be moving to experience a road load. However,
system power can be expended whether or not the FIGURE 22 Accessory power requirements (full-size sedan).

Standby Accessories Aero


17.2 (3.6)% 2.2 (1.5)% 2.6 (10.9)%

Rolling
4.2 (7.1)%
18.2% 12.6%
Fuel 100% Engine D/L
(25.6%) (20.2%)

Inertia

Driveline losses Braking


Engine losses
5.6 (5.4)% 5.8 (2.2)%
62.4 (69.2)%
Urban (highway)

FIGURE 21 Energy flow diagram for a midsize car. Source: DOE (1994).
Vehicles and Their Powerplants: Energy Use and Efficiency 357

6.2.1 Power Plant different speed-torque maps than do spark igni-


The power plant (engine) in Fig. 21 converts fuel tion engines. Figure 25 shows the relationship
energy into useful work to power the vehicle and between the equivalent of brake thermal efficiency
customer-desired amenities. In a reciprocating en- and load for a fuel cell. Notice that the efficiency of
gine, the work delivered to the top of the piston is the fuel cell declines significantly as the load
called indicated work. The work ultimately deliv- increases. This is opposite the behavior of a typical
ered to drive the wheels is less than the indicated spark ignition engine, whose efficiency increases
work because work is required to pump gases (air, with load.
fuel, and exhaust) into and out of the engine, During operation of the engine, fuel consumption
overcome the friction of the engine, drive compo- can be decreased by increasing indicated efficiency or
nents, and drive amenities (Fig. 22). Figure 23 shows decreasing ancillary losses, such as rolling resistance,
that for gasoline engines the maximum brake aerodynamic drag, or accessory power consumption.
thermal efficiency achieved has increased with time. Fuel consumption can also be decreased at constant
However, engines used in transportation vehicles brake thermal efficiency. For example, essentially
necessarily work over a wide range of loads and instantaneous engine starting is being introduced.
speeds, with subsequent variations in brake thermal This permits automatically turning off and restarting
efficiency. This can be seen in an engine map as the engine during stops, coasting, etc. This does not
shown in Fig. 24. Diesel engines typically have change the efficiency of the engine when it is
higher maximum brake thermal efficiencies and operating, but it does decrease fuel consumed during
the driving cycle, and it also results in lower values of
integrated emissions.
Maximum brake thermal efficiency

40% One of the reasons the indicated efficiency of the


V8
diesel engine is higher than that of the spark ignition
L6
35% V6
engine is because its pumping losses are lower.
L4
Variable valve timing in spark ignition engines may
H2 be able to offset some of these pumping losses. Valve
30%
timing can be varied to increase indicated efficiency
in a variety of ways. The engine can be run as a
25%
variable displacement engine (displacement on de-
mand). All cylinders are active (large displacement)
20% for high load operation, whereas some cylinders are
1930 1940 1950 1960 1970 1980 1990 2000
deactivated (smaller displacement) for lighter load
Year operation.
FIGURE 23 Brake thermal efficiency of gasoline engines.

1.5 1.0
Thermodynamic
Intrinsic
reversible cell
Power maximum
potential (E) efficiency
The ideal cell potential - current relation
Cell potential losses due to
activation overpotential
Cell potential, volts

(lack of electrocatalysis) Linear drop in cell


1.0 potential mainly due to
l n
fue itio ohmic losses in solution
um ond 0.32 Brake thermal efficiency
Shaft torque

tim ncy c between electrodes


p
O icie
eff 0.5
0.3
0.28
0.26
0.24 0.5 Mass transport
0.22 losses cause of
0.20 0.18
decrease of cell
0.16
potential to zero

Idling
0
0 0
1000 2000 3000 4000 5000 6000 0 0.5 1.0
Engine speed (rpm) Cell current, amperes
FIGURE 24 Engine brake thermal efficiency map for gasoline FIGURE 25 Typical plot of cell potential vs current for fuel
engines. cells.
358 Vehicles and Their Powerplants: Energy Use and Efficiency

Improved surface finishing of engine parts permits bar Economy


gear
use of lower viscosity lubricants to reduce engine

Mean effective pressure


friction. Ringless carbon pistons are claimed to have 8 CVT
4th G.
min
lower weight, a lower coefficient of thermal expan- BSFC
sion, and reduced friction. However, the introduction 6
of new technologies can result in some detriments as
well as benefits. For example, the more sophisticated 4
3rd G.
valve mechanisms, which allow variable displace- 90 km/h

ment operation, may result in higher frictional loads 2


and more weight than the simpler valve trains they 2nd G.

replace. This increased friction and weight would be 0


1st G.

a detriment and would have to be evaluated against 0 2000 4000 6000


the benefit achieved. As mentioned previously, trends Engine speed min −1
in consumer demand also play a role. Accessory
loads have continued to increase with time: We are FIGURE 26 Engine map showing the line for a continuously
variable transmission.
demanding more amenities in our vehicles.

6.2.2 Transmission
The transmission (driveline) in Fig. 21 is intended 1600 kg curb weight-1.86 m² curb weight
0.008 rolling resistance coefficient-0.30 aerodynamic drag coefficient
to permit the engine to operate at a speed that will
give minimum fuel consumption while still delivering kW
the desired torque. This is accomplished by ‘‘step- 45
ping’’ through different ratios of engine speed to
wheel speed (i.e., permitting the engine to operate as 30
closely as possible to the minimum fuel consump-
tion points on the engine map; Fig. 24). A large 22.5
number of transmission steps provides the flexibility
for a better match (i.e., lower fuel consumption) but 15
may result in undesirable shifting patterns when the
load is changed suddenly. Today’s transmissions 7.5
typically have three to five steps. The efficiency of
manual shifting transmissions is quite high but
requires active participation of the driver in deter- km/h 0 15 30 45 60 75 90 105 120 135 160

mining shift points and therefore performance. The Rolling resistance Aerodynamic drag
inclusion of a torque converter and automatic
FIGURE 27 Steady-state road load of a full-size car.
shifting improves consumer-demanded performance
but may increase fuel consumption slightly. Con-
tinuously variable transmissions (CVTs) have, in
concept, an infinite number of steps, but current Weight = 1361 kg Frontal area = 0.84 m²
designs tend to be power limited. Figure 26 illustrates 60
how a CVT permits engine operation to minimize
Percentage of total work

fuel consumption. 50

40
6.2.3 Aerodynamic Drag and Rolling Resistance
The road load is the power required to move the 30
vehicle down the road. Figure 27 shows a representa- 20
tive proportioning of the road load between aero-
10
dynamic drag, rolling resistance, and inertia for both
city and highway driving. The aerodynamic drag 0
and rolling resistance portions of the road load U.S. city U.S. highway
increase with speed. Figure 28 shows the energy from
Aerodynamic drag Rolling resistance Inerita
the fuel needed to overcome aerodynamic drag and
rolling resistance. This energy is dissipated and not FIGURE 28 Driving cycle load comparisons.
Vehicles and Their Powerplants: Energy Use and Efficiency 359

recoverable as work. Consequently, efforts must be vehicle’s kinetic and potential energy through regen-
made to minimize aerodynamic drag and rolling erative braking. However, the rate of charging
resistance. Throughout the years, the rolling resis- required to capture the electricity that is being
tance of tires has been reduced, but there are trade- produced by regenerative braking often exceeds
offs: Wear, traction, ride, etc. may be compromised. current battery capabilities. The noncaptured energy
Aerodynamic drag, which varies as the square of the must be dissipated by the brakes and is lost.
speed, has been reduced over time in some vehicles Exchange efficiencies are low for batteries (approxi-
(Fig. 29). However, in advanced vehicles aerodynamic mately 50%). Hydraulic storage exchange efficien-
drag seems to be close to minimum values. Consider- cies are higher (85–90%), but energy storage
ing the current price of gasoline, and that a significant densities are as much as an order of magnitude less
fraction of public driving is at low to moderate than for batteries.
speeds, the interaction between design characteristics There is potential for a safety problem with hybrid
of minimum drag vehicles and other desired consumer vehicles, particularly if the power derived from the
characteristics such as interior volume provides little temporary energy storage is a large fraction of the
incentive to reduce drag further. total engine plus stored-energy power system. For
example, performance in critical situations such as
6.2.4 Inertia Weight passing on a long hill, when the temporary energy
Additional fuel is consumed when the kinetic or storage is nearly depleted, could be a safety problem.
potential energy of the vehicle is increased. This
occurs when accelerating or climbing a hill. Assum- 6.2.6 Estimates of the Costs of Reducing
ing reversible storage and recovery, this energy could Fuel Consumption
theoretically be completely recovered and stored for Integrating new technologies into a vehicle to reduce
future use. This would be accomplished by convert- fuel consumption must be cost-effective and accep-
ing the vehicle’s potential or kinetic energy into table to consumers. As seen in Fig. 21, the propulsion
electrical energy and storing the electricity in a system is complex and must meet a number of
battery, for example. This is one of the ways in which constraints. It must operate over a driving cycle in
fuel consumption is reduced in a hybrid car. which vehicle speed and load vary widely; meet
mandated, increasingly restrictive emission and safety
6.2.5 Onboard Energy Storage standards; and meet customer needs and desires
Gasoline and diesel fuels have very high-energy (fads), etc. The ideal first step in choosing potential
storage densities (Fig. 20). For electric energy, the new technologies would be to mathematically esti-
energy storage density is highest for advanced mate reductions in fuel consumption using these
batteries but still not comparable with gasoline technologies when the vehicle is ‘‘driven’’ over the
(Fig. 20). Electric hybrid vehicles try to overcome appropriate test cycle and then estimate the cost of the
storage density limitation by retaining gasoline, or new or revised propulsion system. However, perfor-
diesel fuel, as the primary energy storage media. mance of new system components is almost inevitably
Electricity generation, with temporary storage, oc- not well defined, especially when projecting into the
curs on the vehicle along with recapturing the future. Production numbers and costs estimates for
new systems are estimates. Consequently, it is not
Drag coefficient CD surprising that fuel economy and cost estimates for
0.50
proposed future vehicles differ widely.

VW1200
VW 411 Audi 80
Passat
The ideal, but impractical, approach to predicting
0.45 Polo
potential fuel economy gains would be to construct a
Scirocco Passat Polo

0.40
Golf Audi 100
Audi 80
Audi 80 Coupé
Audi 100 Formel E
Polo'Coupé
complete, detailed mathematical model of the vehicle
Golf Formel E
Passat
Scirocco/Polo Polo Passat
Passat Jetta
and its proposed propulsion system and drive the
0.35
VW - IRVW II
Formel E Golf
Audi 100 Avant Passat Variant
vehicle over the test cycle. A less precise method is to
Audi 100 Corrado
0.30 Audi − Passat
use a multiplicative technology menu approach. The
Research cars Audi 80
BMFT
literature reports many such approaches, and the
0.25 Scooter
VW - BMFT
results obtained span a range of predicted fuel
0 consumption reductions. Most studies conclude that
1965 1970 1975 1980 1985 1990 Model year there is a clear technical potential to significantly
FIGURE 29 Drag coefficient improvements made over the reduce fuel consumption of light-duty cars and
years (VW–Audi models). trucks.
360 Vehicles and Their Powerplants: Energy Use and Efficiency

TABLE I Performance
and
Comparison of Performance Characteristics between the Reliability usable space Comfort
Aluminum Cow and a Stock Taurus
Automobile Safety
Aluminum cow Stock taurus acceptance

Fuel economy (mpg) 65 25


Traffic in Noise
Weight (lbs) 2800 3400 urban areas

1/8-mile acceleration event (s) 10.7 11.2


Fuel
consumption Emissions
Cost

As further evidence of the technical potential to


FIGURE 30 Interrelationships between requirements for an
reduce fuel consumption, consider the results of a automobile.
competition. In 1998 and 1999, the Society of
Automotive Engineers sponsored a student competi-
tion to achieve low fuel consumption. A team of 2014 Sierra Res. NRC 2001 mid
2020 MIT NRC 2001 upper
student engineers assembled the ‘‘aluminum cow’’ ACEEE-Advanced NRC 2001 lower
using a 1994 Ford Taurus aluminum body and a 2013-15 EEA EEA w/o wgt
diesel–electric hybrid. Table I lists comparative
performance characteristics between the aluminum $5000
cow and a stock Taurus.
However, as discussed previously, the manufac- Retail price increase $4000
turer of a vehicle must take into account many other
factors that were not part of the competition, such as $3000
incremental cost of the vehicle, environmental
impact of its manufacture, sales appeal, and safety. $2000

$1000
7. CONSIDERATIONS AND
PROBLEMS IN REDUCING $0
FUEL CONSUMPTION 0 5 10 15 20 25
Increase in MPG
The inherent advantages of current internal combus- FIGURE 31 Passenger car fuel economy cost curves from
tion engines (diesel, spark ignition, or fuel cell), make selected studies.
these engines preferable energy converters for perso-
nal mobility purposes. It is technically possible to the U.S. price, approximately half of new cars sold
achieve significant improvements in the fuel economy use diesel engines. Diesel sales in the United States
of cars and light trucks using internal combustion are essentially zero. Proposed U.S. 2007 automotive
engines. However, there is no simple or definitive path particulate (smoke) regulations are significantly more
to be followed to get more fuel-efficient vehicles into restrictive than those for the same time period in
the fleet. Figure 30 illustrates the many considerations Europe. This would mandate inclusion of even more
that vehicle manufacturers must take into account if advanced, and expensive, technology for diesel
for a vehicle to be marketable. engines to be able to meet the emissions regulations.
The diesel engine is a specific example of these When fuel is inexpensive, the increased cost to the
complex considerations. A modern diesel engine is consumer of the more technologically advanced
indistinguishable from a gasoline engine either by vehicle may exceed the savings from reduced fuel
sound or exhaust color and visibility. It has consumption. Figures 31 and 32 show the break-even
significantly lower fuel consumption but higher price increase, obtained from different studies for
initial cost than a comparable gasoline engine. passenger cars and light trucks, that would be
Because of the inherent differences between the two acceptable through specific increases in miles per
engines, they have different exhaust emission char- gallon. Finally, assuming the vehicle is marketable, it
acteristics, which present different challenges in will still take a decade or two for the new technology
meeting regulated emission standards. In Europe, to penetrate the fleet to the extent that it will
where fuel prices are two or three times higher than influence fleet fuel economy (Fig. 33).
Vehicles and Their Powerplants: Energy Use and Efficiency 361

2014 Sierra Res. NRC 2001 upper shortcomings that need to be overcome. There are
ACEEE-Advanced NRC 2001 lower many pending issues. As shown in Fig. 17, the bulk
2013-15 EEA EEA w/o WGT of petroleum used in the United States is imported,
NRC 2001 mid
and the percentage is increasing. Also, annual per
$5000 capita travel is increasing with time. The current cost
of petroleum in the United States does not explicitly
$4000 include the costs of ensuring access to petroleum
Retail price increase

reserves outside of the United States or the impact of


$3000 its use on health and the environment. Established
petroleum reserves are typically discussed in terms of
$2000 tens to hundreds of years, not thousands. The rapidly
growing demand for petroleum by nations such as
$1000 China and India will put additional strain on
petroleum reserves. Increased use of petroleum
$0 because of an increased number of vehicles and
0 5 10 15 20 25 increased demand for mobility will increase the
Increase in MPG emission of greenhouse gases into the atmosphere
FIGURE 32 Light truck fuel economy cost curves from selected as well as the load on petroleum reserves.
sources. When attempting to decrease the fuel consumption
of the light-duty car and truck fleet, there are many
problems to be solved. At the current price of gasoline
Sales fraction in the United States, fuel economy is simply not a
100% high priority for a prospective purchaser of a vehicle.
Port FI
FWD
Taxes on the fuel used by cars and light-duty trucks in
the United States are relatively low in comparison to
80% those of the rest of the industrial world (Fig. 19). The
current U.S. fuel consumption control system, CAFE,
L4 Trans is antiquated and works on the supply side. Consider
60% 4-Valve
that in the past decade U.S. fleet fuel economy has
decreased significantly even though CAFE standards
have remained constant. The European Union system
for moderating consumption (increased taxation)
40%
works on the demand side and aligns consumer
choice and use patterns with public policy objective,
as evidenced by the increasing percentage of low fuel
20% consumption vehicle technologies being introduced
into the European market.
L5 Trans If major geopolitical catastrophes can be avoided,
0% the increasing world population along with our
0 5 10 15 20 25 increasing demand for personal mobility portend a
Years necessary reduction in per capita fuel consumption.
FIGURE 33 Car technology penetration: Years after first This will be necessary to preserve natural resources
significant use. and to address the increased stress that our activities
are placing on the ecosystem. This much is clear. The
There is no clear-cut and simple approach to path by which we achieve this goal is not.
achieving lower fuel consumption and more envir-
onmentally benign vehicles. However, there are many
practical realities that cannot be dismissed. Because SEE ALSO THE
of their high energy density and ease of processing, FOLLOWING ARTICLES
transport, and storage, petroleum-based fuels, or
more generally hydrocarbon fuels, are very well Alternative Transportation Fuels: Contemporary
suited for mobility power plants. Potential alterna- Case Studies  Bicycling  Consumption, Energy,
tive fuels or power plants all have significant and the Environment  Fuel Cycle Analysis of
362 Vehicles and Their Powerplants: Energy Use and Efficiency

Conventional and Alternative Fuel Vehicles  Fuel National Research Council. (2002). ‘‘Effectiveness, Impact of
Economy Initiatives: International Comparisons  Corporate Average Fuel Economy (CAFE) Standards.’’ National
Academy Press, Washington, DC.
Internal Combustion Engine Vehicles  Motor Norbeck, J. M., Heffel, J. W., Durbin, T. D., Tabbara, B., Bowden,
Vehicle Use, Social Costs of  Obstacles to Energy J. M., and Montano, M. C. (1996). ‘‘Hydrogen Fuel for
Efficiency  Passenger Demand for Travel and Energy Surface Transportation.’’ Society of Automotive Engineers,
Use  Transportation and Energy, Overview  Warrendale, PA.
Novola, P. S., and Crandall, R. S. ‘‘The Extra Mile––Rethinking
Transportation and Energy Policy
Energy Policy for Automotive Transportation.’’ Brookings
Institute, Washington, DC.
Further Reading Riley, R. Q. (1990). ‘‘Alternate Cars in the 21st Century.’’ Society
of Automotive Engineers, Warrendale, PA.
DOE, USCAR, PNGV (1994, July). ‘‘Program Plan,’’ Figure 5-1. Seiffert, U., and Walzer, P. (1990). ‘‘Automobile Technology
German, J. (2002, January 24). Statement before the Committee
of the Future.’’ Society of Automotive Engineers, Warrendale,
on Commerce, Science and Transportation, U.S. Senate. PA.
Lauck, F., Uyehara, O. A., and Myers, P. S. (1963). ‘‘An Engineering Sovran, G., and Bohn, M. S. (1981). Formulae for the tractive-
Evaluation of Energy Conversion Devices, 1963 Transactions.’’ energy requirements of vehicles driving the EPA schedules,
Society of Automotive Engineers, Warrendale, PA.
Paper No. 81084. Society of Automotive Engineers, Warren-
Louis, J. J. J. (2001). Well-to-wheel energy use and greenhouse gas dale, PA.
emissions, Paper No. 2001-01-1343. Society of Automotive Suzuki, T. (1997). ‘‘The Romance of Engines.’’ Society of
Engineers, Warrendale, PA. Automotive Engineers, Warrendale, PA.
Morimitus, N. (1998, April). Fuel efficiency improvement of
Weiss, M. A., Heywood, J. B., Drake, E. M., Schafer, A., Felix, F.,
gasoline engine vehicle. Toyota Tech. Rev. 147(2). and Au Yeung, F. F. (2000). ‘‘On the Road in 2020: A Life Cycle
National Research Council. (1992). ‘‘Automotive Fuel Economy–– Analysis of New Automobile Technologies.’’ MIT Press,
How Far Should We Go?’’ National Academy Press, Washing-
Cambridge, MA.
ton, DC.
War and Energy
VACLAV SMIL
University of Manitoba
W
Winnipeg, Manitoba, Canada

there is a fairly common perception—one that has


1. A Brief History of Weapons been greatly reinforced by the American conquest of
2. Energy Costs and Consequences of War Iraq in 2003—that energy is often the main reason
3. Energy as the Cause of War why nations go to war. This article addresses all of
these concerns. Because the destructiveness of war
depends largely on the weapons used, it first outlines
Glossary their brief history. The energy cost of individual
armed conflicts, as well as the peacetime energy cost
explosives Compounds whose destructive effect results of preparing for war, is difficult to assess, and the
from virtually instantaneous release of kinetic energy article presents some representative calculations and
that is generated either by internally oxidized chemical
cites some recent statistics using the major 20th-
reactions that produce large and rapidly expanding
volumes of gas (chemical explosives) or by fission of
century wars waged by the United States. Casualties
heavy nuclei or fusion of light nuclei (nuclear explo- are the most horrifying consequence of wars, and the
sives). greater destructive power led to their increase until
intercontinental ballistic missiles (ICBMs) Missiles that the recent development of precision-guided muni-
can be launched from fortified silos or nuclear tions made it possible to minimize civilian deaths by
submarines and can carry a single warhead or multiple careful targeting. Impacts of war on energy use
independently targeted reentry vehicles (MIRVs). during the conflict and in its aftermath, particularly
military spending A category of expenses whose definition in defeated countries that suffered a great deal of
varies widely among countries and is often greatly destruction, are clearly seen in consumption statis-
undervalued in official accounts; for example, official tics. Finally, the article argues that the wish to be in
Soviet military spending included merely operation and
actual physical control of energy resources has not
maintenance costs, and the real total (including
weapons research and development and production)
been the sole reason, or even the primary reason, for
was roughly an order of magnitude higher. any major modern armed conflict.
nuclear weapons Both strategic and tactical warheads,
bombs, and munitions, carried by intercontinental
ballistic and medium- and short-range missiles or
delivered by bombers or field artillery, whose destruc- 1. A BRIEF HISTORY OF WEAPONS
tive power is released either through nuclear fission or,
in thermonuclear weapons, through fusion. Weapons are the prime movers of war. They are
designed to inflict damage through a sudden release
of kinetic energy (all handheld weapons, projectiles,
Wars demand an extraordinary mobilization of and explosives), heat, or a combination of both.
energy resources, they represent the most concen- Nuclear weapons kill nearly instantaneously by the
trated and the most devastating release of destructive combination of blast and thermal radiation, and they
power, and their common consequence is a major also cause delayed deaths and sickness due to the
disruption of energy supplies in regions or countries exposure to ionizing radiation. Classification of wars
that were affected by combat or subjected to based on these destructive prime movers divides
prolonged bombing. Given these obvious realities, history into four distinct periods. All prehistoric,
it is inexplicable that wars have received very little classical, and early medieval warfare was powered
attention as energy phenomena. At the same time, only by human and animal muscles. Invention of

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 363
364 War and Energy

gunpowder led to a rapid diffusion of initially clumsy catapults and to move assorted siege machines
front- and breach-loading rifles and to much more designed to overcome urban fortifications.
powerful field and ship guns. Light horses were initially used to pull chariots,
By the late 1860s Nobel’s combination of nitro- and only after the general adoption of stirrups
glycerine and diatomaceous earth produced the first (beginning in the third century ad) did mounted
practical high explosive, and other variants were warriors become a particularly effective fighting
soon made into munitions for newly invented force. Asian riders were unarmored, but they had
machine guns as well as into large-caliber gun shells small and extraordinarily hardy horses and could
and airplane bombs. Wars of the 20th century were move with high speed and maneuverability. These
dominated by the use of these high explosives abilities brought the Mongol invaders from the heart
delivered in shells (from land and ship-borne artillery of Asia to the center of Europe between 1223 and
and tanks), torpedoes, bombs, and missiles. Finally, 1241. In contrast, European knights relied on their
strategic thinking and the global balance of power heavy armor as they rode increasingly heavier
changed after World War II with the development of animals. Their most spectacular series of long-
nuclear weapons. distance forays brought them as Crusaders from
The period of muscle-powered warfare lasted many countries of Europe to the Eastern Mediterra-
nearly until the very end of the Middle Ages. The nean, where they established temporary rule (be-
daily range of advancing armies was limited less by tween 1096 and 1291) over fluctuating areas of the
the stamina of walking or running troops than by the littoral. The only important nonanimate energies
speed of their supply trains, made up of animals used in the pre-gunpowder era were various incendi-
ranging from oxen and horses in Europe to camels ary materials (sulfur, asphalt, petroleum, and quick-
and elephants in Asia. Men used axes, daggers, lime were used in their preparation) that were either
swords, and lances in close combat and used spears fastened to arrowheads or hurled across moats and
and bows and arrows for attacking unprotected walls from catapults.
enemies as far as 200 m away. Much more powerful Gunpowder’s origins can be traced to the experi-
crossbows were used since the fourth century bc in ments of medieval Chinese alchemists and metallur-
both Greece and China. Inaccurate targeting and gists. Clear directions for preparing gunpowder were
relatively low kinetic energy of these assaults (Table published in 1040, and eventually the proportions
I) limited the magnitude and frequency of injuries for its mixing settled at approximately 75% saltpeter
that could be inflicted by these weapons. Massed (KNO3), 15% charcoal, and 10% sulfur. Whereas
human power was also used to wind winches of ordinary combustion must draw oxygen from the
surrounding air, the ignited potassium nitrate pro-
vides it internally and gunpowder undergoes a rapid
TABLE I expansion equal to roughly 3000 times its volume in
Kinetic Energy of Projectiles gas. The first true guns were cast in China before the
end of the 13th century, and Europe was just a few
Kinetic
Weapon Projectile energy (J)
decades behind. Gunpowder raised the destructive-
ness of weapons and radically changed the conduct
Bow and arrow Arrow 20 of both land and maritime battles.
Heavy crossbow Arrow 100 When confined and directed in barrels of rifles,
Civil war musket Bullet 1  103 gunpowder could impart to bullets kinetic energy an
Assault rifle (M16) Bullet 2  103 order of magnitude higher than that of a heavy arrow
Medieval cannon Stone ball 50  103 shot from a crossbow gun, and larger charges in field
18th-century cannon Iron ball 300  103 artillery and ship guns could propel even heavy
World War I artillery Shrapnell shell 1  106 projectiles (Table I). Increasingly accurate gunfire
gun from far beyond the range of archers eliminated the
World War II heavy AA High–explosive shell 6  106 defensive value of moats and walls and did away
gun
with lengthy sieges of cities and castles. As a new
M1A1 Abrams tank Depleted U shell 6  106
defense, the fortified structures were built as low
Unguided World War II Missile with payload 18  106
spreading polygons with massive earthen embank-
rocket
ments and huge water ditches. French military
Boeing 767 (September Hijacked plane 4  109
11, 2001) engineer Sebastien Vauban became the most famous
designer of these fortifications that embodied large
War and Energy 365

amounts of energy. His largest project, at Longwy in the end of the 19th century. The most powerful of all
northeastern France, required moving 640,000 m3 of prenuclear explosives, cyclonite (cyclotrimethylene-
rock and earth (volume equivalent to about a quarter trinitramine, commonly known as RDX [royal
of Khufu’s pyramid) and emplacing 120,000 m3 of demolition explosive] and now a favorite of some
masonry. terrorists), was first made by Hans Henning in 1899
The impact of guns was even greater in maritime by treating a formaldehyde derivative with nitric acid
engagements. Detailed historical accounts document (Table II). Better propellants and inexpensive, high-
how gunned ships (equipped with two other Chinese quality steels increased the power and range of field
innovations, compass and good rudders, as well as of naval guns from less than 2 km during the 1860s
with better sails) became the carriers of European to more than 30 km by 1900. The combination of
technical superiority. By the beginning of the 16th long-range guns, heavy armor, and steam turbines (a
century, they were the principal means of global superior new prime mover invented by Charles
empire building by the nations of the Atlantic Parsons during the 1880s that made much faster
Europe. By the late 17th century, the largest ‘‘men- speeds possible) resulted in new heavy battleships,
of-war’’ carried up to 100 guns each. Dominance of with Dreadnought, launched in 1906, being their
these ships did not end until the introduction of naval prototype.
steam engines during the 19th century. Other new highly destructive weapons whose use
The next weapons era began with the formulation contributed to the unprecedented casualties of World
of high explosives, which are prepared by the War I included machine guns, tanks, submarines, and
nitration of organic compounds such as cellulose, the first military planes (e.g., light bombers). The two
glycerine, phenol, and toluene. Ascanio Sobrero decades between the world wars brought rapid
prepared nitroglycerin in 1846, but its practical use development of battle tanks, fighter planes, and
did not begin until Nobel mixed it with an inert long-range bombers and aircraft carriers, all of
porous substance (diatomaceous earth) to create which were the decisive weapons of World War II.
dynamite and introduced a practical detonator The German defeat of France in 1940 and advances
(Nobel igniter) without which the new explosive of Wehrmacht in Russia in 1941 and 1942 were
would be nearly impossible to use. A single made possible by rapid tank-led penetrations. Japan’s
comparison conveys the explosive power of dyna- surprising assault on Pearl Harbor on December 7,
mite: its velocity of detonation is as much as 6800 m/ 1941, would have been impossible without a large
s compared with less than 400 m/s for gunpowder carrier force that launched fighter planes and dive
(Table II). Slower acting, and preferably smokeless, bombers. The same types of weapons—Soviet T-42
propellants needed for weapons were produced tanks driving all the way to Berlin and American dive
during the 1880s: poudre B (gelatinized and extruded bombers deployed by the U.S. Navy in the Pacific—
nitrocellulose) by Paul Vieille in 1884, Nobel’s own eventually led to the defeat of the Axis.
ballistite (using nitroglycerine instead of ether and The closing months of World War II saw the
alcohol) in 1887, and cordite, patented in England by deployment of two new prime movers and of an
Frederick Abel and James Dewar in 1889. entirely new class of weapons. Gas turbines, indepen-
Ammonium picrate was prepared in 1886. Trini- dently invented during the 1930s by Frank Whittle
trotoluene (TNT), which was synthesized by Joseph and Hans Pabst von Ohain in the United Kingdom
Wilbrand in 1863 and which must be detonated by a and Germany, respectively, were installed in the first
high-velocity initiator, was used as an explosive by jet fighters (the British Gloster Meteor and the
German Messerschmitt 262) in 1944. During that
same year, rocket engines were used in the German
TABLE II ballistic missile V-2 to terrorize England. And the
Detonation Velocity of Common Explosives first fission bomb was tested at Alamogordo, New
Mexico, on July 11, 1945, with the second one
Explosive Density (g/cm3) Detonation velocity (m/s) destroying Hiroshima, Japan, on August 6, 1945, and
Gunpowder 1.0 1350 the third one destroying Nagasaki, Japan, 4 days later.
Dynamite 1.6 5000 Jet propulsion enabled the fastest fighter aircraft to
TNT 1.6 6700 surpass the speed of sound (in 1947) and eventually to
RDX 1.8 8800 reach maximum velocities in excess of mach 3. The
ANFO 1.0 3200 postwar arms race between the United States and the
Soviet Union began with the assembly of more
366 War and Energy

powerful fission bombs to be carried by strategic TABLE III


bombers. The first fusion bombs were tested in 1952 Kinetic Energy of Explosives and Total Energy Released by
and 1953, and by the early 1960s the two antagonists Nuclear Weapons
were engaged in a spiraling accumulation of inter-
continental ballistic missiles (ICBMs). But these are Explosive device Explosive Kinetic energy (J)
not technically weapons of war given that their real Hand grenade TNT 2  106
purpose was to deter their use by the other side. Suicide bomber RDX 100  106
However, to achieve this objective, the superpowers World War II gun shrapnell TNT 600  106
did not have to amass more than 20,000 nuclear Truck bomb (500 kg) ANFO 2  109
warheads. The sudden end of this expensive arms race
Nuclear bomb Reaction Total energy (J)
did not usher in an era of extended peace; ironically, it
initiated an era of even more acute security threats. Hiroshima bomb (1945) Fission 52  1012
In a complete reversal of dominant concerns, the U.S. ICBM Fusion 1  1015
most common—and generally the most feared— Novaya Zemlya bomb (1961) Fusion 240  1015
weapons in the new war of terror are both
inexpensive and easily available. A few kilograms
of high explosives fastened to the bodies of suicide penetrated instead of pushing; it was absorbed by
bombers (often spiked with metal bits) can cause bending, tearing, and distortion of structural steel
dozens of deaths and gruesome injuries and can and concrete; and the perimeter tube design redis-
create mass psychosis among the attacked popula- tributed lost loads to nearby columns. Consequently,
tion. Simple ‘‘ANFO’’ car bombs are much more it was not this instantaneous massive kinetic insult
devastating (Table III). These devices, some of which but rather a more gradual flux of the ignited fuel
weigh hundreds of kilograms and are able to destroy (each 767 carried more than 50 metric tons (t) of
massive buildings and kill hundreds of people, are kerosene whose heat content was more than 2 TJ)
made from the mixture of two readily available that weakened the columns of structural steel.
materials: ammonium nitrate (a common solid Unfortunately, an eventuality of such a fire was
fertilizer that can be purchased at, or stolen from, not considered in the original World Trade Center
thousands of locations around the world) and fuel oil design. Moreover, no fireproofing systems to control
(which is even more widely available). such fires were available at that time. Once the jet
The most shocking weapons were fashioned on fuel spilled into the building, it ignited an even larger
September 11, 2001, by 19 Islamic hijackers simply mass of combustible materials (mainly paper and
by commandeering rapidly moving massive objects, plastics) inside the structures, and the fires burned
Boeings 757 and 767, and steering two of them into with a diffuse flame with low-power densities of less
the World Trade Center in New York and one into than 10 W/cm2. This left enough time for most
the Pentagon in Washington, D.C. The World Trade people to leave the buildings before the thermally
Center towers were designed to absorb an impact of weakened structural steel (the fuel-rich, open-air fire
a slow-flying Boeing 707 lost in the fog and searching could not reach the 15001C needed to actually melt
for a landing at the JFK or Newark airport. Gross the metal), thermal gradients on outside columns,
weight and fuel capacity of that plane are just slightly and nonuniform heating of long floor joists pre-
smaller (15 and 5%, respectively) than the specifica- cipitated the staggered floor collapse that soon
tions for the Boeing 767-200, and the structures reached the free-fall speed as the towers fell in only
performed as intended even though the impact approximately 10 s.
velocity of hijacked planes as they rammed into the Although the preparation of the most feared viral
buildings was more than three times higher (262 vs and bacterial weapons of mass destruction requires a
80 m/s) than that of a slowly flying plane close to the fair degree of scientific expertise and a high degree of
landing. technical expertise (particularly to prepare the
As a result, the kinetic energy at impact was cultured pathogens for widespread dispersal), the
approximately 11 times greater than envisaged in the overall energy cost of their development is very low
original design (B4.3 GJ vs 390 MJ). But because in comparison with their potential impact, be it
each tower had the mass of more than 2500 times measured in terms of actual casualties and ensuing
that of the impacting aircraft, the enormous con- population-wide fear or in terms of long-term
centrated kinetic energy of the planes acted much economic losses. There is no doubt that even a
like a bullet hitting a massive tree. That is, it largely failed large-scale smallpox or anthrax attack
War and Energy 367

on a major urban area would send property values tions; hence, the overall energy cost of a conflict can
falling and would lead to the flight of residents and mount rapidly. The most concentrated tank attack
businesses to less crowded locations. during the final year of World War I involved nearly
600 machines, whereas nearly 8000 tanks, supported
by 11,000 planes and by more than 50,000 guns and
2. ENERGY COSTS AND rocket launchers, took part in the final Soviet assault
CONSEQUENCES OF WAR on Berlin in April 1945. During the Gulf War in 1991
(‘‘Desert Storm,’’ January–April 1991) and the
Preindustrial land wars, fought largely by foot soldiers months leading to it (‘‘Desert Shield,’’ August
with simple weapons, did not require large amounts 1990–January 1991), some 1300 combat aircraft
of energy embodied in arms and equipment, but even flew more than 116,000 sorties and the supporting
so, that investment was often a significant part of transport and aerial refueling planes logged more
annual energy use in many poor subsistence societies. than 18,000 deployment missions.
Large armies in transit, or during periods of Another historically recurrent phenomenon is the
prolonged sieges, almost always had a deep, and necessity to expand the mass production of these
often quite ruinous, effect on regional supplies of food energy-intensive machines in the shortest possible
and fuelwood as they commandeered their provisions period of time. In August 1914, Britain had only
from the surrounding countryside. In contrast, mar- 154 airplanes, but just 4 years later, the country’s
itime forays far from friendly shores always required aircraft factories were sending out 30,000 planes per
careful planning of supplies that had to be carried by year. Similarly, when the United States declared war
the ships during months of self-sufficient sailing. on Germany in April 1917, it had fewer than 300
Modern wars are waged with weaponry whose second-rate planes, none of which could carry
construction requires some of the most energy- machine guns or bombs on a combat mission, but
intensive materials and whose deployment relies on 3 months later Congress approved what was at that
incessant flows of secondary fossil fuels (e.g., gaso- time an unprecedented appropriation ($640 million
line, kerosene) and electricity to energize the or B$8 billion in 2000 dollars) to build 22,500
machines that carry them and to equip and provision Liberty engines for new fighters. The situation was
the troops who operate them. Production of special reprised during World War II. American industries
steels in heavy armored equipment typically needs 40 delivered just 514 aircraft to the U.S. forces during
to 50 MJ/kg, and obviously, the use of depleted the final quarter of 1940, but the total wartime
uranium (for armor-piercing shells and enhanced production reached more than 250,000 planes,
armor protection) is much more energy intensive. exceeding the combined output of Germany and
Aluminum, titanium, and composite fibers, the Britain.
principal construction materials of modern aircraft, There are no detailed reasoned studies of energy
typically embody 170 to 250 MJ/kg, as much as cost of modern wars. This is not surprising given that
450 MJ/kg, and 100 to 150 MJ/kg, respectively. even their financial costs cannot be accounted for
The most powerful modern war machines are with a fair degree of accuracy. This has to do
naturally designed for maximized performance and primarily with deciding what to include in such
not for minimized energy consumption. For example, accounts. When the very physical survival of a
America’s 60-t M1/A1 Abrams main battle tank, society is at stake, it becomes impossible to separate
powered by a 1.1-MWAGT-1500 Honeywell gas the output of such a wartime economy into easily
turbine, needs (depending on mission, terrain, and identifiable civilian and military sectors and then to
weather) 400 to 800 L/100 km; in comparison, a large assign approximate energy costs to these activities.
Mercedes S600 automobile consumes approximately Available aggregates show the total U.S. expendi-
15 L/100 km, and a Honda Civic needs 8 L/100 km. tures on major 20th-century conflicts as approxi-
Jet fuel requirements of highly maneuverable super- mately $250 billion for World War I, $2.75 trillion
sonic combat aircraft, such as the F-16 (Lockheed for World War II, and $450 billion for the Vietnam
Falcon) and F-18 (McDonnell Douglas Hornet), are war (all in constant 2000 dollars). Expressing these
so high that no extended mission is possible without costs in monies of the day and multiplying the totals
in-flight refueling from large tanker planes (the KC- by the adjusted averages of respective average energy
10, KC-135, and Boeing 767). intensities of the country’s gross domestic product
Moreover, these highly energy-intensive weapons (GDP) during those periods sets the minimum energy
have been used in increasingly massive configura- costs of these conflicts.
368 War and Energy

Adjustments to average energy intensities are for the military research and development (R&D)
necessary because the war-related industrial produc- and the procurement of weapons.
tion and transportation require considerably more The link between energy use and success in
energy per unit of output than does the rest of modern war (or in preventing war) is far from being
economic activity. Given the typical sectoral energy a simple matter of strong positive correlations. Of
intensities of past GDPs, this article uses the course, there is no doubt that the possession of
conservative multiples of 1.5 for World War I, 2.0 nuclear weapons (the MAD [mutually assured
for World War II, and 3.0 for the Vietnam war. destruction] concept) was the main reason why the
Although this procedure cannot yield any accurate two superpowers did not fight a thermonuclear war,
figures, it conveys well the most likely magnitude of but the nuclear stockpiles, and hence their energy
the energy burden. This burden was approximately cost, went far beyond any rational deterrent level.
15% of the total U.S. energy consumption during the Development and deployment of these weapons,
1917–1918 period (World War I), averaged roughly beginning with the separation of the fissile isotope of
40% during the 1941–1945 period (World War II), uranium and ending with the construction of nuclear
but was definitely less than 4% during the 1964– submarines to carry them with nearly complete
1972 period (main combat action of Vietnam war). invulnerability during the extended submerged mis-
Naturally, these shares could be significantly higher sions, has been highly energy intensive.
during the years of peak war endeavor. For example, A conservative estimate might be that at least 5%
the peak World War II spending, expressed as a share of all U.S. and Soviet commercial energy that was
of national economic product, ranged from 54% in consumed between 1950 and 1990 was claimed by
the United States (in 1944) to 76% in the Soviet developing and amassing these weapons and the
Union (in 1942) and in Germany (in 1943). means of their delivery. And the burden of these
Peacetime expenditures directly attributable to the activities continues with expensive safeguarding and
preparation for armed conflicts can also be significant. cleanup of contaminated production sites. Estimated
For decades, the highly militarized Soviet economy costs of these operations in the United States have
was spending on the order of 15% of its GDP on the been steadily rising, and much greater investment
development, procurement, and maintenance of would be needed to clean up the more severely
weapons and on its large standing army and border contaminated nuclear weapons assembly and testing
guard and paramilitary forces. In contrast, the U.S. sites in Russia and Kazakhstan. Even so, given the
defense spending reached nearly 10% of GDP during potentially horrific toll of a thermonuclear ex-
the peak year of the Vietnam war, fell to below 5% by change—even when limited to targeting strategic
1978, rose to 6.5% during President Reagan’s mid- facilities rather than cities, the direct effects of blast,
1980s buildup, and has stayed below 5% since 1991. fire, and ionizing radiation would have caused
Given the enormous U.S. energy consumption 27 million to 59 million deaths during the late
(equivalent to B2.5 Gt of oil in 2000), the direct 1980s—one could argue that the overall cost/benefit
peacetime use of fuel and electricity by the U.S. ratio of the nuclear arms race has been acceptable.
military is a tiny fraction of the total. For example, the Of course, there is no doubt that the rapid
U.S. Department of Defense claimed less than 0.8% mobilization of America’s economic might, which
of the country’s total primary energy supply in 2000. was energized by a 46% increase in the total use of
But the comparison looks different in absolute fuels and primary electricity between 1939 and 1944,
terms. The average direct annual consumption of was instrumental in winning the war against Japan
primary energy by the U.S. armed services was and Germany. In contrast, the Vietnam war was a
equivalent to approximately 25 Mt of oil during the perfect illustration of the fact that to win a war, it is
1990s. That is roughly the same amount of primary not enough to use an enormous amount of explosives
energy consumed annually by Switzerland or Aus- (the total was nearly three times as much as all
tria; more remarkably, it is a total higher than the bombs dropped by the U.S. Air Force on Germany
commercial energy consumption in nearly two-thirds and Japan during World War II) and to deploy
of the world’s countries. Naturally, operations such sophisticated weapons (state-of-the-art jet fighters,
as the Gulf War, the war in Afghanistan, and the Iraq bombers, helicopters, aircraft carriers, defoliants,
war boost the energy use by military not only due to etc.). The attacks of September 11, 2001, on the
the combat but also due to enormous long-distance World Trade Center and the Pentagon illustrate the
logistic support. And of course, there are additional perils and penalties of the aptly named asymmetrical
(and not easily quantifiable) expenditures of energy threats. In those attacks, 19 Muslim jihadis, at the
War and Energy 369

cost of their lives and an investment that might not people, released energy of 52.5 and 92.4 TJ, respec-
have surpassed $100,000, caused approximately tively (Table III). At that time, only a few people
3000 virtually instantaneous deaths (and the death envisioned how much more powerful these weapons
toll could have easily surpassed 10,000 if the towers would get. Expressed in common units of TNT
were not so structurally sound), created enormous equivalents (1 t TNT ¼ 4.184 GJ), the two bombs
direct and indirect economic dislocations, and led to dropped on Japan rated 12.5 and 22 kt, respectively.
costly deployments of military and covert power. The most powerful thermonuclear bomb tested by
During the 2 years following the terrorist attacks, the Soviet Union, over the Novaya Zemlya on
these costs (including the stock value declines and the October 30, 1961, rated 58 Mt, equal to 4600
lost economic output) could be estimated at nearly Hiroshima bombs, and by 1990 the total power of
$2 trillion—and the count keeps rising. Airlines still U.S. and Soviet nuclear warheads surpassed 10 Gt,
operate well below their pre-September 11 capacity the equivalent of 800,000 Hiroshima bombs.
and are not expected to recover, even in the absence Effects of major wars on energy consumption, be
of further attacks, before the year 2007. At the time it in defeated countries or in the aftermath of major
of this writing, the proposed U.S. 2004 budget civil conflicts, are usually quite pronounced. The
envisions nearly $40 billion for the new Department Soviet Union after the civil war of 1918–1921 and
of Homeland Security and approximately $100 bil- Germany and Japan after their defeat during the late
lion in additional spending for Iraq and Afghanistan 1940s are the best documented examples. Japan’s
besides the increased baseline spending on defense. accurate historical statistics reveal the magnitude of
Unfortunately, there is no easy military solution for this impact. In 1940, the country’s primary energy
this predicament. Both the classical powerful weap- supply was an equivalent of approximately 63 Mt of
ons and the new ‘‘smart’’ machines are of very oil; by 1945, the total had fallen nearly exactly by
limited use in this new, highly asymmetric global war, half; and in 1946, the aggregate declined by another
as are most of the security checks and precautions 10%. The 1940 level was not surpassed until 1955,
that have been taken so far at the airports. 10 years after the surrender.
The two most important and unprecedented con-
sequences of warfare waged by modern societies are
the just noted extent of economic mobilization for 3. ENERGY AS THE CAUSE OF WAR
major armed conflicts and the growing magnitude of
destructive power. The latter trend has brought Finally, this article concludes with a few paragraphs
increased casualties, including larger numbers of non- on energy resources as the cassus belli. Many
combatants, and huge material losses. World War I historians single out Japan’s decision to attack the
was the unmistakable divide. Enormous resources had United States in December 1941 as a classic case of
to be rapidly diverted to war production, and the death such causation. In January 1940, President Roose-
toll, in both absolute and relative terms, surpassed that velt’s administration, determined to aid the United
of any previous experience. The increasing destruc- Kingdom that was under Nazi attack, abrogated the
tiveness of modern wars is best illustrated by compar- 1911 Treaty of Commerce and Navigation with
ing the overall conflict casualties. Battle deaths, Japan. In July 1940, Roosevelt terminated the licenses
expressed as fatalities per 1000 men of armed forces for exports of aviation gasoline and machine tools to
fielded at the beginning of a conflict, were less than Japan, and in September the ban was extended to
200 during the Crimean War of 1853–1856 and the scrap iron and steel. Already by July 1940, some of
Franco–Prussian War of 1870–1871. They surpassed Japan’s top military officers warned that the navy was
1500 during World War I and 2000 during World War running out of oil and that they wanted a quick
II (when they were more than 4000 for Russia). decision to act. An attack on the United States was to
Civilian casualties of modern warfare grew even clear the way for the assault on Southeast Asia with
faster. During World War II, they reached approxi- its Sumatran and Burmese oilfields.
mately 40 million, more than 70% of the 55 million Although it would be wrong to deny the proximate
total. Roughly 100,000 people died during nighttime role that Japan’s declining oil supplies might have
raids by B-29 bombers using incendiary bombs that played in launching the attack on Pearl Harbor, it is
leveled approximately 83 square kilometers of Ja- indefensible to see Japan’s aggression as an energy-
pan’s four principal cities between March 10 and driven quest. The attack on Pearl Harbor was
March 20, 1945. Five months later, the explosion of preceded by nearly a decade of expansive Japanese
two nuclear bombs, which killed at least 100,000 militarism (so clearly demonstrated by the 1933
370 War and Energy

conquest of Manchuria and by the attack on China in importing a much smaller share of its oil from the
1937), and Marius Jansen, one of the leading Middle East than were Western Europe and Japan
historians of modern Japan, wrote about a peculiarly (25% vs more than 40% and 67%, respectively, in
self-inflicted nature of the entire confrontation with 1990), but the Iraqi quest for nuclear and other
the United States. No convincing arguments can made nonconventional weapons with which the country
to explain either Hitler’s serial aggression—against could dominate and destabilize the entire region,
Czechoslovakia (in 1938 and 1939), Poland (in 1939), implications of this shift for the security of U.S.
Western Europe (beginning in 1939 and 1940), and allies, and risks of another Iraqi–Iranian or Arab–
the Soviet Union (in 1941)—or his genocidal war Israeli war (recall Saddam Hussein’s missile attacks
against Jews by concerns about energy supplies. on Israel designed to provoke such a conflict)
The same is true about the geneses of the Korean certainly mattered a great deal.
War (North Korea is the coal-rich part of the There is one very obvious question to ask: if the
peninsula), the Vietnam war (waged by France until control of oil resources was the sole objective, or at
1954 and by the United States after 1964), the Soviet least the primary objective, of the 1991 Gulf War,
occupation of Afghanistan (1979–1989), and the U.S. why was the victorious army ordered to stop its
war against the Taliban (launched in October 2001) uncheckable progress as the routed Iraqi divisions
as well as about nearly all cross-border wars (e.g., were fleeing north, and why did it not occupy at least
Sino–Indian, Indo–Pakistani, Eritrean–Ethiopian) Iraq’s southern oilfields? Similarly, more complex
and civil wars (e.g., Sri Lanka, Uganda, Angola, considerations were behind the decision to conquer
Colombia) that have taken place (or are still Iraq in March 2003. Although the ex post perspec-
unfolding) during the past two generations in Asia, tives may question a justification based on the Iraqi
Africa, and Latin America. And although it could be development of weapons of mass destruction, it could
argued that Nigeria’s war with the secessionist Biafra be argued that Hussein’s past actions and the best
(1967–1970) and Sudan’s endless civil war had clear available prewar evidence did not leave any respon-
oil components, both were undeniably precipitated sible post-September 11 leadership in the United
by ethnic differences and the latter one began decades States with the luxury of waiting indefinitely for what
before any oil was discovered in the central Sudan. might happen next. Such a wait-and-see attitude was
On the other hand, there have been various already assumed once, with fatal consequences, after
indirect foreign interventions in the Middle Eastern the World Trade Center bombing in February 1993.
countries—through arms sales, military training, and Of course, a no less important reason for the Iraq
covert action—that aimed at either stabilizing or war has been the grand strategic objective of toppling
subverting governments in the oil-rich region. Their the Baathist regime and to eventually replace it with
most obvious manifestation during the cold war was a representative government that might serve as a
the sales (or simply transfers) of Soviet arms to powerful and stabilizing political example in a very
Egypt, Syria, Libya, and Iraq and the concurrent unsettled region. Once again, after the events of
American arms shipments to Iran (before 1979), September 11, one could argue that no responsible
Saudi Arabia, and the Gulf states. During the 1980s, U.S. leadership could have ignored such a risky but
these actions included strong and, as it turned out, potentially immensely rewarding opportunity to
highly regrettable Western support of Iraq during its redefine the prospects for a new Middle East. And
long war with Iran (1980–1988). This brings us to so even this instance, which so many commentators
the two wars where energy resources have been portray so simplistically as a clear-cut case of energy-
widely seen as the real cause of the conflicts. driven war, is anything but that—yet again confirm-
By invading Kuwait in August 1990, Iraq not only ing the conclusion that in modern wars, resource-
doubled crude oil reserves under its control, raising related objectives have been generally determined by
them to approximately 20% of the world total, but it broader strategic aims and not vice versa.
also directly threatened the nearby Saudi oilfields
(including the four giants—Safania, Zuluf, Marjan,
and Manifa—that are on- and offshore just south of SEE ALSO THE
Kuwait) and, hence, the very survival of the FOLLOWING ARTICLES
monarchy that controls 25% of the world’s oil
reserves. Yet even in this seemingly clear-cut case, Cultural Evolution and Energy  Global Material
there were other compelling reasons to roll back the Cycles and Energy  Gulf War, Environmental
Iraqi expansion. At that time, the United States was Impact of  Nationalism and Oil  National Security
War and Energy 371

and Energy  Nuclear Proliferation and Diversion  Federation of American Scientists. (2003). ‘‘America’s War on
Oil Crises, Historical Perspective  OPEC Market Terrorism.’’ FAS, Washington, DC. www.fas.org/terrorism/
index.html.
Behavior, 1973–2003  Sociopolitical Collapse, En- Jansen, M. B. (2000). ‘‘The Making of Modern Japan.’’ Belknap
ergy and  World History and Energy Press, Cambridge, MA.
Lesser, I. O. (1991). ‘‘Oil, the Persian Gulf, and Grand Strategy.’’
RAND, Santa Monica, CA.
McNeill, W. H. (1989). ‘‘The Age of Gunpowder Empires, 1450–
Further Reading
1800.’’ American Historical Association, Washington, DC.
Clark, G. B. (1981). Basic properties of ammonium nitrate fuel oil MoveOn.org. (2002). ‘‘Energy and War.’’ www.moveon.org/move-
explosives (ANFO). Colorado School Mines Q. 76, 1–32. onbulletin/bulletin8.html#section-9.
Committee for the Compilation of Materials on Damage Caused Robertson, L. E. (2002). Reflections on the world trade center. The
by the Atomic Bombs in Hiroshima and Nagasaki. (1981). Bridge 32(1), 5–10.
‘‘Hiroshima and Nagasaki.’’ Basic Books, New York. Singer, J. D., and Small, M. (1972). ‘‘The Wages of War 1816–
Eagar, T. W., and Musso, C. (2001). Why did the World Trade 1965: A Statistical Handbook.’’ John Wiley, New York.
Center collapse? Science, engineering, and speculation. J. Smil, V. (1994). ‘‘Energy in World History.’’ Westview, Boulder,
Metals 53, 8–11. www.tms.org/pubs/journals/jom/0112/eagar/ CO.
eagar-0112.html. Smil, V. (2003). ‘‘Energy at the Crossroads: Global Perspectives
Federation of American Scientists (1998). ‘‘Operation Desert and Uncertainties.’’ MIT Press, Cambridge, MA.
Storm.’’ FAS, Washington, DC. www.fas.org/man/dod-101/ Urbanski, T. (1967). ‘‘Chemistry and Technology of Explosives.’’
ops/desert storm.htm. Pergamon, Oxford, UK.
Waste-to-Energy Technology
MICHAEL L. MURPHY
Energy Products of Idaho
Couer d’Alene, Idaho, United States

components and noncombustible materials. This stream


1. Waste to Energy typically consists of paper, plastics, vegetation, and
wood along with minimal glass and metal.
2. History of Waste Combustion
3. Typical RDF Waste-to-Energy Facility Design
4. Conversion to Energy
Every year, millions of tons of solid waste are
5. Emissions Control Technology
disposed of by landfilling. At the same time, millions
6. Not in My Backyard of therms of energy from oil, natural gas, and/or coal
are burned to create electrical power. The energy
content available from the solid waste residue
represents a significant ‘‘alternative’’ energy supply
Glossary
to alleviate the use and dependency on fossil fuels.
fluidized bed combustor The term used to describe a This article discusses the details regarding the energy
method of combustion in which a bed of sand is content of municipal waste and the potential
suspended in an upward-flowing airstream; the turbu- technology to convert and recover that energy as
lence created by the ‘‘boiling’’ sand bed enhances
useful electricity in a waste-to-energy system.
combustion and promotes efficient heat transfer and
uniform mixing.
gasification The process of partially oxidizing the fuel
feedstock by introducing it into a furnace with 1. WASTE TO ENERGY
insufficient air/oxygen to support complete combustion;
the resulting exhaust gas contains hydrogen, methane, The category of waste to energy broadly describes
and other organic gases along with carbon monoxide, any of a number of processes in which a useful by-
carbon dioxide, and nitrogen. product (energy) is recovered from an otherwise
mass burn The term used to describe the practice of
unusable source. The sources of waste can vary
combusting municipal solid waste (MSW) in a furnace
nearly as much as the varieties of social and
where the material is fed in with little or no prescreen-
ing or separation; within the furnace, the combustible economic communities worldwide. By definition,
content is burned away and the remaining ash, glass, the term ‘‘waste’’ implies a nonusable by-product of
and metal from the MSW is removed as a bottom ash. a process or production. However, the factors that
municipal solid waste (MSW) A general characterization make this a waste stream from one perspective do
of the waste stream resulting from the accumulation of not necessarily make the material worthless or
all residential, commercial, and light industrial waste useless in some other form or fashion. In fact, in
normally handled by local municipalities and typically the global aspect of waste management and disposal,
deposited in a landfill; this waste stream consists of recycling and reuse of waste materials have become
metal, glass, dirt, vegetation, paper, plastic, and the like, prominent means of reducing the quantities of
whether recyclable or nonrecyclable in nature.
discarded materials. Recovery of available energy
Rankine power cycle The process of converting heat
energy from fuel into high-temperature, high-pressure
from the waste is, in truth, simply another specific
steam that is then used to drive a steam turbine method of reuse. In general terms, ‘‘waste’’ could
generator to create electricity. describe anything from liquid chemical effluent to
refuse-derived fuel (RDF) The fraction of municipal solid used automobile tires or anything from municipal
waste (MSW) remaining after processing, separating, sewage treatment residue (sludge) to municipal solid
and sizing of the MSW to remove any recyclable waste (MSW), also known as garbage. With the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 373
374 Waste-to-Energy Technology

exception of certain private disposal locations, most valuable as an energy source are most valuable as
of the waste generated from any single source will recyclable materials. Aluminum, ferrous metals
eventually end up as a contributing component to the (iron), plastics, newsprint, cardboard (corrugated
overall MSW disposal composition for a specific paper), and glass are typically among the sought after
community. Depending on population density, local recyclable components of a waste stream. With the
industrial development, and numerous other socio- exception of the plastics and paper components, the
economic factors, the actual makeup of the MSW other recyclable components contribute nothing to
stream could be significantly weighted to consumer the energy content of the waste stream. The most
waste products or industrial wastes. In addition, recent developments in solid waste management
MSW composition can have significant seasonal efforts have taken advantage of this fact by
variations, with yard wastes and overall quantities endeavoring to remove these recyclable materials
increased during the nonwinter months. Such varia- from the waste stream prior to converting into a fuel.
tions in the waste characterization can have a
significant impact on the value of the material as
an energy source. 2. HISTORY OF WASTE
The value of waste as an energy source is COMBUSTION
determined by its composition and fuel calorific
heating value, typically measured in British thermal The earliest waste combustion systems were simple
units (Btu) per pound. The heating value is deter- incinerators. With no energy recover capabilities and
mined specifically from the available hydrogen and only basic wet scrubber gas cleanup technology, this
carbon content in the fuel that provide heat from practice was able to reduce the quantity of waste
combustion and result in by-products of water and ultimately routed to the landfill by 75 to 85%. These
carbon dioxide. Conversely, the heating value is early incinerators were typically small (only 50–100
reduced by the level of noncombustible material tons/day capacity) and were considered simple, mass
remaining in the waste. Glass, metal, and dirt are the burn, starved air, multistaged incinerators. During
most significant factors to the noncombustible operation, the waste was introduced into the furnace
portion of the waste stream. onto the first of a series of ram-activated cascading
A quick review of the general composition of grates. In this primary zone, the fresh fuel would
MSW (Table I) provides a reference for the sources of contact some combustion air and a stream of
energy available within a waste stream and provides recycled gases from the exhaust header. As the waste
a relative comparison of which components are most began to burn, the ram feeders would push the pile
and least valuable for energy. Interestingly, many of off the grate onto the next step. In the process, the
the components within the waste stream least material would be stirred and agitated to present a
fresh combustion surface to the airstream. Likewise,
TABLE I the material from this second step was ram fed
Sources of Energy Available within a Waste Stream inward until it ‘‘cascaded’ onto the next grate. This
process continued until the remaining noncombus-
Heat value tible material plus some unburned carbon fell into a
Contribution (Btu/pound, Moisture water-cooled ash trough and was removed from the
Component (percentage) dry) (percentage)
furnace in an ash conveyor. The combustion and
Newspapers/Magazines 18.0 8900 30 volatile gases driven off from the fuel pile were
Paper/Cardboard 20.0 8900 32 mixed with combustion air in the primary chamber
Plastic 4.5 12,000 0 directly above the grate. Further combustion and
Dense plastic 4.2 16,700 0 quench occurred in the secondary and tertiary
Textile, leather 3.3 9000 20 chambers, where additional ambient air and recycled
Glass 5.8 0 0 flue gases were mixed into the combustion exhaust
Vegetable waste 20.2 8200 55 stream. All of the gases from the tertiary chamber
Metal—iron 5.7 0 0 were conveyed into the wet scrubber, where particu-
Metal—aluminum 1.0 0 0 late was removed.
Wood/Yard waste 7.3 8400 40 During the early 1970s, the surge in energy costs,
Grit, dirt, misc 10.0 0 55 spurred by the oil embargo, created a demand for
Rubber tires NA 15,000 0 energy recovery in these waste disposal facilities. At
that time, although waste-to-energy technology was
Waste-to-Energy Technology 375

still in its infancy stage, it was poised to take one of With much of the noncombustible material
two paths to implementation: mass burn or process eliminated from the blend plus the shredding of the
fuel (typically known as refuse-derived fuel [RDF]). waste material to a more uniform size, the remaining
Like the earlier technologies, mass burn technology material is much more suited as a fuel feedstock for a
opted to burn the waste virtually as it was received, more conventional solid fuel boiler technology such
eliminating nearly all processing of the material prior as water-cooled grate or fluidized bed boilers. Among
to burning. The mass burn units were typically very these classifications are various other categories that
large furnaces, most often field erected, where the delineate even further various advantages and design
waste was literally plucked from a receiving floor features of each technology. Such distinctions are left
with a grappling hook and ram fed into the furnace to future discussions on the subject. Suffice it to say
onto a cascading grate design. Following the success that RDF technology is more dependent on pre-
of other European designs beginning in the 1950s, processing of the waste stream to create a fuel
these systems were typically of the water wall feedstock with some level of homogeneity, both in
furnace design as opposed to a more ‘‘conventional’’ composition and in particle sizing. The obvious
refractory furnace design. One advantage of this was advantages to this are the improved combustion
the direct removal of much of the heat from the control resulting from more stabile fuel character-
furnace by the water walls, thereby minimizing the istics and improved design criteria as well as smaller
requirement for significant volumes of excess com- furnace volumes resulting from better fuel definition
bustion air or recycled flue gas to maintain accep- and less potential variability in the incoming feed
table operating temperatures in the furnace. These stream. The environmental advantage gained from
plants have also evolved into much larger capacity RDF processing is a greater opportunity to recycle
facilities—they were already field erected, so upsizing primary components from the waste stream without
the capacity did not represent any further economic imposing added effort on the consumer or waste
disadvantage—and have been built to capacities as collection agency.
large as 2500 tons per day (TPD). Mass burn technology, on the other hand, has
The extent of preprocessing of the waste stream, proven to be the favored technology historically due
and the resultant potential for recovery and recycling to the extreme simplicity associated with the fuel
of a majority of the waste materials, is also a handling requirements. In many cases, the ‘‘front
significant factor in determining what type of energy end’’ technology, the common term used to define the
recovery technology might be considered for the fuel processing requirements on the front end of a
waste stream. Waste-to-energy technologies can be waste-to-energy facility, was nothing more than a
generally categorized into two types: mass burn and receiving pit for mass dumping and storage of all the
RDF. Mass burn technology derives its name from waste coming from the hauling trucks along with a
the fact that very little effort is spent in the fuel grappling hook and oversized conveyor to deliver the
preparation area. Removal of oversized items and waste into the furnace. The waste delivered to the
obvious noncombustible materials, such as white furnace is typically ram fed through a penetration in
goods (appliances), engine blocks, and propane the furnace wall onto a water-cooled, cascade grate
canisters, comprises the segregation efforts to the furnace floor. Typically, a pile of fuel, often
waste stream. The remaining waste is fed, en masse, representing 15 to 40 min of inventory, is maintained
into the furnace of the burner. RDF technology is on the floor of the furnace. Control of the combus-
perhaps not the most descriptive nomenclature to tion characteristics is largely achieved via combus-
describe all non-mass burn technologies. RDF tion air control only, with the fuel pile being too
denotes the waste processing effort that typically significant to facilitate anything but the most crude
involves sorting, separating, and sizing the incoming combustion adjustments. Because the mass burn
waste stream to generate various by-product streams. furnaces must operate under the many variations in
A portion of the wastes (typically up to 30%) can be fuel quality and size presented by the bulky fuel mix,
separated and recovered for recycling. A portion the furnace must be extremely robust and conserva-
(10–20%) can be separated and diverted on to the tive in design. In addition, the ash removal system
landfill for disposal. The final portion (50–75%) must be capable of handling every bit of the size and
contains the greater portion of the energy contribu- capacity of material coming out the furnace as it is
tors, with much of the non-energy contributors fed into the furnace on the front end. Although this
removed, and can then be shredded and sized to a universal acceptability has proven to be one of the
much more homogenous fuel stream called RDF. most important features of the mass burn success, it
376 Waste-to-Energy Technology

has also created certain liabilities in the performance clarified for the other approaches; however, for
of the furnace. Extreme variations in the fuel within discussion purposes, the level of detail is focused on
the furnace can create significant temperature excur- the BFB technology.
sions, among other things, and these can cause Perhaps the first criterion in defining a waste-to-
damage to the grate and other areas of the boiler. energy facility is to establish the amount of waste
Unpredictable fuel composition can create surges in requiring disposal. For purposes of this exercise, it is
ash quantities, resulting in slagging and fouling of the assumed the system will be designed for an applica-
boiler surfaces and increased emissions levels of tion in the United States. The average person in the
unburned hydrocarbons, acid gases, and dioxins/ United States is reported to generate between 3 and 4
furans in the outlet gases. In spite of these obvious pounds of waste per day. Modern waste-to-energy
drawbacks, mass burn technology flourished during facilities have been sized for anywhere from less than
their first three decades of development in the United 500 tons per day (TPD) to more than 2500 TPD. For
States and most worldwide markets. purposes of this design exercise, an incoming stream
This was not the initial direction of the technology of 1000 TPD is considered, representing a municipal
during the late 1960s and early 1970s. At that time, community of approximately 500,000 to 600,000.
the industry appeared to be heading down the path The initial activity in the design effort is to
of waste processing to generate an RDF feedstock. establish the fuel quantity and quality resulting from
Unfortunately, explosions and catastrophic failures the incoming waste stream supply. This is determined
in some of these first facilities, including some by the design of the waste processing facility and the
fatalities, squelched the interest in further processing extent to which noncombustible and/or nonrecycl-
efforts and opened the door wide open for mass burn able materials are removed from the waste stream
development. Furthermore, at the onset of the waste- prior to creating the RDF. In a very simplified
to-energy industrial development, there was little process, magnetic separation is used to remove
interest in the recovery and recycling markets; the ferrous materials, and some form of density separa-
waste was processed simply to create a more usable tion (e.g., air knives, flotation) or screening (e.g.,
fuel feed. However, much has changed over the past trommel, disc screen) is used to further classify the
three decades, and the recent vitalization of the lighter fraction (e.g., paper, plastics, textiles, wood
recycling effort has fostered a resurgence of proces- wastes, sawdust) from the larger and heavier
sing technology of waste streams, with the primary material (e.g., rocks, metals, wet material). The
focus being on recovery and recycling. The fallout remaining lighter waste is then shredded and sized
from the tail end of the process has become the fuel to create a fuel feed material. This shred–burn
stream for many of the modern waste-to-energy concept represents the simplest method for material
systems and has enabled the RDF technologies to separation but results in the least opportunity for
move to the forefront of the technical arena. recyclable recovery and usually loses a substantial
amount of the potential fuel value with the rejected
stream. In this case, a more rigorous material

3. TYPICAL RDF WASTE-TO-


ENERGY FACILITY DESIGN
To better describe the details of waste-to-energy
technology, including specific items pertaining to
energy conversion, environmental considerations,
operating and maintenance features, and other
specific aspects of the technology, this section
presents a more detailed discussion of a specific
design of a modern waste-to-energy facility that
might be considered typical of the industry in general
(Fig. 1). The energy recovery technology being
presented is for a bubbling fluidized bed (BFB) boiler
and has a number of technology-specific criteria that
will be different with different boiler technologies.
Where applicable, such differences are identified and FIGURE 1 Typical waste-to-energy facility in Ravenna, Italy.
Waste-to-Energy Technology 377

recovery facility (MRF), which will maximize reco- separation of most of the normal waste materials
verable materials and produce a quality RDF for use is accomplished, including plastic and glass cont-
in the fluidized bed boiler system, is considered. ainers, aluminum cans, organic and yard wastes,
In the MRF, waste material is received on an open and a significant portion of the remaining wastepa-
area or tipping floor, where it can be grossly sorted to per fraction. Again, further processing of this
remove any significant items, such as white goods separated stream, including magnetic and eddy
and furniture, from the remaining mixed waste. current separation, air curtains, and plastic sorting
From the tipping floor, material is loaded onto a lines, can classify this stream into ferrous metals,
transport conveyor that delivers it into a rotary aluminum, glass and plastic containers, and potential
trommel screen. Prior to the trommel, the material fuel.
passes along a ‘‘picking station’’ where bulky The remaining fraction of waste passing comple-
materials, especially cardboard and color-coded tely through the trommel screen and having a size
recyclable bags, may be removed and diverted to a exceeding 6 inches can then be hand sorted, if
separate processing line. Inside the trommel, the desired, and shredded to nominal size of 4 inches or
material passes through a section where wall- smaller. Once again, magnetic separation and air
mounted knives tear open any sealed garbage bags classification can separate this stream into ferrous
and empty the contents into the main stream. The metal, fuel feedstock, and heavy noncombustible
trommel is a rotating cylinder, laying on its side, with residue.
holes of progressively larger sizes cut into its outer Once through the separation processing, the
shell. The first series of holes are typically 2 inches in incoming waste stream has been classified into a
diameter or smaller. These will separate out the finer number of individual streams, including ferrous
fraction of dirt and grit, small rocks and gravel, metals, aluminum, glass, dirt and grit, and fuel
bits of wire and metal, and broken glass as well as (i.e., RDF). The fuel analysis and characterization of
much of the fine combustible material, including a typical RDF is shown in Table II. Characterization
wood waste (sawdust) and paper and plastic of such widely divergent waste streams into a single
scrap. This separated stream can be further processed ‘‘homogenous’’ blend, as is reported herein, is an
with magnets, air classification, and flotation to extreme simplification of the overall fuel analyses
remove and recover the ferrous metal, light fraction and represents a ‘‘leap of faith’’ in believing such
combustible material, and heavy material and glass, information to be absolute and all encompassing.
respectively. Perhaps more important than the information
Within the trommel, the larger sized material provided in Table II is the knowledge that these fuel
remaining is further sized to approximately 6 inches specifications can vary as widely as the sources of
with a second series of holes. Through this section, waste from which they are derived.
Of the total 1000 TPD of waste arriving at the
facility, approximately 20 to 35% may be removed,
TABLE II recovered, and possibly recycled. Normally, the yield
Refuse-Derived Fuel Analysis of fuel from incoming waste is predicted to be 75%,
resulting in an average fuel generation capacity of
Component Percentage dry basis
750 TPD. Taking into account daily, weekly, and
Carbon (C) 45.3 seasonal variations in the waste generation and
Hydrogen (H2) 6.0 delivery schedules, it is practical to expect higher
Nitrogen (N2) 0.7 hourly averages during the morning hours and higher
Chlorine (Cl) 0.5 daily averages during the middle of the week.
Sulfur (S) 0.3 Consequently, design considerations may be neces-
Oxygen (O2) 31.3 sary to accommodate a ‘‘weekly’’ capacity of 7000
Ash 13.4 tons that may actually be delivered to the processing
Glass 1.5 facility in 4 to 5 days. Although storage of
Iron (Fe) 1.0 unprocessed waste is not condoned—in fact, most
regulations require the waste to be received and
Higher heat value, (Btu/pound, dry) 7800 processed within the same day—it is necessary that a
Moisture (percentage wet) 25 fuel facility provide storage capability to enable the
Higher heat value (Btu/pound, as received) 5850 4- to 5-day waste supply to be consumed in the
power plant over the full 7-day period.
378 Waste-to-Energy Technology

4. CONVERSION TO ENERGY 366 million Btu per hour is available. Operating at


excess air levels in the furnace of at least 45% and
The preceding discussion has focused on the material normal gas exhaust temperatures of approximately
processing requirements necessary to generate a fuel 3751F, the overall boiler efficiency for this fuel is
from the incoming municipal waste. Once this is estimated at 77%. Given normal fluidized bed boiler
achieved, the focus of the waste-to-energy facility design characteristics, this unit would generate
turns to converting the energy in the waste into a approximately 250,000 pounds per hour (PPH) of
beneficial use. This is accomplished through the use steam. In a typical turbine power cycle, this steam
of a steam boiler and power turbine cycle, much the quantity would deliver a gross generation capacity of
same as most solid fuel power plants throughout the 25,500 kW. Thus, we can reduce the waste-to-energy
world. In simple terms, the fuel is burned in a furnace criteria for this summary to a simplified ratio of
to generate heat. The heat is used to generate steam approximately 40 TPD per megawatt (TPD/MW) of
in a power boiler, which in turn drives a power incoming municipal waste to power generation
turbine to generate electricity. The exhaust gases capacity. In addition, this also reduces to approxi-
from the steam generator, having been cooled to mately 30 TPD/MW of incoming RDF to output
nearly ambient temperatures, are cleaned of most power.
pollutants and exhausted into the air. The electricity
is transferred into the utility transmission system and
eventually back to the homes and industries that
generated the waste. 5. EMISSIONS CONTROL
The power cycle is simple and straightforward, TECHNOLOGY
and it dates back to the industrial revolution. It is
based on proven technology and, for the most part, Environmental compliance and controls are signifi-
proven equipment. Unfortunately, the drawback of cant criteria to consider in waste-to-energy facilities.
the steam turbine (Rankine) power cycle is the As guidelines and standards have become more
exorbitant losses experienced by the condensing of stringent, abatement and control technologies have
the low-temperature, low-pressure steam at the been developed to keep pace. In the earliest waste
discharge of the turbine. This represents two-thirds incineration systems, most of which did not even
to three-quarters of the energy content of the steam incorporate any energy recovery, the mass burn
and limits the overall power cycle efficiency to 20 to combustion technology was very crude, the fuel
25%. Improvements in metallurgy and construction was extremely low quality, and the emissions control
techniques over the past few decades have raised requirements were very simple (if present at all).
operating temperatures and pressures within the Current requirements address emissions of products
steam cycle to increase these turbine cycle efficiencies of combustion such as carbon monoxide (CO) and
significantly; however, most of the resulting improve- volatile organic hydrocarbons (VOCs) and nitrogen
ments are not practical for normal waste-to-energy oxides (NO and NO2). Acid gas emissions resulting
facilities. First, the relative size of the waste-to- from sulfur and chlorine are required to be reduced
energy power plant is too small to absorb many of significantly. High-efficiency filters are mandated for
the operating and capital costs resulting from these reduction of particulate emissions as well as heavy
critical pressure and temperature conditions. Further- metals.
more, because of the contaminants in the waste Current furnace designs and combustion practices
stream, most notably chlorine and sulfur, the have achieved very high combustion efficiencies
potential for high-temperature corrosion throughout resulting in extremely low CO and VOC levels,
the process is significant. To optimize plant costs commonly referred to as products of incomplete
with operating efficiencies, steam conditions have combustion (PICs). These can also include the
typically been limited to 650 psia and 7501F. Some category of dioxins and furans, which encompass a
recent facilities have increased this limit to 850 psia specific family of ploy aromatic hydrocarbons
and 8251F with limited success. (PAHs). In the case of fluidized bed combustion,
With the power cycle established by the steam the technology describes the practice of burning a
conditions of 650 psia and 7501F, the overall power solid fuel in a combustion zone consisting of small
generation capacity of the 750 TPD in incoming RDF particles of sand suspended in a stream of upward-
can be determined. At 31.25 tons per hour and the flowing air. The buoyancy force of the air velocity
referenced fuel heating value, an input energy level of lifts and suspends the individual sand particles within
Waste-to-Energy Technology 379

the mixture. As more air is introduced into the sand,


it appears to bubble in much the same way as a pot
Flue gas exit
of boiling water, hence the term ‘‘fluid bed’’ and,
to boiler
more specifically, ‘‘bubbling fluid bed.’’ In a mod- Vapor
space SNCR
ification to this concept, referred to as a circulating
injection
fluid bed, the air velocities are actually increased to Fuel
the terminal velocity of the sand particles, thereby inlet Overfire air
plenums
carrying the sand up and out of the furnace. At the Bed
outlet of the furnace, the sand is mechanically material Inbed/Vapor
tubes
separated from the air/gas stream and is recirculated Fluidizing air
back into the bottom of furnace, hence the term manifold Inbed
‘‘circulating fluid bed’’ or ‘‘recirculating fluid bed.’’ Fluidizing tube header
The advantages of fluid bed combustion over the air Drawdown
cones
more traditional technology arise from the increased Fluidizing air
turbulence provided by the bed particle action. This plenum
fluidization increases the interaction of the fuel
Vibrating
particles with the combustion air and creates a very conveyor
accelerated combustion environment for the incom-
ing fuel. In addition, the sand, initially heated to an FIGURE 2 Bed combustor/boiler.
ignition temperature for the incoming fuel, provides
TABLE III
a means of heating and drying the new fuel
introduced into the furnace and eventually igniting Typical Emissions Requirements (European Standards)
it. The thermal stability provided by the hot sand in Temperature 8501C 15601F
the bed plus the turbulence of the fluidization causes
the fuel particles to be consumed in a very short Oxygen (percentage dry) 6 6
period, typically a few minutes or less. Complete Reference O2 (percentage) 11 11
combustion is achieved by the uniform temperature Particulate 10 mg/nm3 0.006 g/sdcf
zone within the furnace created by the bubbling sand CO 50 mg/nm3 44 ppm
medium plus the enhanced intermixing of fuel and VOC 10 mg/nm3 6 ppm
combustion air. This technology is illustrated in SO2 50 mg/nm3 19 ppm
Fig. 2. Historically, fluidized bed combustion systems HCl 10 mg/nm3 6 ppm
have been able to achieve better operating flexibility, HF 1 mg/nm3
lower emissions levels, and improved combustion and NOX 200 mg/nm3 105 ppm
boiler efficiencies. In the case of RDF combustion NH3 10 mg/nm3
requirements, where the fuel characteristics are Total heavy metals 1 mg/nm3 0.0006 g/sdcf
nonhomogenous and the overall fuel quality is Dioxins (total) 0.1 ng/nm3
relatively low compared with standard fuel such as
coal, the fluid bed provides a method of stabilizing
the combustion characteristics and creating very good normally supplied for combustion) or fuel-bound
emissions results. In some locations, especially the nitrogen that is contained in the basic analysis of
European Community, regulations specify a furnace most solid fuels to some degree. To generate NOx
temperature of at least 15501F for a minimum of 2 s from air-bound nitrogen, very high temperatures
residence time and a minimum oxygen level of at least (422001F) are required. Although not normal in
6% in the furnace. This is not a universal requirement most types of waste-to-energy technologies, these
for design of the furnace; however, it does establish temperatures can be created in specific areas of the
reasonable minimal levels for good combustion fuel piles in mass burn and conventional grate
practices. Table III displays the current requirements furnaces. Lack of mixing of the fuel with the air
for emission levels for new waste-to-energy power can result in channeling, a condition where air and
plants. Typical emissions levels from operating fuel mixtures can become very rich, resulting in the
systems are included for comparison. high temperatures. With the mixing of the fuel and
NOx emissions are the result of combustion/ sand in the fluidized bed combustor (FBC) plus the
furnace conditions that promote the ‘‘burning’’ of reduced operating temperatures required to achieve
nitrogen. The source of nitrogen can be air (as is good combustion, the creation of NOx from air
380 Waste-to-Energy Technology

fixation is essentially nonexistent. On the other hand, calcium-based material (lime) or some other acid-
fuel-bound nitrogen accounts for most of the NOx neutralizing compound that reacts with the sulfur
generation in FBC units and contributes even more and chlorine gases to form a solidified compound,
NOx in other types of furnaces. In all cases, the such as the gypsum, of sodium chloride (NaCl),
uncontrolled (or combustion-created) NOx levels are commonly known as salt. With this add-on technol-
likely to be well in excess of the allowable limits ogy, the exhaust levels for most acid gases can be
established by current regulations. Controlling com- reduced by 95 to 99% of the inlet concentrations.
bustion parameters, such as total excess air levels, Once the acid gases have been converted to a solid
and introducing combustion air into the furnace in material, they become a part of the particulate
stages to avoid high levels of excess oxygen in any emissions from the system that also must be removed
particular combustion zone both can contribute to from the gases before they can be released into the
reduced NOx emissions. Postcombustion control air. High-efficiency bag filters (or baghouses) and
using selective noncatalytic reduction (SNCR) tech- electrically charged particle separators (known as
nology in the high-temperature region or selective electrostatic precipitators [ESPs]) are commonly used
catalytic reduction (SCR) in the cooled exhaust gas for this. Using state-of-the-art filter materials, dust
zone can reduce NOx levels to allowable limits under removal efficiencies as high as 99.9% can be
most circumstances. In either process, ammonia is achieved in this system.
introduced into the flue gas. At the high temperatures Once the combustion process is complete and the
(415001F), the ammonia can react with NOx to flue gases have been treated and exhausted into the
produce nitrogen gas and water vapor. At the lower air, the waste has been reduced to an ash stream that
temperatures, the same reactions occur; however, the comprises about 5% of the original volume of the
reactions require a special catalyst to increase the waste. This ash is made up of essentially all the
reactivity of the ammonia in the flue gas. Restrictions noncombustible material in the fuel stream plus any
in temperature and flue gas characteristics have so far additional materials such as limestone, or lime, that
limited the application of SCR technology to these may have been added to the process for gaseous
processes. To date, SNCR has been successfully emissions controls as discussed previously. This ash
incorporated into all of the different types of furnaces. stream becomes the concentrated repository of any
Acid gas emissions of sulfur and chlorine as SO2 of the metals and other such materials found in the
and HCl, respectively, are largely independent of the waste stream that have not been removed by
type of furnace used in the waste-to-energy technol- preliminary processing. Consequently, the ash has
ogy. It is a fair assumption that all of the sulfur and become a major focal point for ‘‘concerns’’ about
all of the chlorine inbound with the fuel will be environmental contamination resulting from disposal
released during the combustion as SO2 or HCl. The of this waste. The ash can be demonstrated as a
exception to this, at least partially, is the ability of the nonhazardous waste through standard tests such as
FBC to ‘‘capture’’ some of the SO2 created. In the the toxic characteristic leaching procedure (TCLP),
fluidized bed furnace, a portion of the sand media which measures the quantity of metals leached from
can be displaced with a calcium oxide material, or a sample. Years of testing ash samples from
limestone, which has an affinity for SO2. At normal numerous types of waste-to-energy facilities have
temperatures within the furnace, the limestone can consistently demonstrated the nonhazardous nature
react with the SO2 to create calcium sulfate (CaSO4), of the material. In fact, hundreds of thousands of
also known as gypsum, which is a stable solid tons of ash are currently being used in beneficial
compound at temperatures below approximately products such as landfill cover, road aggregate,
17001F. Thus, the fluid bed can reduce the overall asphalt mixture, concrete, and granular base materi-
sulfur gas emissions significantly, in some cases by as al. In most instances, the characteristics of the ash are
much as 95%, by incorporating a continuous feed of more benign than those of the metals and other
limestone into the furnace. For any excess SO2 plus ingredients as they exist in the original waste stream.
all of the HCl emissions from the furnace, additional
scrubbing is required at the exhaust end of the system
before the gases are discharged into the environment. 6. NOT IN MY BACKYARD
Various methods are available to effect this scrub-
bing, including wet or dry scrubbers or some As a fuel, MSW does not compare too favorably with
combination thereof. In all cases, the flue gases from more traditional solid fuels such as coal. MSW
the boiler are injected with some reagent, either a averages in the neighborhood of 4500 Btu per pound
Waste-to-Energy Technology 381

versus coal at 10,500 to 13,000 Btu per pound. not specific to any one industry, utility, or munici-
However, given the current U.S. population of pality. The fuel source is generated by the community
approximately 250 million and the annual genera- and possibly the local industry. Although they have
tion of waste per person of roughly 1500 pounds, the the need to dispose of this waste material, they do
potential energy content in the annual waste not normally have a specific and unified energy
generated in the United States alone is comparable demand other than the need for electrical power.
to nearly 70 million tons of coal annually and has the Moreover, the municipality does not normally
potential to generate more than 13,000 MW of control the electrical power generation, distribution,
electrical power. As of 1993, the capacity of waste or pricing other than by exercising a political
consumed in these facilities was approximately influence over the local public service commission.
103,000 TPD, representing approximately 18% of Furthermore, the community does not normally have
the projected annual waste generation. ready access to large sums of capital and operating
As of early 2000, waste-to-energy technology funding without a serious legislative exercise.
accounted for disposal of more than 30 million tons The successful implementation of a waste-to-energy
of waste annually in the United States alone. This project requires a ‘‘sponsor’’ that will coordinate all
corresponds to an electricity generating capacity of efforts necessary to complete a project, including
more than 2800 MW. Although these numbers might designing; environmental permitting; contracting with
seem significant, this represents only approximately the municipality (or municipalities) for the waste;
14% of the total waste stream within the United contracting with the utility for sale of the power;
States and accounts for only one-third of 1% of the contracting with the waste haulers for material
electrical generating market in the United States. delivery, recyclable markets, and ash and waste
Waste-to-energy technology represents one of the disposal; and convincing a financial entity (or entities)
most significant sources of renewable energy avail- of the viability of the overall plan and economical
able today. It was reported during the mid-1990s that advantages enough to obtain sufficient investment to
128 facilities were actually in operation in the United pursue the project. Logistically speaking, the develop-
States, with an additional 42 planned or under ment of a simple waste-to-energy project involves
construction. Of the existing plants, 92 produced contractual negotiations with no less than five separate
electricity to some degree. The remaining 36 entities (municipality, utility, financial, contractor,
produced only steam or hot water. The size of environmental), none of which represents an easy task.
facilities ranged from 20 plants of less than 100 TPD The complexity is further exaggerated by the inter-
to 20 plants of more than 2000 TPD. Roughly 40 dependence of one contract on another. As a result, the
plants were of 100 to 500 TPD, 25 plants were of time involved before a project can even begin the
500 to 1000 TPD, and 25 plants were of 1000 to construction effort could be as long as 5 years or more.
2000 TPD capacity. Most of the smaller plants were During that period of time, municipal elections can
installed during the early period of waste-to-energy drastically alter the receptiveness of one or more of the
development. Most of the recent facilities represent major partners to the project. In addition, the costs
sizes from 500 to 1000 TPD. involved to develop these contracts, agreements,
Waste-to-energy technology not only provides a permits, and the like can mount into the millions of
clean source of energy but also provides a clean and dollars. This represents an investment with no chance
long-term disposal of the waste. Studies have of recovery unless and until the project is built,
compared the emissions from a waste-to-energy operating, and paying back dividends to the investors.
facility with those from a landfill handling similar A second basic obstacle to the success of waste-to-
quantities of waste. In cases where no methane energy technology is the cost competitiveness with
recovery was included in the landfill, a ton of waste other options. On the one hand, the technology is a
was shown to generate 25 times more greenhouse gas waste disposal option and, therefore, competes with
emissions than was a ton of waste combusted in a basic waste disposal practices such as landfills. On
modern waste-to-energy facility. Furthermore, even the other hand, the waste-to-energy facility is an
with landfill gas recovery techniques currently energy producer and must compete with selling
available, waste-to-energy systems are still at least electricity at a rate competitive with options such
10 times more beneficial than landfilling. as high-efficiency combined cycle gas turbine sta-
So, with all of the wonderful benefits to this tions, supersized coal-fired utility power stations,
technology, why has it not been more widely and perhaps hydroelectric generation. In most
accepted and implemented? First, this technology is instances, the costs to generate new or existing
382 Waste-to-Energy Technology

power are very low in comparison with the costs for a sioned to date is the ‘‘NIMBY’’ (not in my backyard)
straight solid fuel-fired energy system, especially one sentiment that arises at the first sign of a proposed
sized for only 10 to 20 MW capacity. To be facility in a ‘‘new’’ community. The NIMBY syn-
economically viable, the waste-to-energy system must drome is a very emotional reaction to the possibility
provide a competitive tipping (or disposal) fee to the of seeing a new ‘‘pollution source’’ spring up in one’s
community to dispose of the waste and generate an own neighborhood. Fear of health risks, air and
electrical output for a cost that can compete with water contamination, traffic upheaval, noise and
market rates for electricity. In many cases, geogra- visual pollution, and hundreds of other disadvan-
phical conditions may influence one or both of these tages due to such a facility gives rise to an emotional
conditions to the benefit, or detriment, of a potential reaction and spirited resistance to the development of
waste-to-energy facility. Where land is plentiful any such project. In some cases, such emotional
relative to the municipal population base, the costs outcries are justified given historical experience
of landfilling and hauling may be very competitive. where industry did not look out for the well-being
Where hydroelectric energy provides a large base to of the local populations. Years of industrial pillaging
the utility supply or where low-priced natural gas or of local communities and the consequential cynicism
coal generation remains prevalent, the power rates that has developed have created an environment
may be too low to from a competitive standpoint. where there is very little confidence in the ‘‘promises’’
The capital costs for waste-to-energy facilities of good neighbor practices and environmental
have been reported to range from approximately compliance with these new systems. No matter what
$75,000 to more than $125,000 per daily ton of ‘‘facts’’ are represented to justify the environmental
waste input. On that basis, the ‘‘typical’’ 1000-TPD impact of a new facility, the information is viewed by
facility described previously would cost approxi- the lay community as unbelievable and incorrect.
mately $75 million to $100 million. In some in- Most people are more willing to embrace the worst-
stances, costs exceeding $125 million have been case scenario than to believe that they might reap any
reported for this size of facility. This is a fairly potential benefit from such a facility. With such a
‘‘expensive’’ cost for a power plant to generate only political uncertainty arising from these public hear-
approximately 25 MW of electricity. A natural gas ings, many projects that could achieve technical and
combined cycle power station in this size range economic viability will end up being delayed or even
would cost approximately $18 million to $20 cancelled due to the lack of community support for
million, and a biomass-fired power plant using such projects. Unfortunately, there is no absolute
similar technology would cost $50 million to black-and-white definition of the advantages and/or
$55 million. disadvantages of these waste-to-energy facilities. A
Given the capital investment for such a facility, the willingness to accept the status quo (i.e., landfilling)
required revenues from either waste disposal (tip- can often become a major hurdle to siting a new
ping) fees or electric power sales are significant. As a facility. The irony is that the status quo may be as
bare minimum, tipping fees in the neighborhood of bad as, or worse than, the proposed facility, but
$40 per ton plus power rates approaching $40 per because it already exists, it automatically becomes
megawatt are necessary to present an economically the favored solution. There are numerous studies that
viable project. In the event that one revenue stream is report the emissions and other environmental rami-
reduced due to competitive circumstances, the other fications of landfills and even compare them with the
revenue stream must be increased to compensate. As new standards for waste-to-energy facilities. One
a very general rule of thumb, it can be estimated that such study, in fact, listed the greenhouse gas
roughly a $10/ton variance in the tipping fees is emissions from a landfill (CO2 and methane as
comparable to an $8/MW variation in the power CO2-equivalent) as 26 times greater than those from
rate. Thus, in the case where there was absolutely no a modern waste-to-energy facility.
value for the electrical power (a highly unlikely
scenario), the required tipping fee would need to
exceed $65 per ton. Conversely, in the case where the
revenue for fuel disposal was nil, the power rates SEE ALSO THE
required for economic viability would need to exceed FOLLOWING ARTICLES
$80 per megawatt (or $0.08/kW).
Finally, the most significant reason why more Biomass Combustion  Biomass for Renewable
waste-to-energy facilities have not been commis- Energy and Fuels  Biomass Gasification  Biomass
Waste-to-Energy Technology 383

Resource Assessment  District Heating and Cooling Jones, K. (1991). Risk assessment: Comparing compost and
 Exergy Analysis of Waste Emissions  Hazardous incineration alternatives. MSW Mgmt., 29–39
Kiser, J. (1991). The future role of municipal waste combustion.
Waste from Fossil Fuels  Hybrid Energy Systems  Waste Age, 33–38
Nuclear Waste Mahin, D. (1991). Making steam from municipal solid waste
combustors. Solid Waste Power, 28–35
Porteous, A. (2001). Energy from waste incineration: A state of the
art emissions review with an emphasis on public acceptability.
Further Reading
Appl. Energy 70, 157–167.
Hasselriis, F. (1987). Optimization of combustion conditions to Rigo, H. G. (1995). Sources of dioxin in the environment. Solid
minimize dioxin emissions. Waste Mgmt. Res. 5, 311–326. Waste Technol., 36–39
Hickman, H., Hasselriis, F., Turner, W., Hopper, R., Kuester, J., Taylor, H. (1989). The ten myths of municipal waste combustion.
and Trezek, G. (1984). ‘‘Thermal Conversion Systems for Paper presented at the International Conference on Municipal
Municipal Solid Waste.’’ Noyes Publications, Park Ridge, NJ. Waste Combustion, Hollywood, FL.
Wave and Tidal
Energy Conversion
GEORGE LEMONIS
Centre for Renewable Energy Sources
Attica, Greece

shallow waters. Tidal current energy conversion


1. Introduction technologies, which have started to be investigated
2. Wave Energy Conversion during the recent past, are predicted to supply up to
3. Tidal Energy Conversion 48 TWh/year from sites around Europe. Further-
4. Conclusions more, other large tidal current resources are still to
be explored worldwide. Although research and
development on ocean energy exploitation is under
way in several countries around the world, ocean
Glossary
energy conversion technologies have not yet pro-
fetch Distance over which wave-inducing wind–sea inter- gressed to the point of massive power generation.
action takes place. This is due in part to the often rough and
high tide Highest water level during a tidal period. unpredictable conditions under which these technol-
linear wave Theoretical wave form of sinusoidal shape;
ogies have to operate. However, considerable pro-
describes offshore wave conditions with satisfactory
accuracy.
gress has been made during the past decade in
low tide Lowest water level during a tidal period. various engineering fields associated with ocean
lunar tide Ocean tide induced by the gravitational forces energy conversion. Recent advances indicate that
of the moon. some technologies could meet the goal of power
neap tide Lowest low tide during a lunar month. production at the commercial level by or before
solar tide Ocean tide induced by the gravitational forces of 2010. This article outlines the nature and worldwide
the sun. resource of ocean wave and tidal energy, explains the
spring tide Highest high tide during a lunar month; period basic conversion concepts, and points out the
of revolution of the moon around the earth (B29.5 advantages and disadvantages of ocean energy
days). conversion. The presentation of the ocean energy
tidal range Difference in water level between consecutive
conversion development status is confined to brief
high and low tides.
descriptions of the most advanced technologies.

This article outlines the state of the art of exploita-


tion of two renewable energy sources that are 1. INTRODUCTION
available in abundance in the world’s oceans: ocean
wave energy and tidal energy. It is evident that Worldwide energy consumption is predicted to rise
humanity could cover a significant part of its considerably over the coming decades. Many coun-
electricity demand from these energy sources. The tries in the world, constantly reminded that tradi-
potential global wave energy contribution to the tional methods of energy production are contributing
electricity market is estimated to be on the order of to serious environmental problems and in view of
2000 TWh/year, approximately 10% of the world their commitment to the Kyoto Protocol, have seen
electricity consumption. The global tidal range the urgent need for pollution-free power generation.
energy potential is estimated to be on the order of The energy sector has been forced into a renovating
3000 GW, with approximately 1000 GW process that sees an opening toward renewable
(B3800 TWh/year) being available at comparably energy. In the dynamic evolution of the renewable

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 385
386 Wave and Tidal Energy Conversion

energy industry, an ocean energy industry is emer- Ocean waves contain two forms of energy: the
ging. Although the technology is relatively new and kinetic energy of the water particles that generally
currently not economically competitive with more follow circular paths (the radius of which decreases
mature technologies (e.g., wind energy), the interest with depth) and the potential energy of elevated
in ocean energy conversion from governments and water particles (Fig. 2). On the average, the kinetic
industry is steadily increasing. An important feature energy in a linear wave equals its potential energy.
of ocean energy sources is their high density, and The energy flux in a wave, the wave power, is
density is highest among the renewables. proportional to the square of the amplitude and to
The oceans, occupying nearly three-quarters of the the period of the motion. The average power in long-
world’s surface and the atmosphere above, intercept period (B7–10 s), large-amplitude (B2 m) waves
most of the energy from the sun—approximately commonly exceeds 40 to 50 kW per meter width of
80,000 TW. This energy appears in the oceans in a oncoming waves.
variety of forms, for example, as waves generated by Like most forms of renewables, wave energy is
wind blowing over the ocean surface and as currents unevenly distributed over the globe. Increased wave
driven by the wind or caused by thermal gradients. activity is found between the latitudes of B30 and
In addition, the oceans are influenced by the B601 in both hemispheres, induced by the prevailing
gravitational interactions in the planetary system of western winds (‘‘westerlies’’) blowing in these regions
the sun, the earth, and the moon that represents an (Fig. 3). Particularly great resources are located along
extremely large reservoir of kinetic energy. This the western European coast, off the coasts of Canada
reservoir is tapped slowly, but continuously and and the United States, and along the southern coasts
predictably, to provide the energy to maintain the of Australia and South America.
tidal system in the oceans. Conservative estimates of the Commission of the
Various other sources of renewable energy are European Communities predict a wave energy
available in the oceans, for example, the vast thermal
potential between the upper warm and the deep cold
Wind
ocean water layers and the density gradients between generation
water layers of different salinity.
Recent technological advances indicate that ocean Wind−Sea interaction
under the influence of Wave
wave energy and tidal energy conversion technolo- gravity propagation
gies could be developed on the level of commercial
power production in the foreseeable future. This
article describes the main features of these renewable
energy sources and of the state of the art and the
Fetch
perspectives of their use.

Seabed
2. WAVE ENERGY CONVERSION
FIGURE 1 Wind-induced wave generation.
2.1 Wave Energy: Physics and Resources
Among different types of ocean waves, wind-
Kinetic energy Potential energy
generated waves have the highest energy concentra-
tion. Wind waves are derived from the winds as they
blow across the oceans (Fig. 1). This energy transfer
provides natural storage of wind energy in the water
near the free surface. Once created, wind waves can
travel thousands of kilometers with little energy loss
unless they encounter head winds. Nearer the coast-
line, the wave energy intensity decreases due to
interaction with the seabed. Energy dissipation near
shore can be compensated by natural phenomena
such as refraction and reflection, leading to energy
concentration (‘‘hot spots’’). FIGURE 2 Wave energy components.
Wave and Tidal Energy Conversion 387

30
40
60 70
40 40
40
30 20 10 15
20
20 20
10 20
10 20
20
20
20
20 30
20 30 30
30 40 60
50 70
50 30
100
70

FIGURE 3 Global wave power distribution in kilowatts per meter of crest width.

market in the medium term (B2010) of approxi- Airflow Wells


mately 5.5 TWh/year. However, the potential world- turbine
Air column
wide wave energy contribution is estimated to be on Generator
the order of 2000 TWh/year, approximately 10% of Concrete
the world electricity consumption. structure

Wave
2.2 Wave Energy Conversion Techniques direction
In contrast to other renewable energy sources, the
number of concepts for wave energy conversion is
very large. Although more than 1000 wave energy
conversion techniques are patented worldwide, the
apparent large number of concepts for wave energy
converters can be classified into a few basic types.
The followings concepts are widely adopted: Seabed

 The oscillating water column that consists of a


partially submerged hollow structure open to the FIGURE 4 Operating concept of an oscillating water column.

seabed below the water line (Fig. 4). The heave


motion of the sea surface alternatively pressurizes
and depressurizes the air inside the structure, Reservoir
generating a reciprocating flow through a ‘‘Wells’’ Kaplan
turbine installed beneath the roof of the device. This Wave turbine
type of turbine is capable of maintaining constant direction Generator
direction of revolution despite the direction of the
airflow passing through it.
 Overtopping devices that collect the water of
incident waves to drive one or more low head
turbines (Fig. 5).
 Heaving devices (floating or submerged) that Buoyancy
provide a heave motion that is converted by mecha-
nical and/or hydraulic systems in linear or rotational
motion for driving electrical generators (Fig. 6).
Seabed
 Pitching devices that consist of a number of
floating bodies, hinged together across their beams FIGURE 5 Operating concept of an overtopping device
(Fig. 7). The relative motions between the floating (floating type).
388 Wave and Tidal Energy Conversion

A B

Wave Wave
direction direction Buoy

Pressurized
air

Seabed Seabed

FIGURE 6 Operating concepts of heaving devices: (A) Archimedes Wave Swing concept, adapted from Rademakers et al.
(1998), and (B) floating buoy converter.

Wave
direction
Buoyant Wave
segments direction

Flap

Seabed

FIGURE 7 Operating concept of a pitching device (Pelamis


concept). From Yemm (1999).

bodies are used to pump high-pressure oil through


hydraulic motors that drive electrical generators. Seabed
 Surging devices that exploit the horizontal
particle velocity in a wave to drive a deflector or to FIGURE 8 Operating concept of a surging device.
generate a pumping effect of a flexible bag facing the
wave front (Fig. 8).
which are the following:
2.3 Advantages and Disadvantages of
 Because of irregularity in wave amplitude,
Wave Energy Conversion phase, and direction, it is difficult to obtain
It is important to appreciate the difficulties facing maximum efficiency of a device over the entire range
wave power developments, the most important of of excitation frequencies.
Wave and Tidal Energy Conversion 389

 The structural loading in the event of extreme During the past 5 years or so, there has been a
weather conditions, such as hurricanes, may be as resurgent interest in wave energy, especially in
high as 100 times the average loading. Europe. Nascent wave energy companies have been
 The coupling of the irregular slow motion highly involved in the development of new wave
(frequency B0.1 Hz) of a wave to electrical generators energy schemes such as the Pelamis, the Archimedes
typically requires B500 times greater frequency. Wave Swing, or the Limpet. Currently, the world-
installed capacity is approximately 2 MW, mainly
Obviously, the design of a wave power converter has
from pilot and demonstration projects.
to be highly sophisticated to be operationally
The electricity generating costs from wave energy
efficient and reliable, on the one hand, and econom-
converters have shown significant improvement
ically feasible, on the other. As with all renewables,
during the past 20 years or so and have reached an
the available resource and variability at the installa-
average price of approximately 0.08 h/kWh at a
tion site have to be determined first. The preceding
discount rate of 8%. Compared with the average
constraints imply comparably high construction
electricity price in the European Union (B0.04 h/
costs and possibly reduced survivability. These
kWh), the electricity price produced from wave
factors, together with misinformation and lack of
energy is still high, but it is forecasted to decrease
understanding of wave energy by the industry,
further with the development of the technologies.
government, and public, have often slowed down
Although early programs for R&D on wave
wave energy development.
energy considered designs of several megawatts
One of the important advantages of wave energy
output power, more recent designs are rated at
conversion is its environmental compatibility given
power levels ranging from a few kilowatts up to 2
that wave energy conversion technologies are gen-
to 4 MW. Massive power production can be achieved
erally considered to be free of polluting gas
by interconnection of large numbers of devices.
emissions. The abundant resource and the high-
The amount of ongoing development work on
energy fluxes in the waves prescribe, at appropriate
wave energy technologies is very large and cannot be
design of the devices, economically viable energy
described adequately in a single article such as this.
production. Other advantages of wave energy
In the framework of this article, the promising wave
include its natural seasonal variability, which follows
energy device developments are described briefly.
the electricity demand in temperate climates, and the
More detailed reviews can be found in the extensive
introduction of synchronous generators for reactive
literature in this area.
power control. The negligible demand of land use is
The Archimedes Wave Swing, developed by
an important aspect, followed by the current trends
Teamwork Technology BV in The Netherlands,
of offshore wind energy exploitation. As for most
consists of a hollow pressurized structure, the upper
renewables, the in situ exploitation of wave energy
part of which is initiated to heave motions by the
implies diversification of employment and security of
periodic changing of hydrostatic pressure beneath a
energy supply in remote regions. Furthermore, the
wave. A 2-MW pilot plant has been constructed and
large-scale implementation of wave power technol-
was waiting to be deployed off the Portuguese coast
ogies will stimulate declining industries (e.g., ship-
during the spring of 2003.
yards) and promote job creation in small and
The Energetech Oscillating Water Column was
medium-size enterprises.
developed by Energetech Ltd. in Australia. The
device uses a novel variable-pitch turbine and a
parabolic wall to focus the wave energy on the device
collector. This scheme has received a power purchase
2.4 Wave Energy Conversion
agreement with the local utility at Port Kembla,
Development Status
80 km south of Sydney, for a 500-kW plant.
Wave energy conversion is being investigated in a The European Pilot Plant on Pico Island in the
number of countries, particularly in the European Azores is a 400-kW oscillating water column devel-
Union member states, China, India, Japan, Russia, oped by a European team coordinated by the
and the United States. Although the first patent Instituto Superior Técnico (Portugal), which consists
certificate on wave energy conversion was issued in of six Portuguese partners and two partners from the
1799, the intensive research and development United Kingdom and Ireland. The plant was designed
(R&D) study of wave energy conversion began after as full-scale testing facility. It is fully automated and
the dramatic increase in oil prices in 1973. supplies a sizable part of the island’s energy demand.
390 Wave and Tidal Energy Conversion

The Floating Wave Power Vessel is a floating joints is resisted by hydraulic rams that pump high-
overtopping device for offshore operation developed pressure oil through hydraulic motors via smoothing
by Sea Power International in Sweden. It consists of a accumulators. A 130-m long and 3.5-m diameter
floating basin supported by ballast tanks in four device rated at 375 kW is being developed by Ocean
sections. A patented anchor system allows the Power Delivery Ltd.–OPD in Scotland.
orientation of the vessel to the most energetic wave The Pendulor is a surging-type converter consist-
direction. A pilot plant was developed and deployed ing of a rectangular box that is open to the sea at one
during the 1980s near Stockholm, and the company end. A pendulum flap is hinged over this opening, so
has signed contracts in various countries for com- that the actions of the waves cause it to swing back
mercial deployment of the technology. and forth. This motion is then used to power a
The LIMPET is a 500-kW oscillating water hydraulic pump and generator. Several schemes
column developed by the Queen’s University of (Z5 kW) have been built in Japan, and there are
Belfast and Wavegen Ltd. in the United Kingdom. plans to develop a larger plant.
A 75-kW prototype was constructed on the island of The Point Absorber Wave Energy Converter,
Islay in Scotland in 1991. The LIMPET is the developed by Rambll in Denmark, consists of a
successor of this prototype, intended to address float connected to a suction cup anchor by a
many of the issues currently hindering the full-scale polyester rope. The relative motion between the float
deployment of oscillating water column devices. on the sea surface and the seabed structure activates
The McCabe Wave Pump consists of three a piston pump (actuator) inserted between the rope
rectangular steel pontoons that are hinged together and the float. A 1:10 scale model was tested at sea at
across their beam. The bow of the fore pontoon is the Danish test site ‘‘Nissum Bredning’’ over a period
slack moored, and two more slack moorings are of 3 months, and a 1:4 scale model with a 2.5-m
attached part of the way down the aft pontoon. This diameter is currently being developed for open sea
allows the system to vary its alignment so as to head testing.
into the oncoming seas. A 40-m long prototype was The concept of the Salter Duck was introduced in
deployed in 1996 off the coast of Kilbaha in Ireland. 1974 by S. Salter. An important feature of this device
The Mighty Wale is an offshore device, based on is the capability of converting both the kinetic and
the oscillating water column concept, that was potential energies of the wave, thereby achieving very
developed by the Japan Marine Science & Technol- high absorption efficiencies (theoretically 490%).
ogy Center. A 120-kW prototype with three oscillat- The system has undergone considerable development
ing water columns in a row has been operating since 1983 and was redesigned in 1993. The current
1.5 km off Nansei Town at 40 m depth since 1998. design is characterized by high availability and
The mooring system is designed to withstand wind– overall efficiency and low energy production costs.
wave conditions resulting from a ‘‘once in 50 years’’ The Wave Dragon is an offshore wave energy
storm. converter of the overtopping type developed by a
The OPT Wave Energy Converter, developed by group of companies coordinated by Wave Dragon
Ocean Power Technology in the United States, ApS in Denmark. It uses a patented wave reflector
consists of a 2- to 5-m diameter buoy-type cylinder design to focus the wave toward a ramp and to fill a
closed at the top and open to the sea at the bottom. A higher level reservoir. Electricity is produced by a set
hydraulic ram is positioned between the top of the of low-head Kaplan turbines. The scheme has been
shell and a highly buoyant steel float contained tested in the laboratory on a 1:50 scale and on a
within the shell. The relative motion of the shell to 1:3.5 scale model turbine. A 57-m wide prototype
the buoyant float activates a hydraulic system to weighing 261 tons on a 1:4.5 scale rated in full scale
pump oil at high pressure to a generator. Extensive to 4 MW is being deployed in Nissum Bredning in
tests on a large scale in the eastern Atlantic have been Denmark.
concluded, and as of this writing, the first commer-
cial schemes were about to be built in Australia and
in the Pacific. The individual converters are rated at
between 20 and 50 kW, intended to meet multimega-
3. TIDAL ENERGY CONVERSION
watt demands using arrays.
3.1 Tidal Energy: Physics and Resources
The Pelamis device is a semisubmerged articulated
structure composed of cylindrical sections linked by Tidal energy conversion techniques exploit the
hinged joints. The wave-induced motion of these natural rise and fall of the level of the oceans caused
Wave and Tidal Energy Conversion 391

principally by the interaction of the gravitational Currents are also generated by the winds as well
fields in the planetary system of the earth, the sun, as temperature and salinity differences. The term
and the moon. The main periods of these tides are ‘‘marine currents,’’ often found in literature, encom-
diurnal at approximately 24 h and semidiurnal at passes several types of ocean currents. Wind-driven
12 h 25 min. This motion is influenced by the currents affect the water at the top of the oceans,
positions of the three planets with respect to each from the surface down to approximately 600 to
other, and these positions vary during the year. 800 m. Currents caused by thermal gradients and
Spring tides occur when the tide-generating forces of salinity differences are normally slow deep water
the sun and moon are acting in the same directions. currents that begin in the icy waters around the north
In this situation, the lunar tide is superimposed to the polar ice. Wind-driven currents appear to be less
solar tide (Fig. 9). Some coastlines, particularly suitable for power generation than do tidal currents
estuaries, accentuate this effect, creating tidal ranges because the former are generally slower. Moreover,
of up to approximately 17 m. Neap tides occur when tidal currents usually exhibit their maximum speed in
the tide-generating forces of the sun and moon are comparably shallow waters accessible for large
acting at right angles to each other. engineering works.
The vertical water movements associated with the The global tidal range energy potential is estimated
rise and fall of the tides are accompanied by roughly to be 3000 GW, with approximately 1000 GW being
horizontal water motions termed ‘‘tidal currents.’’ available in comparably shallow waters. However, the
Therefore, a distinction should be made between tidal energy resource that could realistically be
tidal range energy (the potential energy of the water developed (tidal ranges of 4.5–5.0 m or higher) is
at high tide) and tidal current energy (the kinetic confined to a few regions with exceptional tidal ranges
energy of the water particles in horizontal direction (Fig. 10). Within the European Union, France and the
in a tide). United Kingdom have sufficiently high tidal ranges of
Tidal currents have the same periodicities as do up to approximately 10 m. Beyond the European
the vertical oscillations and so are predictable, but Union, Canada, the Commonwealth of Independent
they tend to follow an elliptical path and do not States (CIS), Argentina, Western Australia, and Korea
normally involve a simple to-and-fro motion. Where have potentially interesting sites that have been
tidal currents are channeled through constraining investigated periodically.
topography, such as in straits between islands, in Recent studies indicate that marine currents have
shallows between open seas, and around the ends of the potential to supply a significant fraction of future
headlands, very high water particle velocities can electricity needs. Tecnomare SpA and IT Power Ltd.
occur. These relatively rapid tidal currents typically studied 106 locations in European waters that were
have peak velocities during spring tides in the predicted to be suitable for current energy exploita-
neighborhood of 2 to 3 ms 1 or more. tion. The potential of these sites resulted in an

Third Half moon First New moon


quarter quarter

Solar
tide
Lunar
Earth tide

29.5 days Moon

Moon Earth
orbit orbit

Sun
FIGURE 9 Interaction of lunar and solar tides during a lunar month.
392 Wave and Tidal Energy Conversion

Basin Barrage Sea


7

10 5 Sluice
9 gate
8 7
10 Turbine
6

5
7

FIGURE 10 Regions of exceptional average tidal range. Seabed

FIGURE 11 Operating concept of a tidal barrage.

installed capacity of marine current turbines of more


than 12,000 MW. Locations with particularly in-
tense currents are found around the British Isles with the greatest electricity demand, thereby allow-
and Ireland, between the Channel Islands and ing the tidal plant to function with some of the
France, in the Straits of Messina between Italy and characteristics of a ‘‘pumped storage’’ hydroelectric
Sicily, and in various channels between the Greek facility.
islands in the Aegean. Other large marine current A recently proposed technology to exploit tidal
resources can be found in regions such as Southeast range energy, termed ‘‘offshore tidal conversion,’’
Asia, both the east and west coasts of Canada, and relies on the use of impoundment structures placed
many other places around the globe that require offshore on shallow flats with large tidal ranges.
further investigation. Rather than blocking an estuary, impoundment
structures would be completely independent of the
shoreline. Such structures, which could be built of
economical rubble mound construction materials,
3.2 Tidal Energy Conversion Techniques
would resolve many of the environmental and
3.2.1 Tidal Range Energy economic problems of shoreline tidal barrages.
The technology required to convert tidal range
energy into electricity is very similar to the technol- 3.2.2 Tidal Current Energy
ogy used in traditional hydroelectric power plants. Tidal currents can be harnessed using technologies
The first requirement is a dam or ‘‘barrage’’ across a similar to those used for wind energy conversion, that
tidal bay or an estuary. Building dams is an expensive is, turbines of horizontal (Fig. 12) or vertical (Fig. 13)
process. Therefore, the best tidal sites are those axis (‘‘cross-flow’’ turbines). Because the density of
where a bay has a narrow opening, thereby reducing water is some 850 times higher than that of air, the
the necessary dam length. At certain points along the power intensity in water currents is significantly
dam, gates and turbines are installed. When there is higher than that in airflows. Consequently, a water
an adequate difference in the elevation of the water current turbine can be built considerably smaller than
on the different sides of the barrage, the gates are an equivalent-powered wind turbine.
opened. This ‘‘hydrostatic head’’ that is created A novel technique recently developed by Engineer-
causes water to flow through the turbines, turning ing Business Ltd. in the United Kingdom uses a
an electric generator to produce electricity (Fig. 11). hydrofoil, which has its attack angle relative to the
Electricity can be generated by water flowing onset water flow varied by a simple mechanism
both into and out of a basin. Because there are two (Fig. 14). This causes the supporting arm to oscillate,
high tides and two low tides each day, electrical which in turn forces hydraulic cylinders to extend
generation from tidal power plants is characterized and retract. This produces high-pressure oil, which is
by periods of maximum generation every 12 h, with used to drive a generator. A more detailed description
no electricity generation at the 6-h mark in between. of the technique is provided in the next section.
Alternatively, the turbines can be used as pumps to Other techniques for tidal current energy conver-
pump extra water into the basin behind the barrage sion have been proposed in the past, for example, the
during periods of low electricity demand. This generation of vortices by submerged delta wings to
water can then be released during the day periods drive horizontal axis turbines.
Wave and Tidal Energy Conversion 393

FIGURE 13 Vertical axis tidal current turbine (floating plat-


form). Reprinted with the permission of Ponte di Archimede nello
Stretto di Messina SpA.

FIGURE 12 Horizontal axis tidal current turbine. Reprinted FIGURE 14 Stingray generator. Reprinted with the permission
with the permission of Marine Turbines Ltd. of Engineering Business Ltd.

3.3 Advantages and Disadvantages of


leading to long payback periods. As a consequence,
Tidal Energy Conversion
the electricity cost is highly sensitive to the discount
3.3.1 Tidal Range Energy rate used. Therefore, access to suitable funding is a
Tidal barrage technology is considered mature, but serious problem and is unlikely to be achieved
as with all large civil engineering projects, there without public intervention.
would be a series of technical and environmental Offshore tidal technology is expected to be
risks to address. The main environmental risks are associated with less environmental damage than are
associated with the changes in water levels that traditional shoreline barrages. Furthermore, offshore
would modify currents and sediment transport and tidal schemes are predicted to be more economical
deposit. However, there are regional development than tidal barrages. The structures would be built in
benefits as well. For example, the La Rance plant in a similar way to rubble mound breakwaters using
France, the only commercial tidal range conversion conventional inexpensive materials such as sand,
scheme so far, includes a road crossing linking two loose rock, and gravel. Their load factors would be
previously isolated communities and has allowed higher than those of barrages. In contrast to
further development of the distribution network for barrages, which must generate primarily in one
raw materials and developed products. direction (on the ebb tide) to minimize progressive
Tidal barrage projects normally require high disruption of the intertidal zone, offshore tidal
capital investment at the outset and so have relatively converters would be free to use both the ebb and
long construction periods and low load factors, flood tides for generation.
394 Wave and Tidal Energy Conversion

3.3.2 Tidal Current Energy energy yield of the 10 horizontal Kaplan turbines
Several types of tidal current conversion devices, averages 544 GWh.
particularly fully submerged devices, are subject to The good performance of La Rance has resulted in
the corrosive effects of seawater. This leads to high examination of several other projects in France,
construction costs because it becomes necessary to use particularly in La Somme and Saint-Brieux bays, in
corrosion-resistant materials. In addition, maintenance Brest roadstead, along the Cotentin peninsula west
becomes difficult because divers are needed to access coast, and a 200-square-kilometer area between
submerged machinery. Although placing the generator Grandville, Chausey islands, and Coutainville. These
above water can minimize the need for divers, projects were finally abandoned due to their very
maintenance costs would still be higher than, for high investment costs and concerns over ecological
example, in wind turbines. The installation of large impact. The Russians built a small 400-kW device
schemes could also be confronted with major technical near Murmansk that was later followed by a 17.4-
problems, safe and economical methods of deploy- MW experimental device built by the Canadians at
ment, and recovery requiring further investigation. Annapolis. A series of small plants have been
One specific advantage of tidal current conversion installed in China. In the United Kingdom, a series
technologies is their limited environmental impact. of industrial consortia in collaboration with the
This is considered negligible because their operation government have investigated the prospects for tidal
is not associated with polluting gas emissions. Their energy on the Severn, Mersey, and a number of
installation requires only minimal land use, and fully smaller estuaries. None of these schemes has
submerged devices will not affect their surroundings progressed to full-scale development.
optically or acoustically. Their effects on flora and The comparably high generation costs and long
fauna have not been studied extensively, but it is payback periods of tidal range schemes imply that
unlikely that they would be of significance. In within deregulated electricity markets, which are
contrast to atmospheric airflows, the availability of based on private investment, tidal energy is unlikely
tidal currents can be predicted very accurately to be commercially developed if the kilowatt-hour
because their motion will be tuned with the local price does not become competitive with cost-effective
tidal conditions. The power density from flowing renewable energies.
water is much higher than that from most other The generation costs of offshore tidal energy are
forms of renewable energy. Thus, marine current expected to be lower than those of tidal barrage
converters could be built considerably smaller than schemes. Offshore tidal energy is currently being
equivalent machines, for example, those for wind investigated in the United Kingdom. Three projects are
energy conversion. Finally, submerged marine cur- in development, with two of them having a capacity of
rent converters are considered to operate in a safe 30 MW and one having a capacity of 432 MW.
environment. It is evident that disturbances caused
by extreme weather conditions are significantly 3.4.2 Tidal Current Energy
attenuated to the depths of approximately 20 to Tidal current technology is in its infancy. However,
30 m where the devices will normally operate. recent developments in this area open up prospects
for commercial deployment of some schemes in the
3.4 Tidal Energy Conversion near future. The economical viability of these
schemes has not yet been proven, with the estimated
Development Status
production costs typically ranging from approxi-
3.4.1 Tidal Range Energy mately 0.08 to 0.35 h/kWh. However, it is antici-
The first large-scale, commercial tidal range energy pated that the production costs will decrease as the
plant was built on the La Rance estuary in France technologies advance.
during the 1960s and has now operated successfully Currently, different pilot plants are in operation or
for more than 30 years. The La Rance station is still about to be installed, mainly in Europe. The devices
the only industrial-sized tidal power station in the rely on the horizontal or vertical axis turbine
world. Its 240-MW power is roughly one-fifth that of concepts and on the previously outlined oscillating
an EDF (Electricité de France) nuclear reactor and is hydrofoil technique. The most promising schemes
more than 10 times that of the largest other tidal are described in what follows.
stations in the world. The barrage was designed for The SEAFLOW device (Fig. 12), developed by
two-way operation. Today, it is operated nearly Marine Current Turbines Ltd. in the United King-
exclusively in ebb generation mode. The net annual dom, consists of an axial flow rotor of approximately
Wave and Tidal Energy Conversion 395

15 m in diameter, rated at approximately 300 kW in was deployed in September 2002 at Yell Sound at a
a current velocity of roughly 2.0 to 2.5 ms 1. The depth of 36 m and has since been in operation. A
system will be installed on a mono-pile, socketed to simultaneous program, aiming to start installation of
the seabed at a depth of approximately 30 m. This a 5-MW demonstration farm with connection to the
project is expected to lead directly to a second phase local distribution network, was expected to com-
involving the development of 5 to 10 larger turbines, mence in the summer of 2004.
approximately 1 MW each. The SEAFLOW device is
the successor of a 15-kW prototype with a 3.5-m
rotor diameter that was tested successfully in 1994. 4. CONCLUSIONS
A similar device developed by SINTEF Energy
Research in Norway is aimed to be the first tidal The sea is a colossal reservoir of energy of
current converter that produces power for the grid. particularly high density—the highest among the
The turbine has a 25-m high tower with a 20-m renewables. The use of this energy resource could
diameter rotor, although the tower is capable of cover a significant part of the electricity demand
supporting a 30-m rotor. The turbine design allows worldwide. Currently, the exploitation of two forms
the pitch of the blades to be changed to optimize of ocean energy, namely ocean wave energy and tidal
power transfer from the tidal currents. When the tide energy, is considered prospective for massive power
turns, the blades are turned 1801 and the direction of generation in the near future.
rotation is reversed so that both current directions Although R&D on ocean energy conversion is
can be used. The prototype was expected to undergo under way in several countries around the world,
further development until 2004. If the pilot project ocean energy technologies have not yet been devel-
produces the results that its owners are seeking, they oped on an industrial level. However, considerable
owners will proceed with the installation of a 20- progress has been made in this sector over the past
turbine plant in the Kvalsund Strait. decade or so in Asia, Australia, Europe, and North
The ENERMAR device (Fig. 13), developed by America. For some technologies, this has resulted in
Ponte di Archimede nello Stretto di Messina SpA in approaching commercialization, whereas other tech-
Italy, employs a patented vertical axis rotor termed nologies require further R&D.
‘‘Kobold’’ connected to a synchronous generator. Wave energy conversion is characterized by a large
The rotor has an outer diameter of 6 m and consists number of techniques. The environmental impact of
of three blades with a span of 5 m each and a chord most of them is considered negligible. Different
length of 0.4 m. An important feature of the device is schemes, mainly oscillating water columns and
that the direction of rotation of the rotor is heaving, pitching, and overtopping devices, could
independent of the current direction. The system is meet the goal of electricity production on a
mounted on a floating platform 10 m in diameter. In commercial scale by 2010.
2002, a prototype was deployed in the Strait of The concepts for tidal energy conversion can be
Messina 150 m offshore at a depth of 20 m. Tests classified into techniques converting the potential
performed on the prototype indicate that the turbine energy of the tides and techniques exploiting the
produces approximately 20 kW of power at a kinetic energy of tidal currents. The traditional
current speed of 1.8 m/s, indicating a global system technique of exploiting the tidal head by using dams
efficiency of 23%. In a current of 3.2 m/s, 150 kW is built across bays or estuaries still remains costly,
expected. having a major environmental impact. However,
The Stingray Generator (Fig. 14), developed at offshore impoundment structures could resolve many
Engineering Business Ltd. in the United Kingdom, of the problems of shoreline tidal range energy
uses a novel technique patented by the company conversion. The progress in tidal current conversion
during the late 1990s. The device produces electricity over the past years has been considerable. Recently,
using the oscillatory movement of hydroplanes developed techniques are being considered environ-
driven by flowing water. The hydroplanes rise and mentally compatible and are predicted to become
fall as the angle of each hydroplane is altered at the economically viable in the medium term.
end of each stroke. A hydraulic cylinder is connected The potential for improvement of the technoeco-
to the hydroplane arm, and the up-and-down move- nomical performance of ocean power conversion
ment generates high-pressure oil that is used to drive technologies is large. After their integration and their
a hydraulic motor, which in turn drives an electric penetration into the world electricity market, ocean
generator. A full-scale prototype rated at 150 kW energy conversion technologies are expected to make
396 Wave and Tidal Energy Conversion

substantial contributions to the achievement of a the exploitation of marine currents at a commercial scale.’’
wide range of objectives of environmental, social, Paper presented at the Third European Wave Energy Con-
ference, Patras, Greece.
and economic policies in many countries around Lewis, T. (1985). ‘‘Wave Energy: Evaluation for C.E.C.’’
the world, providing superior services to their EUR9827EN.
populations. Petroncini, S. (2000). Introducing wave energy into the renewable
energy marketplace. Master’s thesis, University of Edinburgh.
Rademakers, L. W. M. M., van Schie, R. G., Schuttema, R.,
SEE ALSO THE Vriesema, B., and Gardner, F. (1998). ‘‘Physical model testing
FOLLOWING ARTICLES for characterizing the AWS.’’ Paper presented at the Third
European Wave Energy Conference, Patras, Greece.
Ross, D. (1995). ‘‘Power from the Waves.’’ Oxford University
Hydropower Resources  Hydropower Technology  Press, Oxford, UK.
Ocean, Energy Flows in  Ocean Thermal Energy  Salter, S. H. (1989). World progress in wave energy—1988. Intl. J.
Tidal Energy  Wind Energy Technology, Environ- Ambient Energy 10(1).
mental Impacts of  Wind Resource Base Tecnomare SpA & IT Power Ltd. (1995). ‘‘Marine Currents
Energy Extraction.’’ EUR16683EN.
Thorpe, T. W. (1992). ‘‘A Review of Wave Energy.’’ ETSU-R-72.
Further Reading Thorpe, T. W. (1999). An overview of wave energy technologies:
Status, performance, and costs. Paper presented at IMECHE
Clément, A. H., McCullen, P., Falcão, A., Fiorentino, A., Gardner,
seminar, ‘‘Wave Power: Moving towards Commercial Viabili-
F., Hammarlund, K., Lemonis, G., Lewis, T., Nielsen, K.,
ty,’’ London.
Petroncini, S., Pontes, M-T., Schild, P., Sjöström, B. O., Tidal Electric. (2002). Power comes in. Intl. Water Power Dam
Srensen, H. C., and Thorpe, T. (2002). Wave energy in Constr., 24–27.
Europe: Current status and perspectives. Renewable Sustainable
Yemm, R. (1999). The history and status of the Pelamis Wave
Energy Rev. 6, 405–431. Energy Converter. Paper presented at IMECHE seminar, ‘‘Wave
Fraenkel, P. L., Clutterbuck, P., Stjernstrom, B., and Bard, J. Power: Moving towards Commercial Viability,’’ London.
(1998). ‘‘Seaflow: Preparing for the world’s first pilot project for
Wetlands: Impacts of
Energy Development in
the Mississippi Delta
JAE- YOUNG KO and JOHN W. DAY
Louisiana State University
Baton Rouge, Louisiana, United States

level rise (i.e., worldwide sea level rise due to global


1. Introduction warming) and sinking of the land as a result of
subsidence.
2. Impacts on Plant Physiology
subsidence Sinking or settling of the land surface due to
3. Impacts on Estuarine Consumers natural (compaction and consolidation of sediments) or
4. Hydrological Disturbance and Land Loss artificial causes.
5. Conclusion

Glossary
accretion The upward growth of a sedimentary deposit The Mississippi Delta encompasses the largest area
due to settling of suspended sediments or in situ organic of coastal wetlands in the United States and supports
soil formation (due to root growth). one of the most extensive developments of petroleum
benthos Aquatic bottom-dwelling organisms; benthic is extraction of any coastal area in the world. This area
the adjective form (e.g., benthic animals). has experienced ecological impacts from energy
bioremediation The addition of materials to a contami- development related human activities since the early
nated environment to cause an acceleration of the 1900s. The Louisiana coastal zone encompasses
natural biodegradation processes. approximately 3.8 million ha (9.5 million acres). The
estuary Any semi-enclosed coastal body of water that has a
zone includes water bodies, marsh (fresh, intermedi-
connection with the open sea and within which fresh
ate, brackish, and salt), forested wetlands,
water and salt water mix.
impoundment An enclosed wetland that is hydrologically submerged aquatic vegetation, mudflats, beaches,
isolated, either completely or partially, from the sur- and upland habitats on natural levees with forests,
rounding ecosystem; impoundment can be due to a agriculture, and urban development. Marshes make
combination of natural (e.g., beach ridge, natural levee up approximately 63% of the land area in the coastal
ridge) and anthropogenic (e.g., road embankment, spoil zone, and coastal Louisiana contains approximately
bank) features. 60% of the estuaries and marshes in the Gulf of
levee A linear dike or embankment built along the bank of Mexico. Coastal wetlands are vital for protecting
a channel, often to prevent inundation of lowlands by developed areas from storm surges, providing wild-
flooding. life and fish habitat, and improving water quality.
primary production Total amount of organic matter newly
The coastal zone has experienced multiple ecological
formed during photosynthesis.
produced water By-product of the oil production process
impacts due to human activities, including leveeing
that is brought to the surface along with petroleum; of the Mississippi River, large-scale wetland reclama-
produced water often contains high levels of salt, heavy tion, water quality deterioration, pollution, and
metals, and hydrocarbons. widespread disruption of hydrology. Oil and gas
relative sea level rise A rise in sea level relative to development has contributed significantly to these
that of the land due to a combination of eustatic sea impacts.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 397
398 Wetlands: Impacts of Energy Development in the Mississippi Delta

1. INTRODUCTION located in the coastal zone. Approximately 25% of


domestic crude oil and 33% of domestic natural gas
Historically, Louisiana has been the second most of the nation flow through Louisiana’s coastal
important oil- and gas-producing state behind only marshes. More than $12 billion in revenues from
Alaska. Crude petroleum is a complex mixture of leases and production in the coastal zone was
mainly hydrocarbons and organic compounds of collected from 1926 to 1983. In 2000, the revenue
sulfur, nitrogen, and oxygen. Geologically, organic was $354 million for mineral royalties only, and
matter that accumulated in sandstones, siltstones, approximately 1.8 million jobs in Louisiana were
and shales during the Cenozoic era was transformed related to the oil industry. Fully 40% of the U.S.
into petroleum by heat and pressure. The northern refining capacity is located within the coastal zone in
coast of the Gulf of Mexico had a thermal regime the Gulf of Mexico region. Therefore, the risk of
favorable to optimal maturation of organic matter ecological damages in the Mississippi Delta from
into hydrocarbons and formed stratigraphic traps energy development has been high (Fig. 1).
through faulting and salt movements. In Louisiana, Oil and gas development activities have had
oil and gas are produced from formations of the multiple ecological impacts on wetlands and coastal
Paleocene through Pleistocene eras in the subsurface ecosystems through the various stages of oil and gas
coastal and offshore areas. Oil production in development, including oil exploration, drilling site
Louisiana began in 1902, and the first oil production access, site preparation, drilling, production, pipeline
in the coastal zone occurred in 1926. The coastal installation, spills and cleanup, and site closure
zone produced more than 50% of oil production in (Table I). Wetland ecosystems are susceptible to oil-
the state during the 1950s and reached a peak in and gas-related activities for a number of reasons.
1970 with 513 million barrels. From the 1920s to the First, the high productivity of wetland vegetation is
1980s, 58% of the state’s total oil production and dependent on natural hydrological flows and inputs
47% of the state’s natural gas production were in the of nutrients and sediments to the Mississippi Delta.
Louisiana coastal zone. Gas production in the coastal Second, levees, canals, and impoundment disrupt the
zone peaked in 1969 at 7.8 trillion cubic feet. By natural hydrological regime in the Mississippi Delta
1990, there were more than 500 oil and gas fields in and, in turn, affect plant health and sediment
the Louisiana coastal zone. By 1987, more than dynamics. Third, subsidence due to depressurization
13,000 state leases for oil and gas development had from oil and gas production enhances subsidence.
been issued, and more than half of the leases were Fourth, pipelines for transporting oil and gas

TEXAS LOUISIANA MISSISSIPPI

• Baton Rouge

• Lake Charles
• Lafayette
New Orleans
Louisiana Louisiana
coastal state
zone Morgan City waters
Houma Mi
ss
iss
ipp
i ri
ve
Oil production r

Gas production

0 Miles 50

FIGURE 1 The distribution of oil and gas fields in the Louisiana coastal zone as of 1981. Reprinted from Lindstedt et al.
(1991).
Wetlands: Impacts of Energy Development in the Mississippi Delta 399

TABLE I
Multiple Impacts of Energy Development inside Wetlands

Stage Short-term impacts Long-term impacts

Exploration Changes in marsh surface elevation Changes in surface hydrology and drainage
Breaks in natural hydrological barriers Saltwater intrusion
Noise and commotion during exploration Changes in plant growth, organic matter
accumulation, and sediment distribution
Immediate loss of marsh vegetation
Destruction of biota
Changed habitat
New migration pattern of aquatic organisms inside marsh
Access to site Direct conversion to open water Increased wave action
Direct conversion to spoil bank habitat Changed water circulation and turnover; stagnant
water
Return of nutrients and toxins to marsh Dredged canal deeper than natural channel
Noise and commotion during construction Intercepted freshwater flow
Immediate loss of marsh/shallow water habitat Saltwater intrusion
Changes in soil/water chemistry Increased drainage of marsh
Destruction of biota Changes in surface hydrology and drainage
Potential for interrupting fish spawning and feeding Changes in sediment distribution
Potential negative impact on plant growth Changes in interaction of surface/subsurface
hydrology and sediment distribution
Potential for disturbing avifauna nesting by noise
Drilling Reduction in water quality Alteration of surface hydrology and drainage
Return of nutrients and toxins to surroundings Changes in subsurface hydrology and drainage
Inhibition of rainfall penetration Changes in sediment distribution
Noise and commotion during construction Saltwater intrusion
Increase in suspended solids
Changes in soil/water chemistry Increased sediment release from discharges
Changes in plant growth Anoxia
Destruction of biota Loss of marsh habitat
Potential for interrupting fish spawning and feeding Altered soil/water chemistry
Potential for disturbing avifauna nesting by noise Possible negative influence on aquatic/benthic
organisms
Changes in mineral accretion and soil nutrition
Production Noise and commotion during construction Noise of processing facilities
Flowlines in the marsh Changes in surface hydrology and drainage
Pit construction; toxins to surroundings Changes in subsurface hydrology and drainage
Changes in marsh elevation Saltwater intrusion
Reduction in water quality More saltwater species
Saltwater disposal Anoxia
Oil spills Increased localized subsidence
Destruction of biota Loss of marsh habitat
Potential for interrupting fish spawning and feeding Altered soil/water chemistry
Potential for disturbing avifauna nesting by noise Possible negative influence on aquatic/benthic
organisms
Pipeline building Direct conversion to open water Changes in surface hydrology
Increased turbidity Bank erosion
Loss of forested wetlands Compacted marsh surface
Noise and commotion during construction Direct habitat conversion
Increased susceptibility to storm damage Indirect wetland loss

continues
400 Wetlands: Impacts of Energy Development in the Mississippi Delta

Table I continued

Stage Short-term impacts Long-term impacts

Formation of open water ponds Changes in forest succession


Disruption of natural surface drainage Changes in plant species, composition, diversity, and
percentage cover
Release of nutrients and toxins Shoreline bank stability
Soil oxidation
Changes in plant species, composition, diversity,
and percentage cover
Nesting disturbance
Changed habitat
Disturbance of fish spawning and feeding
Impacts on plant growth
Destruction/Disturbance of benthos
Spill control Interruption of tidal cycle Loss of marsh habitat
Direct conversion of marsh to open water Injury to birds and wildlife
Trampling of vegetation
Immediate loss of marsh habitat
Temporary interruption of aquatic organism migration and
flux of matter
Injury to birds and wildlife
Disruption of avifauna nesting
Cleanup Potential disruption of substrate Loss of marsh habitat
Removal of vegetation Injury to birds and wildlife
Immediate loss of marsh habitat
Decrease in biological production
Destruction of vegetation and benthic organisms
Potential negative impact on plant growth
Potential injury to wildlife

produced inside the coastal zone and from the 2. IMPACTS ON


Outer Continental Shelf (OCS) disrupt natural PLANT PHYSIOLOGY
hydrology. Fifth, spilled oils have an impact on
wetland habitats. Sixth, spilled oil and produced 2.1 Impacts of Oil Spills
water stress estuarine consumers by increasing
turbidity, increasing salinity stress, introducing tox- Wetland plants are subject to stresses from oil spilled
ins, and so on. Finally, wetland loss decreases the during production and transportation (using tankers,
value of the coastal zone as a nursery ground for pipelines, and tank trucks). Oil spills can have
estuarine consumers and the economic value to the significant short- and long-term impacts on coastal
human economy (Fig. 2). ecosystems due to oil’s physical effects and chemical
This article reviews the multiple ecological toxicity, leading to decreased primary production,
impacts of oil- and gas-related impacts and plant dieback, wildlife mortality, and marsh erosion.
synthesizes existing information to help researchers The mechanisms of these impacts are through (1)
and managers understand how oil and gas disruption of plant–water relationships, (2) direct
development affects coastal wetland ecosystems impacts on plant metabolism, (3) toxicity to living
in Louisiana, focusing on (1) plant physiology, cells, and (4) reduced oxygen exchange between the
(2) estuarine consumers (including the benthic atmosphere and the soil. If leaves are coated with
community), and (3) hydrological disturbance and spilled oil, leaf stomata are blocked, oxygen diffusion
wetland loss. to the roots decreases, and root oxygen stress
Wetlands: Impacts of Energy Development in the Mississippi Delta 401

Human
economy

Mississippi Oil/Gas
River Flood control from
levee OCS

Sun Vegetation

Refinery
Remediation/
cleanup
Oil spills

Canals and Estuarine


spoil banks consumers
Oil/Gas
development Produced
water
Land loss
Depressurization
and subsidence

FIGURE 2 A conceptual diagram of ecological impacts of oil and gas development in Louisiana wetlands. The two main
types of impacts are toxicity of hydrocarbons and hydrological changes.

increases, leading to reduction in plant growth. An oil concentrations are reduced in wetlands through
oil-covered soil surface decreases oxygen movement, oil evaporation, natural degradation of oil, and
resulting in more anaerobic soil conditions and recovery of marsh plants.
increasing low-oxygen stress on plant roots. Aerobic However, plants subject to chronic exposure to oil
microorganisms in the oxidized sediment are more spills accumulate oil-related pollutants through
cable of degrading hydrocarbons than are anaerobic increased uptake of pollutants such as lead in
microorganisms in reduced sediment of the same pH. contaminated sediments. The severity of biological
Oil coating on leaves results in higher mortality rates effects of chronic spills is controlled by the volume
of marsh plants than does soil surface contamination. and chemical nature of the pollutants, the physical
In the short term, spilled oil can form a coating on nature of the receiving environment, and the
plant foliage and the soil surface, increasing tem- biological character and composition of the ecosys-
perature stress, reducing oxygen diffusion, and tem.
reducing photosynthesis. The severity of these Traditional cleanup methods to remove spilled
impacts is controlled by the amount of oil spilled, oil (e.g., water flushing, sand blasting, sediment
hydrological conditions (e.g., tides, winds), types of removal, vegetation removal, sorbent application)
dispersed oil, and sensitivity of plants. Toxicity varies often show limited removal efficiency. These
among various oil types. For example, diesel and methods can also cause potentially deleterious
number 2 oil are more toxic to marsh plants than is effects on long-term recovery of the impacted marsh
crude oil. Higher organic soils of fresh marshes are system because they can result in further physical
more sensitive to oil spills than is salt marsh through damage to both the vegetation and the underlying
more rapid penetration and sorption of oil into the substrate, accelerating marsh degradation. Specifi-
soil. For example, Sagittaria lancifolia is more cally, initial intensive cleanup by flushing and oil
tolerant than Spartina alterniflora, which in turn is recovery by airboats reduces the residual oil in the
more tolerant than Spartina patens. marsh but also increases oil incorporation into the
There are longer term consequences of oil spills sediment and increases risks of physical damage to
due to the persistence of oil or petroleum fractions in marsh plants. The negative impacts of physical
marshes. A period of 3 to 5 years may be required for removal of contaminated marsh plants can last for
natural recovery from accidental oil spills. Over time, several years.
402 Wetlands: Impacts of Energy Development in the Mississippi Delta

2.2 In Situ Burning potential impact of cleanser toxicity on various


organisms in wetlands. Finally, solidifiers, which
As a way in which to control oil spill impacts while
are dry, granular, hydrophobic polymers, can be used
minimizing physical damage to impacted wetlands,
for spilled oil removal. Solidifiers react with spilled
controlled in situ burning has been tested and used as
oil to form a floating cohesive and solidified mass
an option to remove oil and gas condensate in
that is easily removable, leaving very little residue.
contaminated wetlands. When water depth is suffi-
cient (e.g., 10 cm) in damaged wetlands, in situ
burning can be an efficient option because water on 2.4 Bioremediation
the surface will allow a successful burn of the above-
ground vegetative component while absorbing heat Wetland plants have the potential to enhance the
produced by the fire and preventing root burning. bioremediation process through diffusion of oxygen
However, flooding following in situ burning ad- from the shoots to the roots and soil, and its
versely affects plant growth in many species because effectiveness can be increased through applications
the immediate reduction of plant cover decreases of fertilizer, microbial products, or soil oxidants.
oxygen transportation to below-ground tissues. Full Fertilizer may be applied to spilled oil in water
recovery of marsh vegetation from in situ burning bodies before it reaches the marsh or may be applied
reportedly takes 1 to 3 growing seasons. In situ directly to marshes already contaminated with oil.
burning generates atmospheric pollutants whose Additions of soluble inorganic fertilizers stimulate
chemical components are a variety of gaseous sulfur microbial activity and prolong the period of active oil
(e.g., carbonyl sulfide, carbon disulfide) and carbon degradation. The microbial activities lead to degra-
compounds (e.g., methane, carbon dioxide) and dation of toxic petroleum products into carbon
reduced alkylated naphthalene compounds from dioxide and water. However, the effectiveness of
postburn oil. bioremediation may be limited by marsh plant
tolerance to oil-related stress, risk of eutrophication,
and soil type. Nutrients added to marshes may be
2.3 Chemical Methods transported to adjacent water bodies, leading to algal
growth. Fertilizer application is more effective in
Dispersants wash oil from surfaces such as rocks and
sandy soils than in mineral soils. In some cases, the
vegetation. However, high doses (e.g., 0.3 L/m2)
best action may be to allow the marsh to recover on
reduce total and above-ground biomass significantly,
its own, using no cleanup techniques.
at least for a short time. Another problem in
dispersant application is that it is not practicable
for use in coastal wetlands because there is little
water to dilute the dispersed oil inside wetlands. 3. IMPACTS ON
Application of cleansers (e.g., COREXIT 9580), ESTUARINE CONSUMERS
another chemical method, does not disperse oil but
rather allows oil to be washed from surfaces, such as Benthic and nekton species are key organisms, both
soils and plants, and to be collected in adjacent open ecologically and economically, in coastal and wet-
water areas by boats. Plants improve their survival, land systems. The benthic community is an impor-
regeneration, and above-ground biomass growth tant link in transferring contaminants from the
because the application leads to a recovery of sediment to higher trophic levels, and the benthic
stomatal conductance, photosynthesis, and respira- community structure is sensitive to petroleum hydro-
tion. The effectiveness of the cleanser in cleaning up carbon exposure. The ecological and biological
oil depends on oil type, delivery mode, timing, and impacts of energy development on coastal marshes
amount of oil. Marsh plants (e.g., S. lancifolia, and estuarine environments are broad and sometimes
Scirpus olneyi, Thpha latifolia) show different persistent, including mortality, growth inhibition,
sensitivities to cleanser use. Cleanser application to reduced production, altered metabolic systems, and
brackish (S. patens) and fresh (S. lancifolia) marshes tainted flesh in fish and shellfish. Oil and gas
removes oil from marsh grasses and reduces the production and transportation in coastal wetlands
short-term impact of oil spills on gas exchange of the in Louisiana have resulted in the accumulation of
vegetation, but it still reportedly results in reduced polycyclic aromatic hydrocarbons (PAHs) and heavy
above-ground biomass for the first growing season. metals in impacted areas. These compounds cause
Another problem in cleanser application is the ecological impacts, including alteration of aquatic
Wetlands: Impacts of Energy Development in the Mississippi Delta 403

community structure and food chains. Biodiversity by oxidation, redox potential, and pH and can be
and population density of the benthic community are increased by the addition of fertilizer.
significantly lower in oil-contaminated areas. Re-
cruitment and feeding patterns can also be altered by
oil pollution. 4.2 The Delta Cycle and Wetland Loss in
the Mississippi Delta
Coastal wetland loss is a major environmental
4. HYDROLOGICAL DISTURBANCE problem in coastal Louisiana. The remainder of this
article discusses evidence on the causes of this land
AND LAND LOSS loss and the role of petroleum-related activities in
contributing to wetland loss.
Petroleum-related activities in coastal Louisiana have
several secondary and indirect impacts. These
include the production of produced water, drilling- 4.2.1 The Delta Cycle
induced subsidence, and hydrological modifications To understand the factors related to wetland loss, it is
due to dredging activities. Dredging results in two necessary to understand how the Mississippi Delta
interrelated impacts: creation of new water pathways was formed. The sea level stabilized near its current
and spoil placement. level at the end of the last glaciation 5000 to
7000 years ago. Since that time, delta switching of
the Mississippi River has created a series of over-
lapping deltaic lobes that currently form the Mis-
4.1 Produced Water
sissippi deltaic plain in coastal Louisiana. Delta
Produced water is a by-product of the oil production switching occurs every 1000 years or so, resulting in
process. There are often substantial amounts of new loci for sedimentation and marsh development.
water contained in subsurface formations where oil Rapid land building occurs in active delta lobes,
and gas occur. When oil and gas are produced, this whereas submergence and wetland loss occur in
water is brought to the surface and must be disposed abandoned lobes. The Atchafalaya River is the most
of in some way. Produced water contains high recent diversion in the delta switching process.
concentrations of volatile (e.g., benzene, toluene), Subaerial expression of the new Atchafalaya Delta
and semivolatile hydrocarbon contaminants (e.g., began in 1973, and this area has a net gain of
aliphatic hydrocarbons, alkylated polycyclic aro- wetlands. Thus, the delta building process is a
matic hydrocarbons) as well as high concentrations balance between forces that lead to growth of the
of aromatic acids and aliphatic fatty acids. Some delta and those that cause deterioration. The Mis-
produced water also contains metals such as vana- sissippi River is the major force leading to land gain.
dium, arsenic, and copper. These toxic metals and Overbank flooding and reworking of sands have
organics often accumulate in wetlands due to poor formed a skeletal framework of natural levee ridges
freshwater flow or tidal exchange. Produced water and barrier islands within which the delta plain has
also often contains high levels of brine. The degree of formed. Deposition of both coarse and fine-grained
ecological impacts on wetlands is influenced by (1) sediments formed wetlands and maintains existing
discharge rate, (2) quantity and quality of the wetlands. Sediments resuspended during storms are
hydrocarbons and trace metals present in a particular an important source of sediments to maintain
discharge, (3) local hydrology, (4) sediment distur- marshes. Once a wetland forms, organic soil forma-
bances (e.g., dredging, boat traffic), and (5) sediment tion by wetland plants is an important mechanism
types (organic carbon content and texture). Volatile for maintaining coastal marshes.
and semivolatile organic compounds of produced Naturally, wetland deterioration is caused by two
water are accumulated in organisms (e.g., oysters, primary forces: subsidence and wave erosion along
freshwater mussels). However, when exposed to a shorelines. Geological subsidence is caused by
contaminant-free environment, oysters release accu- compaction, dewatering, and consolidation of sedi-
mulated hydrocarbons. Heavy metals are reported ments. Subsidence in deltas leads to a rate of relative
not to influence hydrocarbon degradation in sedi- sea level rise (RSLR) that is often much greater than
ments at the produced water discharge site. The eustatic rise. For example, whereas the current rate
degradation rate of petroleum hydrocarbon in of eustatic rise is 1 to 2 mm/year, the RSLR in the
sediments exposed to produced water is controlled Mississippi Delta is greater than 10 mm/year; thus,
404 Wetlands: Impacts of Energy Development in the Mississippi Delta

eustatic sea level rise accounts for only 10 to 15% of led to much greater waterlogging stress on plants.
total RSLR. If wetlands in deltas do not accrete Spoil banks associated with oil and gas fields led to
vertically at a rate equal to the rate of RSLR, they reduced sediment input and lower organic soil
will become stressed due to factors such as water- formation, exacerbating sediment accretion deficits.
logging, sulfide toxicity, and salt stress and will
ultimately disappear. Because vertical accretion is
4.3 Canal and Spoil Banks
stimulated by both outside sediment input and in situ
organic soil formation, a reduction of sediment input Canals have been constructed in the coastal wetlands
or an increase in plant stress can lead to lowered of Louisiana since Europeans first settled in the
accretion rates and wetland loss. Subsidence gener- region during the early 1700s. For nearly two
ally leads to wetland loss in interior wetlands. Wave centuries, these canals were dredged mainly for
erosion leads to wetland loss along exposed shor- navigation, flood protection, and drainage. However,
elines. As a deltaic lobe progressively deteriorates, after the 1930s, the discovery of oil and gas fields in
wave erosion becomes relatively more important. the coastal zone led to an explosion of canal
construction related to oil and gas production. By
4.2.2 Wetland Loss in the Mississippi Delta the mid-1980s, there were more than 15,000 km of
during the 20th Century canals, the surface area of canals was equivalent to
During the 20th century, there was a dramatic 2.3% of wetland area, and the total area of spoil
reversal of the net growth of the Mississippi Delta bank levees plus canal surface was approximately
that had taken place over the past several thousand 9.5% of wetland area.
years. High rates of land loss occurred (with When a canal is dredged, the dredged material is
estimates up to 100 square kilometers/year), and a deposited along the sides of the canal, creating a
total area of 4000 square kilometers of coastal more or less continuous elevated bank called a spoil
wetlands has been lost. A number of factors have bank. Spoil banks generally consist of highly organic
been linked to land loss, including elimination of marsh soil. As the spoil banks settle and dewater and
riverine input to most of the coastal zone due to as organic matter oxidizes, they create a levee that
construction of flood control levees along the runs parallel to the canal (Fig. 3). Canals and
Mississippi River, altered wetland hydrology due to associated spoil banks alter natural hydrology in
factors such as canal construction and impound- two main ways. First, the canals are deep and
ments, saltwater intrusion, wave erosion along straight, in striking contrast to the mostly shallow
exposed shorelines, a decline in suspended sediments and sinuous tidal channels. Because of this, dredged
in the Mississippi River, the effects of geological canals tend to preferentially capture flow from
faulting, and high RSLR. natural channels. It has been shown that as the
density of canals in an area increases, the density of
4.2.3 Effects of Oil and Gas Production natural channels decreases. If canals are long and
on Subsidence deep enough (e.g., navigation channels that stretch
As stated previously, the regional rate of geological from the Gulf of Mexico inland to freshwater areas),
subsidence in the Mississippi Delta is approximately they can cause significant saltwater intrusion and
10 mm/year. This is due to compaction, dewatering, death of freshwater wetlands. Two notable examples
and consolidation of sediments. Recently, Morton of this are the Mississippi River Gulf Outlet, which
and colleagues showed that the rate of subsidence in caused the death of extensive cypress forests south-
producing oil and gas fields was considerably higher east of New Orleans, and the Calcasieu Ship
than this regional average (as much as 23 mm/year). Channel, which led to loss of extensive sawgrass
They concluded that the increasing and then decreas- marshes in southwest Louisiana.
ing pattern of land loss in south central Louisiana was In contrast to deep canals that enhance water flow,
attributable partly to increased and then decreased oil spoil banks reduce water exchange. Spoil banks
and gas production. Decreases in subsurface pore reduce or even eliminate overland flow. Because of
pressures associated with production were so large the presence of spoil banks, partially impounded
that stressed faults were reactivated, leading to rapid areas have fewer but longer periods of flooding and
subsidence on the down-thrust side of the fault. This reduced water exchange in comparison with unim-
enhanced subsidence led to wetland plant stress and pounded marshes. Ponds usually develop behind
death, as discussed previously. Thus, enhanced canals and spoil banks, and high wetland loss is
subsidence on top of regional geological subsidence associated with areas of high hydrological changes.
Wetlands: Impacts of Energy Development in the Mississippi Delta 405

A B

Isolated pond (no scale)


Marsh
Spoil bank

Natural levee
Oil/Gas
well
Marsh
Canal
(No scale)
Natural tidal channel Connected
pond

C D
2−3 m
15−40 m
Isolated pond High tide

2−4 m
30−40 cm

High tide
Pond
Water Water connected

Up to
Spoil mound

1m
Root mat Low tide
Marsh deposit Water Water
Marsh deposit Low tide

FIGURE 3 Schematic diagrams of canal dredging on coastal marshes. (A) Top view of a natural tidal channel and natural
levee. (B) Top view of canal dredging showing straight canal and spoil bank. (C) Cross-sectional view of natural marsh. Note
the streamside natural levee and shallow tidal channel and that high tide is higher than the natural levee. (D) Cross-sectional
view of a dredged canal. Note that the dredged canal is deep, water level variation is higher than in natural channels, and the
spoil bank is higher than normal high tide, preventing flooding of the marsh.

As discussed previously, if canals are associated with 4.4 Impoundment


oil and gas fields, subsidence is enhanced through
depressurization during and after oil and gas Coastal marshes exchange water, organic materials
production. (e.g., detritus), nutrients (e.g., nitrogen, phosphorus),
Tidal currents are stronger through dredged canals and organisms with surrounding estuarine waters,
than through natural channels. This, coupled with supporting estuarine fish and shellfish. One impact
erosion from boat wakes, results in erosion of the that has affected these processes in coastal marshes is
banks. Annual increases in canal widening range impoundment. Impoundments have been constructed
between 2 and 14% per year, for a doubling time of 5 for a number of reasons. Beginning in the 19th
to 60 years. Canals also worsen water quality century, impoundments were constructed for the
problems. Normally, nutrient- and sediment-laden purpose of land reclamation for urban and agricul-
point and nonpoint source runoff from uplands tural activities. Many of these reclaimed areas failed
would naturally flow slowly through wetlands where due to excessive subsidence and flooding during
nutrients and sediments would be assimilated. hurricanes. But some remain, mainly in the metro-
Canals short-circuit this flow, leading to direct politan area of New Orleans. During the 20th
introduction of nutrients and suspended sediments century, many impoundments were constructed in
and to eutrophication in open water bodies. the coastal zone to enhance conditions for waterfowl
406 Wetlands: Impacts of Energy Development in the Mississippi Delta

and for marsh management. In addition to these petroleum activity, has changed the delta dramati-
purposefully constructed impoundments, large areas cally. These canals allow saltwater intrusion, reduce
of the coastal zone have been completely or partially water and sediment movement, and contribute to
impounded by the cumulative impacts of canal and low accretion rates. Impoundments isolate large
spoil bank construction. Approximately 30% of the areas of the coastal zone from adjacent estuarine
total wetland area in coastal Louisiana has been areas.
impounded, either purposefully or by accident.
Impoundments have been shown to have a number 4.4.2 Role of Petroleum Activity
of detrimental impacts in that they reduce water In the vicinity of oil and gas fields, subsidence
exchange and accretion inside impoundments, lower increased due to depressurization and surface
vegetation productivity, and reduce movement of hydrology was altered due to canals and spoil banks.
migratory fishes, leading to deteriorating marshes. Thus, RSLR was increased and the rate of accretion
was reduced. This is due both to a reduction in
4.4.1 Petroleum-Related Activities and allochthonous sediment input and to in situ organic
Wetland Loss soil formation. Some have attributed practically all
From the preceding discussion, a number of conclu- wetland loss in the coastal zone to canals. There is no
sions emerge. Naturally, wetland establishment and doubt that oil and gas activity have had a major
deterioration in the Mississippi Delta is a very impact on wetland loss. In areas of intense oil and
complicated process involving numerous factors, gas extraction, it is likely that most wetland loss can
including geological and geophysical (e.g., channel be related to the combined impacts of increased
switching, sediment introduction and deposition, subsidence and surface alterations. But high rates of
subsidence, vertical accretion, wave erosion, salt- wetland loss are also related to wave erosion,
water intrusion, sea level rise), biogeochemical (e.g., saltwater intrusion, and changes in the engineering
anaerobic soil formation, sulfate reduction, peat of the mouth of the Mississippi River. Nonetheless,
decomposition), and ecological (e.g., waterlogging there is no doubt that petroleum-related activities are
and salinity increase leading to plant stress and directly responsible for a significant proportion of the
death, rates of organic soil formation, herbivore land loss in the coastal zone. It is probably not
grazing) factors. Prior to extensive alteration by possible to put a specific value on this land loss due
human activity, there were large gains and losses of to the complexity of the land loss problem.
wetlands in various parts of the deltaic plain as the From a broader perspective, it is better to consider
river changed course. But over the past 5000 to 6000 the functioning of the whole coastal system and the
years, the net result of these processes was a large net conceptual model developed earlier in this article.
gain of wetlands. Both the supply side (inputs to the delta) and the
During the 20th century, the long-term net gain of receiving system (the delta plain) have been affected.
wetlands was reversed and wetland area in the delta Both riverine input and resuspended inputs have been
decreased by approximately 25%. Clearly, some of reduced. At the mouth of the Atchafalaya River, oil
this loss was natural and would have occurred and gas fields are not associated with wetland loss.
without human impacts. But it seems clear that the Thus, it is the combination of all these forces, but oil
dramatic reversal from net gain to net loss can be and gas have had a dramatic impact.
attributed to human activities. Two general and
interrelated processes are responsible for the losses:
pervasive hydrological change and dramatically 5. CONCLUSION
increased subsidence.
From a hydrological point of view, there have Petroleum exploration, production, and transporta-
been two pervasive changes. First, the delta has been tion in the Louisiana coastal zone increased drama-
nearly completely isolated from the river that built it. tically from the early 20th century to the 1970s. Oil
Levees extend to the mouth of the main channel of and gas production in inshore bays and wetlands of
the river, and 70% of sediments and water flow into the coastal zone then decreased beginning in the late
the Gulf of Mexico. Only in the Atchafalaya Delta 1970s, but there is still a high level of transportation
region does river water enter a shallow inshore area, of oil and gas through the coastal zone from the OCS
and this is an area of land gain. Internally in the and Louisiana Superport. These activities have had
delta, there have been massive hydrological changes. significant impacts on floral and faunal communities,
A dense network of canals, most associated with resulting in significant deterioration of coastal and
Wetlands: Impacts of Energy Development in the Mississippi Delta 407

wetland ecosystems. These impacts are related to the subsidence. On the surface, canals significantly
toxicity of spilled oil and the secondary and indirect altered natural hydrology. Deep dredged canals
effects of petroleum-related activities such as altera- altered water flow pathways and sometimes resulted
tion of hydrology. The impacts of OCS development in saltwater intrusion. Spoil banks reduced overland
are related to construction of pipelines and naviga- flow exchange and sediment input to the wetland
tion channels. Thus, the risks of oil spills and surface. The combination of these two factors
hydrological disruption continue, even though in- increased plant stress and plant death.
shore oil and gas production has decreased.
Responses of plant metabolism to oil impacts are
complex, depending on exposure type (e.g., oil- Acknowledgments
coated leaves vs soil contamination), oil type (e.g., Support for this effort was provided by the National Oceanic and
crude oil vs number 2 oil), time of spill (e.g., after the Atmospheric Administration through the Louisiana Sea Grant College
growing season vs before the growing season), Program (NOAA Grant NA16G2249). Support was also provided by
density of spilled oil, and sensitivity of various marsh the Army Corps of Engineers, and the U.S. Geological Survey.
plant species to oil. Another complex matter is the
impact of oil cleanup on wetlands. Removal of oil
has been reported to cause significant damage to SEE ALSO THE
wetland communities, including reduced growth of FOLLOWING ARTICLES
marsh plants and reduced population of benthic
organisms. Aquaculture and Energy Use  Crude Oil Releases to
Lin and colleagues suggested that methods and the Environment: Natural Fate and Remediation
intensity of oil spill cleanup depend on the type and Options  Crude Oil Spills, Environmental Impact of
amount of spilled oil and environmental conditions  Ecological Risk Assessment Applied to Energy
at the time of the spill. If the spill is a relatively small Development  Ecosystem Health: Energy Indicators
volume and the floating oil is not continuous, light or  Energy Development on Public Land in the United
no cleanup action is recommended. In the case of States  Fisheries and Energy Use  Public Reaction to
large-volume oil spills, cleanup activities consisting Offshore Oil
of sorbent application, low-pressure flushing, va-
cuuming, rope mops, and the like should be
considered as options. However, Lin and colleagues Further Reading
did not recommend the use of heavy equipment and Baker, J. M., Little, D. I., and Owens, E. H. (1993). A review of
intrusive mechanical cleanup due to the concerns of experimental shoreline oil spills. In ‘‘Proceedings of the 1993
physical damage to fragile marshes. Oil Spill Conference,’’ pp. 583–590. American Petroleum
Louisiana experienced a high rate of coastal marsh Institute, Washington, DC.
loss during the 20th century. This high loss rate has Boesh, D. F., Josselyn, M. J., Mehta, A. J., et al. (1994). Scientific
assessment of coastal wetland loss, restoration, and manage-
been attributed to a number of factors. The ment in Louisiana. J. Coastal Res. 40. (Special issue)
immediate cause of much loss is due to plant stress Cahoon, D. R. (1989). ‘‘Onshore Oil and Gas Activities along the
resulting from both natural and anthropogenic Northern Gulf of Mexico Coast: A Wetland Manager’s Hand-
causes, followed by plant dieback, subsequent ero- book.’’ Lee Wilson & Associates, Santa Fe, NM.
sion of the marsh substrate, and the formation of Craig, N. J., Turner, R. E., and Day, J. W., Jr. (1979). Land loss in
Coastal Louisiana (U.S.A). Environ. Mgmt. 3, 133–144.
small ponds that then coalesce into larger open water Day, J. W., Britsch, L. D., Hawes, S. R., Shaffer, G. P., Reed, D. J.,
bodies. Causes of plant stress in Louisiana marshes and Cahoon, D. (2000). Pattern and process of land loss in the
have been attributed to waterlogging stress (due to Mississippi delta: A spatial and temporal analysis of wetland
insufficient elevation of the marsh surface resulting habitat change. Estuaries 23, 425–438.
from high subsidence rates in the deltaic plain and Dicks, B., and Hartley, J. P. (1982). The effect of repeated small oil
spillages and chronic discharge. Phil. Trans. R. Soc. London
low accretion rates) and salinity stress (due to Series B 297, 285–307.
saltwater intrusion, often from storm surge events, Gornitz, V., Lebedeff, S., and Hansen, J. (1982). Global sea-level
into the more interior marshes). trend in the present century. Science 215, 1611–1614.
Petroleum-related activities have contributed sig- Hall, C. A. S., Howarth, R., Moore, B., III, and Vor + osmarty,
+ C. J.
nificantly to wetland loss in the Mississippi Delta. (1978). Environmental impacts of industrial energy systems in
the coastal zone. Annu. Rev. Energy 3, 395–475.
Oil and gas extraction increased the subsidence rate, Lin, Q., and Mendelssohn, I. A. (1996). A comparative investigation
sometimes by a factor of as high as 2 to 3, due to of the effects of south Louisiana crude oil on the vegetation of
reduction of pressure that led to faulting-related fresh, brackish, and salt marshes. Mar. Pollut. Bull. 32, 202–209.
408 Wetlands: Impacts of Energy Development in the Mississippi Delta

Lin, Q., Mendelssohn, I. A., Hester, M. W., Webb, E. C., and Morton, R. A., Buster, N. A., and Krohn, M. D. (2002).
Henry, C. B., Jr. (1999). Effect of oil cleanup methods on Subsurface controls on historical subsidence rates and asso-
ecological recovery and oil degradation of Phragmites marshes. ciated wetland loss in southcentral Louisiana. Gulf Coast
In ‘‘Proceedings of 1999 International Oil Spill Conference,’’ Assoc. Geol. Soc. 52, 767–778.
pp. 511–517. American Petroleum Institute, Washington, DC. Pezeshki, S. R., Hester, M. W., Lin, Q., and Nyman, J. A. (2000).
Lindstedt, D. M., Nunn, L. L., Holmes, J. C., Jr., and Willis, E. E. The effects of oil spill and clean-up on dominant U.S. Gulf coast
(1991). ‘‘History of Oil and Gas Development in Coastal marsh macrophytes: A Review. Environ. Pollut. 108, 129–139.
Louisiana.’’ Louisiana Geological Survey, Baton Rouge. Roberts, H. H. (1997). Dynamic changes of the Holocene
Louisiana Department of Natural Resources (1996). ‘‘Well Status Mississippi River delta plain: The delta cycle. J. Coastal Res.
Master.’’ LDNR, Baton Rouge, LA. 13, 605–627.
Louisiana Department of Natural Resources (2001). ‘‘Louisiana St. Pe’, K. M. (ed.). (1990). ‘‘An Assessment of Produced Water
Energy Facts Annual.’’ LDNR, Baton Rouge, LA. Impacts to Low Energy, Brackish Water Systems in Southeast
Mendelssohn, I. A., and Morris, J. T. (2000). Eco-physiological Louisiana.’’ Louisiana Department of Environmental Quality,
controls on the productivity of Spartina alterniflora loisel. In Baton Rouge.
‘‘Concepts and Controversies in Tidal Marsh Ecology’’ (M. P. Turner, R. E. (1987). Relationship between canal and levee density
Weinstein and D. A. Kreeger, Eds.), pp. 59–80. Kluwer and coastal land loss in Louisiana. U.S. Fish Wildlife Service
Academic, Boston. Biol. Rep. 85(14).
Wind Energy Economics
MICHAEL MILLIGAN
U.S. Department of Energy, National Renewable Energy Laboratory
Golden, Colorado, United States

reserves Capacity that is not used directly to supply power


1. Introduction to Wind Energy Economics but that can be called on quickly in event of a system
emergency such as an unanticipated generator outage or
2. Recent Trends in the Cost and Use of Wind
an increase in demand.
Power Plants
3. Economic Value of Wind Power Plants
4. Role of Wind Forecasting and Its Relationship to the
Value of Wind The economics of wind power plants is influenced by
5. Effects of Geographically Disperse Wind Sites a number of factors. These include the quality of the
6. Reserve and Regulation Impacts wind resource, technology efficiency and reliability,
7. Other Issues: Location of Wind/Loads/Transmission the availability of long-term power contracts, and the
8. Conclusions and Summary ability to forecast at least several hours ahead. Wind
power plants have value that arises due to the
reduction of pollution, compared with many other
Glossary types of power plants, and the lack of fuel price
base load generation Generating capacity that is kept volatility. Value also depends on the specific nature of
online for long periods of time, usually due to low the displaced power and energy. In regions that have
marginal cost combined with physical constraints on a high marginal cost of energy, wind can provide a
frequent starting and stopping. high value by offsetting a costly energy source.
demand Instantaneous use of power, measured in kilo-
watts or megawatts.
economic dispatch The process of determining which
generators should be run, and in what combination, 1. INTRODUCTION TO WIND
to minimize power production cost. ENERGY ECONOMICS
effective load carrying capability (ELCC) The demand that
can be supported by the generating supply at a given
Over the past few years, there have been significant
reliability level.
energy Power used over time, measured in kilowatt-hours changes in the electric utility industry. In many parts
or megawatt-hours. of the world, power markets have moved away from
load following (generation) Generating capacity that can the regulated monopoly market structure toward
be ramped up or down to match changing levels of more competitive markets. This evolution is not
demand. uniform; even in the United States, there are many
loss of load probability (LOLP) A measure of reliability; different degrees of restructuring in the electricity
LOLP is the probability that there is insufficient markets. In some markets, restructuring has mainly
generating supply to support electrical demand. involved changes at the wholesale level, whereas
marginal cost The change in total cost that is caused by a other market changes have occurred at the retail
given increase in energy output.
level. The future organization of power markets is
peak The maximum demand during a given time period.
regulation Changes in output from designated generators
not yet clear, and the details of these markets may
that occur over very short time frames, such as several have important impacts on wind integration into the
minutes, that compensate for increasing or decreasing power supply. For simplicity, this article uses the
demand or intermittent generation fluctuations. term ‘‘utility industry’’ to characterize the current
reliability The ability of the electrical system to meet mixed state of affairs as well as the future industry in
demand, often measured by loss of load probability. whatever form it may take.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 409
410 Wind Energy Economics

Amid all of this change, there have been sig- American wind turbine installations were in Califor-
nificant developments in the wind energy industry. nia, resulting from significant tax incentives in that
Wind turbine technology has evolved with the advent state combined with the availability of long-term
of more efficient, economical, and reliable wind power purchase agreements that regulators required
machines. Many utilities in Europe and in the United utilities to offer to independent power producers.
States now use wind power to supply increasing During this period, the average energy cost of wind-
levels of electricity supply. Recent volatility in generated electricity fell from $0.40 in 1979 to a range
natural gas markets has induced a closer look at of $0.04 to $0.06/kWh in 2000. During the 10 years
the power price stability offered by wind power ended in 2000, the cost of energy fell from a levelized
plants. Although a significant fraction of wind power cost of approximately $0.11/kWh (in 2000 dollars) to
that has been developed in the United States resulted $0.06/kWh at moderate wind sites, with an average
from regulatory action or other political decisions, annual wind speed of 5.8 m/s. For high-wind sites
wind power is now often cost-competitive with other with an average wind speed of 6.7 m/s, the cost of
conventional power sources. energy fell from just under $0.08/kWh to approxi-
This article examines some of the main drivers of mately $0.04/kWh during this same time period.
wind energy economics in the context of large-scale These falling costs, along with a U.S. federal produc-
power generation. In spite of the many wind tion tax credit (PTC), helped to increase development
installations throughout the world, surprisingly little in the United States beginning in the early 1990s and
is known about specific integration costs of wind continuing through the end of 2001. The PTC
plants. As the electric utility industry gains more provides a $0.015/kWh credit for electricity generated
experience, this knowledge base will grow. by wind power plants. At the time of this writing, the
Large-scale use of wind power plants can pose PTC was set to expire December 31, 2003.
challenges to power system operations and planning. Beginning in the early 1990s, the wind industry
Because wind is an intermittent power source that is grew very quickly in Europe, where development was
available only when the wind blows, the economics heavily influenced in Germany by aggressive public
surrounding the use of this technology can become policy of mandated wind purchases at relatively high
complicated. Because wind systems cannot respond prices. German policy was to help address environ-
to control systems in the same way as can conven- mental issues associated with power generation that
tional thermal plants, questions arise concerning the are perceived differently in Europe than in the United
need for storage or other mechanisms that could States. As can be seen in Fig. 1, growth in Europe far
compromise the economics of wind but would outstripped growth in the rest of the world during the
perhaps help to integrate wind into the electrical past decade or so. The graph shows the projected path
supply. Other questions concern the ability to of development for the period from 2002 to 2005.
measure the wind plant capacity in a way that helps The primary driver of this growth is the anticipated
decision makers to analyze economic trade-offs cost-competitiveness of energy from wind compared
between wind and other types of power plants. with other power generation technologies. Wind
This article describes some of the recent trends in energy cost was predicted to fall to $0.03 to 0.05/
the cost of wind power plants. It discusses the kWh by 2004, with further reductions made possible
economic value of wind power in the context of bulk by higher towers, greater energy capture at lower
power generation. Because of its variable nature, the wind speeds, and even more reliable technology.
use of wind power can be more effective when it can However, growth in the rest of the world will also be
be forecast more than a few hours in advance. driven by enormous electrical capacity needs in
Furthermore, the value of wind power depends in regions with little, if any, existing electric power.
large part on the specific characteristics of the The cost of wind energy is a function of the
generators in the same grid. technology and the wind resource at the development
site. The levelized cost of energy includes both fixed
and variable costs over the lifetime of the wind plant.
The fixed cost depends on the ownership structure and
2. RECENT TRENDS IN THE COST the method used to finance the plant construction. For
AND USE OF WIND POWER PLANTS example, cooperative ownership generally involves a
lower interest rate than could be obtained by an
Development of wind power systems has increased independent power producer. In the United States,
rapidly since 1986. At that time, most North cooperatives do not qualify for the PTC because they
Wind Energy Economics 411

June 2002 total = 25,825 MW


Rest of world = 2788
North America = 4459
Europe = 18,578
60,000
50,000

MW installed
40,000
30,000
20,000
Europe
10,000 North America
0 Rest of world
90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06
Actual Projected
Year
FIGURE 1 Growth of wind energy capacity worldwide. Adapted from BTM Consult ApS (March 2002) and Windpower
Monthly (January 2002).

are nonprofit entities. Instead, such organizations can plant. Third, because they can reduce the emissions
use the renewable energy production incentive, which created by the use of some conventional fuels, wind
allows nonprofits to take advantage of a similar cost plants can have emissions reduction value.
reduction as would be available to their for-profit Because the benefits of wind power generation
counterparts. Both types of ownership structures can depend heavily on the economic characteristics of the
use project financing or internal/corporate financing, remaining electricity supply, this section begins with
with the latter providing a lower capital cost and, a short description of the power dispatch process,
therefore, a lower levelized cost of energy. focusing on those aspects that are most relevant to
Operation and maintenance (O&M) costs are the the economics of wind power.
variable costs associated with wind power genera- Modern power systems include a large number of
tion. These costs include labor and materials generating units that are often of different sizes and
required for operation and periodic maintenance of types. For example, to start up a coal plant, the boiler
the turbines, insurance, land lease, property tax, and must be brought up to operating temperature before
general and administrative costs. At the time of this power can be produced. This process normally takes
writing, average O&M costs were approximately several hours. When the plant is not needed, it can be
$0.005/kWh and were expected to decline as turbine shut down, but this process also takes time. To run
reliability improves. this type of plant in an efficient manner, the operator
Contract terms and conditions can have a will attempt to minimize these start/stop operations,
significant impact on the financing terms for new running the plant for long durations of time. During
projects and for major capital repairs and repower- this operating period, the plant may be able to
ing. These financing terms can have a significant produce either low or high levels of power, but a
impact on the cost of wind energy. large thermal plant such as this might not be able to
respond quickly to operator commands. Large coal
plants generally have relatively low fuel costs, so
these units are typically operated as base load units,
3. ECONOMIC VALUE OF WIND with minimal output variations for relatively long
POWER PLANTS periods. The average cost of energy can be quite low.
Other types of generators might be able to
The results in this section are based largely on power respond more quickly to operator signals, and they
production simulation modeling of real power can be used as load-following units by increasing
systems. Wind power plants can provide value in output to match rising demand or by decreasing
three ways. First, because there is no fuel cost for a output to match declining loads. This type of unit
wind plant, wind energy can displace conventional often has a higher energy cost than does a base load
generation and the fuel it consumes. Second, unit, but the former offers somewhat more flexibility
construction of new wind power plants can also in matching power generation to the load. Combus-
reduce the need for building new conventional tion turbines generally have much higher fuel costs,
plants; this is called the capacity value of a wind but they start/stop in relatively short time scales.
412 Wind Energy Economics

Most power systems are operated with a primary economical plants are added to the mix. These
objective of providing electricity when and where it intermediate units have higher MCs, resulting in
is needed at the lowest possible cost or the highest systemwide MC increases. Finally, peaking units provide
possible profit. Therefore, in either case, the power energy during system peak times at even higher MC.
system operator must solve a complicated mathema- This curve helps us to understand why the value of
tical optimization problem that minimizes cost, wind generators can vary for different utilities,
subject to the operating constraints of the various different seasons, or even different times of the day.
generating units and subject to providing sufficient Because power demand fluctuates over time, the
energy and capacity to satisfy electrical demand. The utility effectively moves up or down its MC curve as
solution to this problem normally involves making it brings new generators online or reduces power
full use of the least expensive generating unit, output as the demand falls. Because wind is fuel free
followed by each unit in increasing order of energy and so has a near zero MC, it would always be used in
cost (and subject to the various generator con- an economic dispatch whenever possible. The result is
straints). After midnight, electrical demand is typi- that the remaining load, net of wind generation,
cally low. It would not be uncommon to find a utility decreases and the marginal generator’s output can be
running only its base load units—those with the reduced or eliminated over the relevant time period.
lowest energy cost. As the electrical demand in- Utilities with relatively high MCs would find that
creases in the morning, progressively more costly wind power has a high value, whereas utilities with
plants must be brought online. During a few hours in lower MCs would find that wind energy has a lower
the late afternoon or early evening on a particularly value. Furthermore, this value would tend to change
hot day, expensive peaking plants may be run, but over time for all utilities due to the constantly
only for the minimum necessary time. changing nature of the electrical load. This also helps
Figure 2 illustrates the basic economics of a utility to explain why a wind plant that produces significant
or generating company that owns or operates the energy output during the night is not as valuable as a
three types of power plants. The marginal cost (MC) wind plant that produces during the day.
curve is defined as the change in total cost divided by When new wind plants go into service, they can
the change in energy output. Under perfectly compe- partially displace the need for conventional power
titive markets, the MC curve is the same as the firm’s plants. This displacement is called capacity credit. At
supply curve. However, because wholesale and retail the time of this writing, it was not entirely clear how
electricity markets are not perfectly competitive, the this displacement, or capacity credit, would be
MC curve represents the upper bound on the quantity evaluated in restructured energy markets. However,
of output (energy) that an electric utility would be with the increasing need to fully evaluate various
willing to provide at alternative prices. risks posed by power system operation, utilities have
The initial downward-sloping portion of the MC turned to financial risk theory to evaluate the more
curve shows the effect of operating base load units at complex market environment, and it appears that
higher output levels; that is, it increases their efficiency probabilistically based methods to evaluate capacity
and decreases their cost. For higher demand levels, less credit will continue to be useful. One such measure
that has evolved from power system reliability
analysis is called the effective load-carrying capabil-
ity (ELCC), which is based on achieving a loss of
MC
load probability (LOLP) target with two alternative
generator additions. ELCC allows one to rate the
Dollars/kilowatt-hour

Base Intermediate Peak equivalent perfectly reliable power plant that would
provide the same system reliability as a wind plant.
In other cases, it may be more useful to rate the wind
plant capacity credit in terms of its reliability-
equivalent gas plant. This capacity credit is com-
puted with the help of a production simulation
model or an electrical system reliability model. Such
a model uses extensive power system data to
Kilowatt-hours calculate, among other things, the probability that
FIGURE 2 Trend in marginal cost of electricity production in generation will be sufficient to meet the projected
relation to various types of generators. electrical demand. The capacity credit of a wind
Wind Energy Economics 413

plant can range from very low, perhaps 10% of its Figure 3 illustrates the three components of the
rated capability, up to 40% or higher, depending on value of wind power systems. The calculations for
the correlation of wind power to load and other this graph are based on an electricity production
system characteristics. simulation model applied to two large utilities in the
Wind energy can displace emissions that are often United States. (The utilities, denoted by u1 and u2 in
produced by other power sources. This emissions the figure, are not identified due to prior agreement.)
reduction is a function of the characteristics of the These utilities have different generation character-
marginal plant or plants and the extent to which istics, resulting in differing estimates of the benefit of
wind power can offset other forms of power. For wind. The simulations show the impact of alternative
example, a wind plant that can displace energy from wind sites to economic value. (Two wind sites are
a high-emissions source would provide a higher shown in the figure: one from the High Plains and
emissions value than would a wind plant that one from a mountain pass on the West Coast.) The
displaces output from a modern gas turbine. largest benefit results from the reduction in fuel
Placing a value on avoided emissions can be a that is needed by conventional power plants when
difficult and controversial practice. In principle, this wind is added to the system. The capacity value is
valuation would involve an accounting of illnesses, based on estimates of the reduction of conventional
hospital visits, and other costs incurred as a direct new capacity that can be offset with wind power.
result of the major emissions sources. There are some And the emissions benefit is valued based on methods
markets for emissions mitigation credits in the and data developed by the California Energy
United States that implicitly value emissions. How- Commission.
ever, because it is difficult to follow the complex Figure 4 shows the generation of a large utility
causal chain to assess actual pollution costs, specific during the annual peak day. With a hypothetical
damage values can be difficult to justify. The state of wind plant, as depicted in the graph, the generation
Minnesota established the cost of emissions in 1997 of electricity using gas and oil units can be reduced.
and updated these values in February 2002. Prior to Large base load units, such as nuclear and some
electricity restructuring, California regulators re- other thermal plants that cannot easily alter their
quired an explicit valuation of emissions in the output, are typically run at a constant level, as can be
various air basins as part of electric utility generation seen in the graph. A different pattern of wind power
expansion plans. production would change the quantities of gas, oil,

140

120

100
Benefit index

80

60

40

20

u1/hp u1/wc u2/hp u2/wc


Simulation case

Fuel Capacity Emissions

FIGURE 3 Benefits of wind power, separated into fuel savings, capacity credit, and avoided emissions, valued at prices used
by the California Energy Commission. hp, High Plains; wc, West Coast.
414 Wind Energy Economics

100

80

Percentage of peak
60

40

20

0
1 3 5 7 9 11 13 15 17 19 21 23
Time of day

Nuclear Other Wind Gas/Oil Hydro CT

FIGURE 4 Economic dispatch of a peak day with wind energy. CT, combustion turbine capacity.

and coal required, and this could have a significant Assessing the cost of excess generation is conceptually
impact on the value of the wind power plant. straightforward and involves calculating the cost of
running the generators that were not needed to supply
the electrical demand. Accounting for the cost of
4. ROLE OF WIND FORECASTING insufficient generation might be easily assessed if a
AND ITS RELATIONSHIP TO THE neighboring utility can provide the extra demand. But
in other cases, it can be more difficult to assess the cost
VALUE OF WIND of insufficient generation. In a more extreme case, the
generation shortfall may be large enough to cause
Wind power is sometimes characterized as an
outages in the system. Even if outages do not occur,
intermittent and unpredictable resource. Although
there is a cost of increasing risk of such outages, with
it is intermittent, the output of a wind power plant
an economic value that can be difficult to quantify.
can be predicted from several minutes to several days
Figure 5 illustrates the forecast benefit for various
in advance. For forecast horizons longer than a few
levels of accuracy for a large utility. The graph is not
hours, accuracy falls significantly, but newly emer-
symmetrical due to the specific characteristics of the
ging forecasting techniques can enhance the econom-
MC curve. Although perfect forecasting is not
ics of wind power plants. Wind forecasting models
feasible, the graph shows that good forecasts can
that appear to be the most accurate are actually
increase the value of a wind plant.
hybrid forecasting models. The first stage of the
model is to predict local weather conditions for the
forecast period. The second stage of the model
applies various statistical methods that adjust the 5. EFFECTS OF GEOGRAPHICALLY
meteorological model output so that the wind power DISPERSE WIND SITES
can be predicted. Statistical techniques that appear to
be most promising are autoregressive moving aver- The economic value of wind power plants can be
age models, formally known as ARIMA models, and compromised by intermittency and inaccurate fore-
neural network models. casting. Although this is a function of the specific
With a reasonably accurate wind forecast, power characteristics of the wind resource, energy demand,
system operators can do a better job of scheduling and electrical supply, it is an issue that has received
enough generating resources to meet the electrical considerable attention. There are several ways in
load. Accurate wind forecasts make it possible to which to reduce this intermittency to help maximize
schedule just the right level of generation, whereas the economic benefit to the electrical supply, and one
inaccurate forecasts can result in either too much or of the most important ways is to take advantage of
not enough generation online to service the load. geographic dispersion during the design and planning
Wind Energy Economics 415

112

110

108
Benefit index
106

104

102

100
−100 −80 −60 −40 −20 0 20 40 60 80 100
Forecast error (percentage)
FIGURE 5 Value of a wind forecast at various accuracies during a period when wind output averages 50% of rated
capacity.

250
Six turbines Single turbine
Actual load
200
Percentage of average power

150

100

Rolling average
50

−50
Regulation

−100
8:45 9:00 9:15 9:30 9:45 10:00 10:15 10:30
Time
FIGURE 6 Smoothing effects of multiple wind turbines over time scales ranging from minutes to 2 h.

stages of the wind plant. The principle of geographi- Smoothing also occurs over larger time and
cal dispersion is simple and based on the observation distance scales. Figure 7 shows the smoothing effect
that the wind speed varies over progressively larger over hypothetical wind farms in Iowa, based on
areas. This principle applies to the many turbines actual time-synchronized wind speed data. Given a
within a single wind farm as well as to multiple wind hypothetical wind plant of 25 MW, the graph shows
plants that may be separated by up to hundreds of the hourly variation that would occur during the
miles. month of July if the 25 MW were located at each of
Figure 6 shows the impact of geographic diversity the 12 sites, one at a time. The final graph bar shows
on a small time scale with only six wind turbines. the dramatic reduction in the hourly output variation
The jagged lines that show the single turbine output that would occur if the 25 MW of wind capacity were
can be compared with the significantly smoother line evenly split among the 12 sites.
showing the output of the group of turbines. The In fact, achieving the smoothest aggregate output
figure also shows an estimate of the regulation from might not produce the best economic benefit. Eco-
conventional generators that could offset the small nomic studies have used advanced optimization
perturbations in the output of this small wind farm. techniques, such as fuzzy logic and genetic algorithms,
416 Wind Energy Economics

30

20

1-h MW difference
10

−10

−20

−30
Algona Arlington Esterville Inwood Redoak Sutherland Combined
Alta Cedar Forest City Radcliffe Sibley Turin
Site
FIGURE 7 Reduction in hourly wind power output when the wind capacity is spread among 12 sites in Iowa compared
with output fluctuations at single sites. Bars show maximums, minimums, means plus standard deviations, and means minus
standard deviations.

100
Percentage of optimal capacity credit

99

98

97

96

95

94

93
97.5 98.0 98.5 99.0 99.5 100.0
Percentage of optimal economic value

Bestfit Simulated

FIGURE 8 Trade-off curve between reliability and least cost power generation.

to explore the economically optimal allocation of bility implications and differing economic benefits, the
wind capacity among multiple wind sites. The results data can be plotted, resulting in this production
of these analyses imply that this optimization depends possibility trade-off curve. Analyses such as these can
on the characteristics of the specific wind regimes and be complex, but they can reveal important aspects of
on the characteristics of the remaining generating the economic viability of a wind power plant.
supply and the electrical demand.
The economically optimal site combination might
not maximize system reliability. Figure 8 illustrates this 6. RESERVE AND
trade-off and is based on the Iowa analysis. The graph REGULATION IMPACTS
shows a scatter of points, each of which represents a
particular capacity distribution among the 12 sites. As wind energy systems become more prevalent,
Because each capacity distribution has different relia- there is increasing interest in the effect of these plants
Wind Energy Economics 417

on system reserves and regulation. Because electricity systematic evaluation due to the emerging nature of
cannot be economically stored in large quantities, this technology. Siting a prospective wind plant
power system operators ensure that there is addi- involves many considerations, including local per-
tional generating capacity that can be called on on mitting requirements and public reaction. Anecdotal
short notice to meet unexpected increases in demand evidence suggests that these issues can affect the
or to deal with outages of other generators or overall cost of energy from wind, but they have not
key transmission lines. This extra capacity is called been systematically quantified.
‘‘reserves.’’ A contributing factor to the need for One of the most important issues is the proximity
reserves is the overall reliability of the power supply. of the wind plant to transmission facilities. Because
The intermittent nature of wind power raises the wind resources are not typically found near load
issue as to whether large quantities of wind might centers, building a large transmission line to move
have an impact on the reserve level that should the power to market could potentially result in the
be available for meeting changing system demand wind plant becoming uneconomical. In transmission-
requirements. If wind power plants were to cause constrained regions, wind plants might not be able to
reserve levels to increase significantly beyond what take advantage of periods when transmission capa-
would be needed for competing generators, that city is available. Market rules that cover transmission
would have a considerable impact on the economics access and financial settlement must be transparent
of wind plants because additional capacity would be and neutral to technology.
required to support them. However, system relia-
bility studies that take into account the wind
8. CONCLUSIONS AND SUMMARY
forecasting technology and statistical patterns of
wind generation find that wind plants have only a
The economics of wind-generated electricity depends
small impact on the overall system reliability level
on several factors. Cost is primarily technology
and, therefore, do not significantly alter the level of
driven and is influenced by production technology
system reserves required for reliable system opera-
and the effect of turbine reliability on O&M costs.
tion. As more new wind power plants are developed
By far the most significant factors that contribute
and operated as bulk power sources, additional
to wind energy value are related to the wind resource
insights will be gained on this issue.
and the characteristics of the grid and the evolving
Similarly, there is little empirical evidence con-
market rules. As additional wind capacity is devel-
cerning the impact of wind power on regulation
oped, these variables will be quantified more
requirements. Regulation is the small movement in
precisely.
generators that compensates for very short-term
variations in electric demand. If wind plants would
require other generation to compensate for fluctua-
tions in output in the seconds-to-minutes time frame, SEE ALSO THE
the economic value of wind would be less than if FOLLOWING ARTICLES
these fluctuations had no impact. Because these
short-term fluctuations are generally random and Electric Power Reform: Social and Environmental
uncorrelated with load fluctuations, many experts Issues  Hydropower Resources  Renewable Energy
believe that regulation impacts are not significant in Europe  Renewable Energy in the United States 
impediments to the economic value of wind plants Renewable Energy, Taxonomic Overview  Wind
and current and planned rates of wind penetration. Energy Technology, Environmental Impacts of 
Because of the statistical independence of these fast Wind Energy, History of  Wind Farms  Wind
wind and load fluctuations, it is likely that regulation Resource Base
impacts would not increase significantly at higher
wind penetrations.
Further Reading
Billinton, R., Chen, H., and Ghajar, R. (1996). A sequential
7. OTHER ISSUES: LOCATION OF simulation technique for adequacy evaluation of generating
WIND/LOADS/TRANSMISSION systems including wind energy. IEEE Trans. Energy Conversion
11, 728–734.
Brooks, D. L., Lo, E. O., Smith, J., Pease, J., and McGree, M.
The economic value of wind plants also depends on (2002). ‘‘Assessing the impact of wind generation on system
other factors, some of which have not been subject to operations at Xcel Energy–North and Bonneville Power
418 Wind Energy Economics

Administration. Paper presented at Windpower 2002 [on CD- Milligan, M. (1999). Modeling utility-scale wind power plants: I.
ROM].’’ American Wind Energy Association, Washington, DC. Economics. Wind Energy 2, 167–193.
Ernst, B. (1999). ‘‘Analysis of Wind Power Ancillary Services Milligan, M. (2000). Modeling utility-scale wind power plants: II.
Characteristics with German 250-MW Wind Data.’’ National Capacity credit. Wind Energy 3, 167–206.
Renewable Energy Laboratory, Golden, CO. Milligan, M., Caldwell, J., Porter, K., and Parsons, B. (2002).
Gilman, B., Cheng, M., Isaac, J., Zack, J., Baily, B., and Brower, M. Wind energy and power system operations: A survey of current
(2001). ‘‘The value of wind forecasting to Southern California research and regulatory actions. Electricity J. 15, 56–67.
Edison. Paper presented at Windpower 2001 [on CD-ROM].’’ Milligan, M., and Factor, T. (2000). Optimizing the geographic
American Wind Energy Association, Washington, DC. distribution of wind plants in Iowa for maximum economic
Hirst, E. (2001). ‘‘Interactions of Wind Farms with Bulk-Power benefit and reliability. J. Wind Eng. 24, 271–290.
Operations and Markets.’’ Project for Sustainable FERC Energy Milligan, M., Miller, A., and Chapman, F. (1995). Estimating the
Policy, Washington, DC. economic value of wind forecasting to utilities. In ‘‘Proceedings
Hudson, R., Kirby, B., and Wan, Y. (2001). ‘‘Regulation of the Windpower ’95 Conference,’’ pp. 285–294. American
requirements for wind generation facilities. Paper presented at Wind Energy Association, Washington, DC.
Windpower 2001 [on CD-ROM].’’ American Wind Energy Strbac, G., and Kirschen, D. (2000). Who should pay for reserve?
Association, Washington, DC. Electricity J. 13, 32–37.
Wind Energy, History of
MARTIN PASQUALETTI
Arizona State University
Tempe, Arizona, United States
ROBERT RIGHTER
Southern Methodist University
Dallas, Texas, United States
PAUL GIPE
Paul Gipe & Associates
Tehachapi, California, United States

energy. Of all the possible ‘‘new’’ sources of electricity,


1. Harnessing the Wind it had rather unexpectedly found itself the most touted
2. The First U.S. Boom and fastest growing alternative energy resource in the
3. The European Emphasis world, generating significant amounts of electricity in
4. Rejuvenated North America several countries, such as the United States, Denmark,
5. Trends Germany, and Spain, as well as impressive amounts in
many other countries. The new era of wind develop-
6. Conclusion
ment was led by the United States during the 1980s,
but Europe has overtaken that ranking, accounting
for two-thirds of total worldwide wind development
Glossary
by itself in 2001. Now a global multi-billion-dollar
American farm windmill Chicago mill or simply farm industry, wind energy is regaining its once prominent
windmill; it is a multiblade mechanical wind pump, place in the energy firmament. For millennia, wind
initially made of wood and later made of metal, power has been used for everything from kite flying
developed during the late 19th century in the mid-
and propulsion to grinding and pumping, but never
western United States and subsequently copied world-
before has it been so important for the generation of
wide.
post mill Traditional European mechanical windmill for electricity. It is an old resource applied to a new
grinding grain and other materials (e.g., tobacco, paper) mission with unprecedented success. This article
where the tower body is supported on a vertical post describes how wind power came to achieve this status.
resting on a wooden trestle.
tower mill Traditional European mechanical windmill
used for grinding grain and other materials as well as
pumping water where a tower of wood or masonry
remains stationary and only the cap with the rotor 1. HARNESSING THE WIND
attached turns to face the wind.
windchargers Electricity-generating wind turbines used to 1.1 Prehistory Use
charge batteries at remote homesteads; they were
prominent before the advent of widespread distribution For longer than one can grasp, winds have been
of central station electricity. churning seas, carrying silt, eroding continents,
wind farms (or wind power plants) Multiple wind turbines creating dunes, rustling leaves, and filling sails. They
or arrays of wind turbines used to produce bulk are responsible for loess soils in China, sand seas in
electricity for the grid. Libya, and dust storms in Arizona. They have
created, destroyed, altered, eroded, and changed
By the first decade of the 21st century, wind power the shape of land, the vegetation that would cover it,
had become the best hope for the future of alternative and the lives of millions of people.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 419
420 Wind Energy, History of

Wind energy exists without end, yet at no time of wind have multiplied. Where and when did people
have humans ever employed more than a tiny first turn to the wind to help in their harvests? We do
fraction of its kinetic energy. Its power is so beyond not know exactly, but we do know that in the 10th
human control that cultures throughout the world century ad, windmills were turning in the blustery
have paid it homage in their legends and mytholo- Seistan region of Persia (now Iran). For this, we have
gies. Creation stories of nearly all cultures involve the both artifact proof and written evidence. These were
power of the wind. primitive windmills by modern standards, using
Like the mystery of who invented the wheel, we do vertical sails of reed bundles, and their owners built
not know when humans first employed the force of them to grind grain and lift water from streams to
the wind to do work. However, in terms of utility, irrigate gardens. For centuries, these rudimentary yet
sailing would seem to be one of the most likely early ingenious machines were carried to other parts of the
uses, perhaps 40,000 years ago when Asians migrated world, including India and China, where farmers
to greater Australia. Although we know little of these employed them to pump water, grind grain, and
voyages, the far later water journeys of Polynesians in crush sugarcane.
their double-hulled sailing craft are unquestioned. For Independently, the post mill arose in England.
these early sailors, wind provided the kinetic energy Unlike the Persian sails, which follow a carousel’s
for the exploration and settlement of the Pacific path around a vertical axis, the sails of the traditional
Ocean islands, including the Hawaiian Islands, where European windmill follow a path around a horizon-
it later led to the invention of surfing, the earliest use tal axis. The whole assembly of the post mill,
of wind-powered recreational activity. including the blades, axle, and milling cabin, rests
on a massive vertical post. The miller orients the post
mill into the wind by swinging the entire windmill
1.2 Historic Uses of the Wind
around the post, hence the name post mill. In 1137,
As in prehistory, the first historic use of wind power William of Almoner designed and constructed the
involved its use in transportation. Egyptians plied the first such mill in Leicester, England. For many years,
Nile River as early as 3100 bc using craft equipped historians of technology assumed that the English
with sails of linen and papyrus. In The Odyssey, post mill idea was a by-product of the Christian
Homer wrote of Odysseus, who sailed the Ionian and Crusades, with the English post mill being inspired
Aegean seas, eventually making a crucial error when by the Persian horizontal windmills of Seistan.
he angered the god of the winds. Aeolus stopped the However, the designs of the two mills are very
wind for 6 days, forcing Odysseus and his crew to different, and the evidence points to multiple
rely on rowing, a very poor substitute. ‘‘No breeze, inventions rather than diffusion from a single source.
no help in sight, by our own folly—six indistinguish- Environmental and social reasons help to explain
able nights and days,’’ lamented Odysseus. The story why the post mill took root where it did in England.
of Odysseus reminds one of the capricious nature of Much of the land in Leicester is level, limiting the use
the wind. Although it can be used, it cannot be put of water wheels. However, perhaps just as significant
under human control any more than ocean currents was social class. In England, the kings had vested the
can be put under human control. For this reason, water rights in the nobility and in the established
wind has been successfully employed only sparingly, church. These rights were jealously guarded, and in a
with inventors and engineers preferring power practical sense they gave control of energy produc-
sources that they can manipulate as needed. Yet the tion to the nobility. In this earlier world of vested and
importance of wind energy to human history is hereditary privilege came a new source of energy, one
undeniable. From the time of Columbus until the that the upper class could not control. In such an
middle of the 19th century, nations depended on atmosphere, the wind became the great leveler of
sailing vessels. Advances in navigation and sail class. As the middle-class entrepreneur Herbert of
design combined to make the great age of the sailing Bury, Suffolk, stated in 1180, ‘‘The free benefit of the
craft feasible. In the billowing sails of thousands of wind ought not be denied to any man.’’
ships for thousands of years, the following para- Spreading throughout England, the use of the post
graphs trace the paths of commerce and conquest. mill eventually made its way to the European
Whereas once the longest history of using wind continent. By 1300, one saw horizontal axis wind-
power was on the sea and not the land, today the mills similar to those in England in Spain, France,
reverse is true. While the importance of sailing has Belgium, The Netherlands, Denmark, the German
faded to recreational use, the terrestrial applications principalities, and the Italian states. Subsequently,
Wind Energy, History of 421

the more powerful and more elaborate tower mill brands of farm windmills appeared on the market.
replaced the simple post mill, especially in The There is no way in which to estimate accurately how
Netherlands. many such windmills once dotted the Great Plains,
As the name implies, tower mills reached skyward but some authorities have suggested a number as
by using wood framing, brick, and stone. The tower, high as 6 million. These windmills added a vertical
like those of the modern wind turbine, was im- dimension to the otherwise horizontal space of the
movable. The cap with the rotor, horizontal axle, and Great Plains and once were the most common
gearing rested on a curb at the top of the tower. The landscape feature between the Mississippi and the
miller pointed the rotor into the wind by swinging Rockies. Today, the sight of an American windmill
the cap on its curb. During the ‘‘golden age’’ of the evokes a certain nostalgia for a simpler bucolic age.
European windmill, the Dutch alone operated some The windmill became an American icon.
10,000 tower mills, and they did more than pump
water and grind grain. For example, they reduced
1.4 The Marriage of Wind and Electricity
pepper and other spices, cocoa, dyes, chalk, and
paint pigments. Lumber companies employed them The development of wind power to grind grain and
as primary power for sawmills. Paper companies pump water was historically significant, but during
used windmills to reduce wood pulp to paper. One the 21st century it has been the marriage of wind and
authority estimated that the mills provided as much electricity that offers the greatest promise. However,
as 25% of Europe’s industrial energy from 1300 to it was not a union that took place quickly. In 1748,
the coming of the steam engine and cheap coal Benjamin Franklin wrote a scientific friend that, in
during the 1800s. The remainder came from hydro- regard to electricity, he was ‘‘chagrined a little that
power, assisted by human and animal labor. we have hitherto been able to produce nothing in the
way of use to mankind.’’ It would be many years
before the first practical use of electricity appeared in
1.3 Wind Energy in the New World
the form of the telegraph in 1844.
Although European countries explored and colo- Although the telegraph was used extensively for
nized the New World, there is disagreement as to more than half a century, little more was done with
whether the windmill accompanied them. The seal of electricity until the first generating plants began
New York City contains a windmill, early woodcuts operating during the final quarter of the 19th
of ‘‘Nieuw Amsterdaam’’ depicted windmills, and century. After that time, the use of electricity caught
there are other examples of early windmills as well. on quickly, and by 1900 it was becoming an essential
But the European windmill was simply too large, element of the urban lifestyle. In this atmosphere of
cumbersome, and expensive to be easily adapted to discovery, inventors contemplated the coupling of
New World conditions. Also, it was a labor-intensive wind power and electricity. Journals such as Scien-
device in a new land where labor was scarce and tific American challenged American ingenuity to use
valuable. Any apparatus that required continual ‘‘the natural forces which are in play about us.’’ The
attention would have found limited use on North most pressing problem was how to store this elusive
American soil. Furthermore, the climate and topo- form of energy. How could one use the power of the
graphy of the New England region favored water wind if one could not store electricity, especially
wheels, and by 1840 more than 50,000 water wheels given that the wind did not necessarily blow when
were in operation. It was the energy source of choice. one needed it? By the early 1880s, the French
The windmill did eventually find a home in the inventor Camille Faure had devised what he termed
United States, albeit of a design different from that a ‘‘box of electricity’’ or storage battery. It seemed
used in Europe, in the vast western part of the possible to generate electricity from the wind, store
country. Inventors there came up with a blueprint for it, and use it when needed.
what would become known as the ‘‘American farm The first to build a practical large-scale wind
windmill.’’ Adapted to a land of little rain but turbine was Charles Brush, a scientist from Cleve-
abundant wind, the American farm windmill was land, Ohio, who had made a fortune through his
small, light, movable, self-regulating, inexpensive, electric arc lighting system. The basement of his
and easy to maintain. It liberated groundwater in an Euclid Avenue mansion became his laboratory, but
arid area, bringing it to the surface and making his experiments were limited by the lack of elec-
agriculture possible. Between 1850 and 1900, an tricity. To resolve the problem, Brush in 1886
impressive and bewildering number of styles and designed and constructed a wind turbine that was
422 Wind Energy, History of

of immense proportions. Visitors to his 5-acre realized that a three-bladed propeller might be a
backyard saw a 40-ton (46,300-kg) tower rising better solution to the problem of wind-powered
60 feet (18.3 m) into the air. From the tower turned electrical generation. The brothers eventually per-
a rotor 56 feet (17.1 m) in diameter with 144 slender fected the rotor blades, the blade feathering system,
blades. Within the tower, he located his dynamo and and a powerful generator that would characterize
the necessary gearing to drive it. In his basement, their wind turbine. Soon their ranch neighbors were
Brush installed 12 batteries. The turbine and purchasing the Jacobs’s turbines. Uniquely, all of
batteries infallibly provided electricity for his 100 their experimentation and manufacturing took place
incandescent lights, three arc lights, and a number of on the family ranch. It was a perfect wind laboratory,
electric motors. The Brush wind dynamo worked but soon the brothers realized that truly building
incredibly well for approximately 15 years, using turbines in quantity would require relocation to a
‘‘one of nature’s most unruly motive agents,’’ as midwestern industrial center. They chose Minneapo-
Scientific American reported. The inventor used his lis, Minnesota, in 1927, and between that year and
machine only occasionally after 1900, which was the 1957 the Jacobs brothers turned out approximately
year Cleveland began offering the convenience of 30,000 small wind turbines. The Jacobs machines
centrally generated electricity. He abandoned his became legendary for their reliability. A Christian
machine in 1908. missionary in Ethiopia installed a Jacobs plant in
Despite its success, the Brush wind dynamo was 1938. In 1968, the missionary sent for a replacement
never duplicated. Although fuel was free, the set of generator brushes—the first repair in 30 years
machinery to capture it was not. Furthermore, of operation. In 1933, Admiral Byrd installed a
Brush’s extensive knowledge of both electricity and Jacobs plant on a 70-foot (21.3-m) tower at Little
the working of the wind dynamo could not be easily America. When Byrd abandoned his Antarctica
replicated elsewhere. Although a smaller similar outpost, he left the wind turbine. When his son,
design was employed in New England by the Lewis Richard Byrd, Jr., visited the site in 1947, the Jacobs
Electrical Company (the first commercial wind was ‘‘still turning in the breeze,’’ although only
turbine), it did not prove to be popular. Brush 15 feet (4.6 m) of the tower was free of ice. In 1955,
offered the public a concept, but not one that could one of the 1933 veterans returned and removed the
be mass produced. blades from the still operating turbine because they
were threatened by the advancing ice.
Although Jacobs marketed its wind turbine as the
1.5 The Search for a Practical ‘‘Cadillac’’ of windchargers, many ranchers and
farmers found that a ‘‘Chevrolet’’ would be sufficient.
Wind Turbine
In general, they purchased a Wincharger brand from
Experimentation continued sporadically between a company that produced models from 6 to 110 V
1890 and 1920, but these decades represented the and from 200 to 3000 W. R. E. Weinig, the general
pause between invention and application. It was only manager of Wincharger, testified in 1945 that some
after World War I that some mechanically minded 400,000 of the company’s wind plants operated
Americans applied advances in aeronautics to the worldwide. Other brands included the Miller Airlite,
design of a practical inexpensive wind turbine. In Universal AeroElectric, Paris–Dunn, Airline, Wind
1920, few North American farmers had electricity, Kind, and Winpower. In 1946, the Sears Roebuck
and those who did produced it with gasoline- catalog marketed a Silvertone Aircharger for $32.50.
powered generators such as Delco ‘‘light plants.’’ Most of these turbines were small, powering a radio
By the late 1920s, wind turbines began to compete in and perhaps a couple of 40-W lights, but nevertheless
the effort to provide the American farm family with they filled the desire for electricity in rural regions of
the convenience of electricity. A number of compa- North America.
nies produced wind turbines, but the most successful Meanwhile, active research on larger wind tur-
were Jacobs’s Windelectric and Wincharger. Joe and bines was under way in Europe. In 1900, the world’s
Marcellus Jacobs were not engineers but rather farm expert on electricity-generating wind turbines was
boys with an inventive flair. They experimented on not Charles Brush but rather Poul La Cour, a Danish
their parents’ eastern Montana ranch. At first, they scientist who spent most of his professional life
converted a multibladed farm windmill from pump- working on wind electric systems. By 1906, with the
ing water to generating electricity, but it turned too support of the Danish government, 40 wind turbines
slowly. Marcellus had learned to fly, and he soon were generating electricity in the small nation,
Wind Energy, History of 423

beginning a tradition that has lasted to this day. To administrators would consider such a deviation from
the south, Germany capitalized on La Cour’s work their commitment to a centralized power system. By
and moved forward under the leadership of engineer 1957, every American wind electric company had
Hermann Honnef and others. The editor of Scientific closed its doors.
American noted that wind power in Germany ‘‘has
been developed to a point that is surprising.’’ Across
1.7 Large Wind Machine Experiments
the channel, the British showed a similar interest. In
1924, Oxford University’s Institute of Agricultural While federal legislation stilled the small, farm-
Engineering tested seven turbines from five manu- oriented wind turbines, one engineer was thinking
facturers. Two years later, the institute reported that on a much grander scale. A young engineer named
the ‘‘cost of windmill-generated electricity for small Palmer Cosslett Putnam first became interested in
lighting and small power purposes was found to be wind energy in 1934 when he built a house on Cape
quite reasonable and, as such, justifies its wider use in Cod and, as he put it, ‘‘found both the winds and the
rural districts where there is no general supply.’’ electric rates surprisingly high.’’ Putnam had in mind
hooking up to utility company power, using it but
sparingly, and selling back the surplus from his wind
turbine. However, no mechanism existed at that time
1.6 The Victory of Centralism
to convert direct current from a windcharger to
over Individualism
alternating current that central station power plants
By the 1930s, wind turbines had found a particular delivered. Putnam researched the problem, and as an
place in the rural landscape in both Europe and the engineer committed to ‘‘economies of scale,’’ he
Americas. However, as noted in the Oxford report, decided to build a huge experimental wind turbine
their use was recommended only ‘‘where there is no that would generate alternating current identical to
general supply’’ of electricity. In other words, that from conventional power plants.
engineers and entrepreneurs had become committed Putnam stripped bare a rounded knoll near
to central power systems and the creation of a grid of Rutland, Vermont. There he erected a massive two-
transmission lines to carry the electricity. The idea of bladed turbine with S. Morgan Smith Company, a
individual power units was anathema to engineers manufacturer of large hydroelectric turbines. Truck-
who thought in terms of electrical systems that ers struggled to bring some 500 tons (90,700 kg) of
served large populations from a central generating material and parts to the crest of Grandpa’s Knob.
source. Of course, private utility companies com- The 70-foot (21.3-m) length of the two 7.5-ton
plained that getting power to rural America was (6800-kg) blades posed a particular challenge.
costly. Stringing wires was expensive, and utility However, on October 19, 1941, the rotor began to
companies refused to serve rural homes unless they turn. It operated for approximately 16 months,
were in close proximity to each other and to urban producing 298,240 kWh in 695 h of online produc-
centers. In 1930, only approximately 10% of tion. On February 20, 1943, a bearing failed,
American farm families could boast electricity resulting in a 2-year hiatus because both parts and
despite a much higher percentage in urban areas. It labor were difficult to obtain during World War II.
was at this time that the Rural Electrification Act Production finally resumed, but not for long. On
(REA) came into existence. March 26, 1945, one of the blades separated from
The REA, passed in 1936, would change these the rotor and crashed to the ground and on down the
statistics dramatically in the United States. The act side of the mountain. Although Putnam promised
called for local farmers to establish cooperatives with that he and his partners would repair the turbine, the
the authority to make loans to bring electrical power expense of doing so was prohibitive. The great
to farms within their designated region. It was turbine never turned again.
enormously successful. No one would deny the What is most remarkable about the Smith–
accomplishment of the REA, but the federally backed Putnam project was not its successful operation but
cooperatives sounded the death knell for the wind- rather the fact that it happened at all. Putnam had to
charger industry. Centralization and government rely on private industry for machinery, expertise, and
subsidies for the cooperatives killed the industry. (above all) funding. Fortunately, S. Morgan Smith
One wind energy executive attempted to persuade bankrolled his effort. A number of distinguished
Congress to include windchargers as part of the REA scientists from prominent universities participated,
in more isolated areas, but neither Congress nor REA as did some of the leading engineering firms of the
424 Wind Energy, History of

day. Vannevar Bush, then the dean of engineering at soon reached as California continued to grow. Soon
the Massachusetts Institute of Technology, put it well the state ranked first in economic might, and feeding
when he wrote that the project was ‘‘conceived and its appetite required huge amounts of electricity.
carried through free enterprisers who were willing to Having virtually no coal, insufficient natural gas, and
accept the risks involved in exploring the frontiers of oil that was too expensive to use in power plants, and
knowledge, in the hope of financial gain.’’ Obviously, facing rising opposition to nuclear energy, Califor-
there was no financial gain, but in its brief life the nians turned to alternative resources that have
turbine certainly opened new frontiers of knowledge always been available in the state. At first, geother-
for the wind energy field. mal energy was the resource of choice, and it grew
quickly. Yet ultimately its luster dulled, and by the
mid-1980s serious attention was shifting to another
resource—wind.
2. THE FIRST U.S. BOOM
The attention given to wind power in California
resulted not from the fact that the state was a
2.1 The Search for Alternatives
dominantly windy place but rather from the con-
For less than 22 years, Americans held hope in the vergence of local demand, state and federal financial
promise that nuclear power was going to provide all subsidies, a favorable political climate, and the
of the electricity they could ever need, but it was not geographical convenience that found three sites with
to be. The idea that blossomed with such promise at great promise virtually in the backyards of millions
the Shippingport Atomic Power Station west of of people. Anyone who has driven the stretch of
Pittsburgh, Pennsylvania, in December 1957 ironi- Interstate 10 through San Gorgonio Pass 100 miles
cally shriveled in the same state with the accident at east of Los Angeles, or the stretch of Interstate 580
the Three Mile Island nuclear power plant near through Altamont Pass 50 miles east of San
Harrisburg in April 1979. The event, including the Francisco, knows the strength and persistence of
chaotic public and governmental responses it trig- winds there. Even windier, albeit less traveled,
gered, punctured the nuclear balloon, resulting in the Tehachapi Pass 50 miles east of Bakersfield was the
cancellation of dozens of nuclear power plants. None third target of early development (Fig. 1).
has been ordered in the United States since then, and With all of the favorable conditions for wind
after the 1986 catastrophe at the Chernobyl plant in development finally in place by the mid-1980s,
Ukraine, few have been built anywhere in the world. thousands of wind energy conversion systems (WECS)
These events, coupled with the embargoes on oil and sprouted with a suddenness that startled the public. In
the constraints on coal burning during the 1970s, unexpected numbers and with unexpected vigor,
stimulated a more serious evaluation of alternative
energy resources.
Although several resources did garner more
attention, there was never a wholehearted effort. N

Nascent public and private alternative energy pro-


Altamont Pass
grams existed in scattered, small, and even persistent San
Francisco
forms in many areas, but they received little more
C
A

than perfunctory support from government agencies


L
IF

and large energy companies. Even the high-profile


O
P

advocacy of the Carter administration did not have


R
A

N
C

much staying power in terms of national policy, IA


IF

although it helped to build a foundation for later


IC

Tehachapi Pass
advances in some locations, especially California.
O

California was famously short on energy re- San Gorgonio


C

Pass
E

Los Angeles
sources, and these deficiencies were to become
A

N
painfully obvious over the years. During the second Palm Springs

half of the 19th century, people relied on wood, but it 0 100 200 miles San Diego
became scarce rather quickly. Various forms of 0 100 200 kilometers
hydrocarbons were used for lighting, and when
electricity became popular, hydropower was quickly FIGURE 1 Principal developed wind resource areas of
put to work. However, its practical limits were also California.
Wind Energy, History of 425

people began to complain how the wind turbines were to push wind development in Europe ahead of
changed aesthetics, increased bird mortality, produced those in the United States during the 1990s, but
electronic interference, and created noise. However, Europeans’ attraction to wind power had actually
there was no turning back; California’s experiment in started years earlier.
large-scale development of wind power was just
getting started.
3. THE EUROPEAN EMPHASIS
2.2 Reactions and Early Lessons
3.1 The Early Years
The early stages of modern wind development in
California faced some persistent barriers. Wind Denmark has assumed a leadership role in the
turbines are unavoidably visible and impossible to development of wind power in Europe, but it took
hide, especially in those locations where they were a path far different from that taken by the United
being concentrated in the state. Complaints about States. Unlike American wind turbine design, which
these new landscape additions continued, although was concentrated in the hands of the aerospace
they diminished in intensity as the technology industry, Danish wind technology grew out of the
improved and regulatory controls were imposed. agricultural sector as a natural by-product of the
Once financial subsidies ceased during the mid- Danish economy and the long history that Danes
1980s, wind power was left to survive on its own, have with the wind. They used it to power the ships
and this was not possible for all installations or of their early conquests and to carry Norsemen as far
designs. A weeding out would soon take place as as the New World. So-called ‘‘Dutch’’ windmills
wind developers continued to face public complaints, eventually became a common sight in Denmark, with
technical difficulties, and financial challenges. Poorly a some 3000 of them providing the equivalent of half
sited and inoperable equipment was slowly removed, again as much energy as all the animal power then
and regulators began flexing their bureaucratic supporting Danish agriculture by 1890. In 1891, La
muscles. The authorities who governed development Cour, the ‘‘Danish Edison,’’ began experimenting
in places like San Gorgonio Pass imposed controls on with wind-generated electricity, and as early as 1903,
height, color, and reflectivity, instigated operational La Cour’s Danish Wind Power Society was fostering
standards on design and noise, and required decom- the idea of wind-generated electricity.
missioning bonds and protection of migrating birds By the end of World War I, more than one-fourth
and endangered species. of all rural power stations in Denmark used wind
Despite the multiple regulations and engineering turbines. During the long wartime blockade, the
improvements that are now part of wind energy 3 MW provided by these crude wind generators and
development in the United States, nothing can render the widespread use of small farm windmills for
them invisible and, at the same time, still economical grinding grain were invaluable to the impoverished
to run. Simply put, the only way in which to hide rural population. Although most windmills were
wind turbines is by using the buffer of space. But in used for mechanical power, it has been estimated that
California, most wind turbines are along busy wind turbines were providing the equivalent of 120
highways, always available for public scrutiny. to 150 MW in Denmark by 1920. Nearly 90 turbines
Because of the slipshod way in which many devel- were installed during World War II, including the
opments were first installed, wind power received an 30-kW Lykkegaard wind turbine patterned after La
early black eye that has taken years to heal. In the Cour’s klapsejlsmlle, and F. L. Smidth’s more
meantime, development activities picked up else- modern ‘‘Aeromotors.’’ This design, like those of
where, especially in Europe. La Cour, used four or five wide blades resembling
On the heels of the California experience and those of traditional windmills except that the blades
benefiting from improvements prompted by that were covered with metal shutters instead of cloth
experience, European wind developers began moving sails. These wind turbines were controlled by open-
quickly to install their own projects. Their ambitions ing and closing the shutters. In contrast, the Smidth
were encouraged by shortages of sufficient local company became one of the world’s first firms to
resources, concerns about nuclear power and global marry the rapidly advancing field of aerodynamics to
warming, the political weight of ‘‘green’’ parties, and wind turbine design. The Smidth company’s wind
ample subsidies that became available to alternative turbines incorporated both technologies and used
energy developers. All of these factors taken together modern airfoils upwind of a concrete tower.
426 Wind Energy, History of

After the war, interest in wind energy again Europeans of several nationalities flocked to Cali-
waned, although Johannes Juul remained resolute. fornia to seek their fortunes in wind energy, but none
In 1950, he began testing a prototype wind turbine more so than the Danes. The trickle of Danish
for the Danish utility SEAS, and subsequently he machines entering California in 1981 soon became a
modified a Smidth turbine used on the island of torrent. At the peak of the rush in 1985, Europeans
Bog. With the experience gained from developing shipped more than 2000 wind turbines, mostly
these two machines, Juul began work on his Danish ones, to the United States. Later, after the
crowning achievement, the three-bladed, stall-regu- collapse of the California market in 1985, Denmark
lated, upwind rotor at Gedser that spanned 24 m (79 looked elsewhere and helped Germany to become the
feet) in diameter. Installed in 1956, the Gedser mill leading wind power country in the world. Indeed, in
operated in regular service from 1959 through 1967. 2001, Germans installed a record 2600 MW, and all
By the late 1970s, modern wind turbine manufac- of these wind turbines were technologically derived
turers and experimenters erected their first proto- from Juul’s work at Gedser.
types. By 1980, when the European wind energy
conference was held north of Copenhagen, there
were several designs in operation.
3.2 Dependable Home Market
Meanwhile, Ulrich Hütter was designing and
building wind turbines for the Nazi-owned Venti- In 1981, Denmark set a national goal of installing
motor company outside of Weimar, Germany, in the 1000 MW of wind power by the year 2000. Denmark
hope of reducing reliance on foreign sources of became self-sufficient in oil a decade later following
energy. Hütter’s team experimented with several discoveries in the North Sea, but the country
designs, including one of the first uses of a wind continued its wind development program as a means
turbine to drive an asynchronous or induction of reducing greenhouse gas emissions. Denmark later
generator directly coupled to the electric utility increased wind’s expected contribution to 10% of the
network. After the war, Hütter went on to become nation’s electricity supply by the year 2000, a target
a prominent aeronautical designer who continued it exceeded. In 2001, Denmark was generating 16%
experimenting with wind energy. During the late of its electricity with wind energy (Fig. 2).
1950s, he installed a novel turbine that operated at
high rotor speeds with only two slender blades.
At the opposite technical pole from Hütter, Juul Cluster: 4−7 turbines
was a traditionally trained engineer working outside Farm: 8 or more turbines
of academia. Juul’s design grew out of the Danish
craft school tradition, and he built on the experience
gained by Smidth during the war. Juul built a turbine
for the Danish utility SEAS at Gedser incorporating
the lessons learned. Meanwhile, both the British and
the French installed prototype wind turbines during
the 1950s and 1960s.
The availability of cheap oil from the Middle East
doomed most of these programs, but Juul’s turbine at
Gedser and Hütter’s turbine in the Schwabian Alps
continued in operation for the next decade. Hütter’s
design and his argument for it would captivate
German and American engineers for years to come.
However, it was Juul’s design and its adherents in
Denmark that would come to dominate the field of
wind energy some decades later.
Juul’s simple robust design was adopted by the
Danish wind revival of the late 1970s following the
oil crises of the period. When the California ‘‘wind
rush’’ began during the early 1980s, budding Danish
wind turbine manufacturers were poised to seize the FIGURE 2 Wind-generating installations in Denmark as of
opportunity to export technology and expertise. February 2002.
Wind Energy, History of 427

The late 1970s brought a change that helped to German wind turbine owners replicated the format
further wind power development in Denmark when south of the Danish–German border.
the European market for Danish farm equipment Wind energy grew rapidly in Denmark, not only
slackened, forcing manufacturers to seek new due to early government incentives but also because
products for their rural customers. With generous Danish utilities were required to pay a premium
incentives from the Danish government stimulating price for wind-generated electricity. By agreement
demand, Danish manufacturers quickly adapted with the government, utilities paid 85% of the retail
their surplus capacity to the new wind turbine rate for electricity from privately owned wind
market. The demand for modern wind turbines by a turbines. Coupled with credits against energy taxes,
population spread across the Danish landscape, a Danish utilities were paying the equivalent of
good wind resource off the North Sea, and a U.S. $0.10/kWh for wind-generated electricity dur-
manufacturing sector accustomed to building heavy ing the mid 1990s in comparison with retail rates of
machinery for a discerning rural market all con- nearly $0.17/kWh.
tributed to launching the world’s most successful Many factors have contributed to the success of
domestic wind industry. In addition, the small size of wind power in Denmark. One is two decades of
the country allowed manufacturers to service their consistent national policies supporting a strong
own turbines, often directly from the factory. This domestic market for Danish wind machines, mostly
spatial proximity enabled companies to learn for farmers and cooperatives. Another is the often-
quickly from their mistakes and to keep their overlooked backing of Danish financial institutions;
turbines in operation as physical proof to potential Danish banks and finance societies during the 1990s
buyers that the companies’ machines were good provided 10- to 12-year loans for 60 to 80% of the
investments. installed cost. Banks competed for wind projects by
Danes pride themselves on their unusual ability to advertising themselves as ‘‘the wind banks’’ in local
act individually while working cooperatively. Even newspapers.
though most farms are owner operated, nearly all
Danish farmers are members of farm cooperatives.
These cooperatives process the Danish foods found
3.3 Nationwide Land Use Planning
on shelves worldwide. Danish wind turbine coopera-
tives and an association of wind turbine owners have Although thousands of wind turbines have been
had a profound effect on the development of wind installed in Denmark by individuals without much
energy in the country. Some 100,000 Danish house- notoriety or difficulty, Danish utilities encountered
holds (B5% of the population) own shares in wind public opposition when they proposed wind pro-
cooperatives. jects of their own. These companies were viewed as
Another contributor to Danish success was the outsiders, and the new neighbors of their proposed
Danish Windmill Owners Association (Danske wind turbines considered them to be no different
Vindkraftværker). Formed in 1978, the group grew from conventional power plants. In response, and at
from a series of informal quarterly meetings of the utilities’ request, the government appointed a
backyard experimenters, hobbyists, and environmen- special wind turbine siting committee in 1991 to
talists. Because many early wind turbines were identify locations for wind turbines with a broad
unreliable, the group demanded minimum design base of acceptability. Land use planning became
standards. The most important element in the future necessary as wind turbines increased in size
success of wind energy was the requirement for a dramatically since the early 1980s and as their
failsafe redundant braking system such as the tip numbers continued to increase. The government
brakes invented by Juul during the 1950s for use on committee estimated that the Danish landscape
his Gedser turbine. This single provision, more than could absorb 1000 to 2800 MW of wind capacity,
any other, furthered Danish wind technology because taking into account local objections and the
it succeeded in ensuring the survival of the wind preservation of scenic areas. Regional Danish
turbine when something went wrong. The owners jurisdictions now include wind energy in their land
association also compiled statistics on the reliability use plans. These plans designate zones where wind
of Danish turbines and compelled Danish manufac- turbines are prohibited, where single turbines may
turers to fulfill their product guarantees when the be installed, where wind farms or wind power
turbines underperformed. Collective action by Dan- plants are permitted, and where clusters or single
ish wind turbine owners was so successful that turbines may be erected with special approval.
428 Wind Energy, History of

Many municipalities, including the capital city, also


include wind turbines in their local plans.
There are wind turbines in urban areas throughout
Denmark and three projects within the environs of
Copenhagen. One project, Lynetten, is visible from
the Christianborg Palace, the seat of Denmark’s
parliament, the Folketing. The turbines are also

PO
LA
visible from the Little Mermaid, the most visited Berlin

ND
tourist attraction in the city. Today, wind turbines in

GERM A N
Denmark are dispersed across the landscape, in
contrast to the giant wind farms typically seen in

Y
North America, India, and Spain. In fact, many
Danish installations include only one turbine. In total,
after 16 years of development, Denmark reached
2000 MW of installed wind capacity and paved the
way for other countries to have similar success.
CZ
EC
H
3.4 Germany Becomes the Leader RE
PU
B LI
C
Wind developments in Germany differ somewhat

NCE
from those in Denmark. The German market clearly

FRA
demonstrates the effectiveness of their incentives to
0 20 40 60 miles
stimulate the growth of wind energy. In 1991,
0 60 kilometers
Germany’s conservative government introduced the
Stromeinspeisungsgesetz (electricity feed law), re- FIGURE 3 Wind-generating installations in Germany as of
quiring utilities to pay 90% of their average retail September 2001.
rates for purchases from renewable energy sources
such as wind turbines. The law, which encompassed development began in earnest in Spain during the
only a few paragraphs, resulted in extensive wind mid-1990s when the government introduced its own
development. By the early 21st century, wind electricity feed law. Under the law, Spanish projects
turbines were in every part of Germany, from polders can choose a fixed price per kilowatt-hour of wind-
on the North Sea to hilltops of the central highlands generated electricity or the wholesale rate. Most have
(Fig. 3). chosen the fixed price tariff. As a result of the
The parliament (Bundestag) modified the feed law combination of the country’s electricity feed law,
in 1999, stabilizing both the price and the period good wind resources, and supportive regional gov-
during which the price would be paid. The measure ernments that see wind energy as a means of
ensured a stable and continually expanding domestic economic development, Spain has a bustling wind
market. In 2001, wind turbines were producing industry that rivals that of Germany. In 2001, Spain
3.5% of the electricity in Germany, a nation of 80 was the world’s second largest manufacturer of wind
million and the world’s third largest economy. As a turbines.
result of its precedent-setting feed law, Germany had Great Britain and The Netherlands have decent
the most dynamic and transparent markets for wind wind energy resources, although they have had
turbines in the world during the first decade of the different experiences. Both countries launched wind
new millennium. Like Denmark, Germany’s large development programs during the early 1980s but
domestic market spawned the growth of some of the have lagged behind their European neighbors. Both
world’s largest wind turbine manufacturers. Also like misdirected research and development funds toward
Denmark, many of the wind turbines in Germany electric utilities and large industrial concerns in
were installed as single turbines or small clusters. centrally directed programs that were incapable of
supplying competitive products for a limited domes-
tic market. Furthermore, programs designed to
3.5 Other Markets stimulate a market instead often antagonized pro-
There are several other wind markets in Europe spective neighbors by forcing wind development
outside of Denmark and Germany. For example, onto the most sensitive sites. Although Great Britain
Wind Energy, History of 429

has the best wind resource in Europe (Fig. 4), fixed tariffs: one price for windy sites, a second price
organized opposition nearly brought the industry to for modest wind resources, and a third price for the
collapse during the late 1990s. Despite an early least windy areas. It also limits the size of the wind
beginning and an excellent wind resource, total farms that can be built under the program. These
installed wind capacity in both Great Britain and provisions encourage a greater number of smaller
The Netherlands represented only 5% of the total projects than those found in North America and
installed in Germany in 2002. spread wind development beyond just a few windy
France, with its longtime emphasis on nuclear provinces such as Brittany in the west and Languedoc
power, has been one of the last European countries to in the south.
turn their attention to the possibilities of wind Several other countries, inside Europe as well as
energy. After watching how wind development was elsewhere, are installing wind generators. Within
stymied in Great Britain and being familiar with the Europe, these include Italy, Greece, and Sweden.
opposition to new nuclear construction, France Outside of Europe, wind development is prominent
sought to adapt the German feed law to French in India, particularly in the states of Gujarat and
conditions. The French electricity feed offers three Tamil Nadu. Several large projects were also built in

FIGURE 4 Wind-generating installations in the United Kingdom as of January 2002. Courtesy of British Wind Energy
Association.
430 Wind Energy, History of

North Africa and China during the late 1990s. By the


turn of the 21st century, wind turbines in commercial
projects were operating on every continent.

4. REJUVENATED NORTH AMERICA

4.1 The Great Plains


After the burden of bad press coming out of
California, progress in wind power in the United
States dwindled virtually to a standstill during the
late 1990s, just as it was picking up momentum in FIGURE 5 Wind energy potential as a percentage of total
Europe. Ironically, support and success in Europe electric consumption. Reprinted from Pacific Northwest National
rekindled the American market. Texas has been one Laboratory. (1991). ‘‘An Assessment of the Available Wind Land
of the leaders of this resurgence, followed by several Area and Wind Energy Potential in the Contiguous United States.’’
PNNL, Richland, WA.
other states such as Minnesota, Iowa, Oregon,
Washington, and Pennsylvania (and soon perhaps
TABLE I
the Dakotas and Massachusetts). Many reasons
explain this renewed interest. First, wind technology Wind Potential in Selected States
has matured, becoming more efficient and reliable
Rank State Billions of kilowatt-hours
and less threatening to wildlife, especially to birds.
Second, certain economic incentives now exist for 1 North Dakota 1210
utility companies to promote the resource, most 2 Texas 1190
specifically their ability to capture ‘‘credits’’ as a part 3 Kansas 1070
of renewable portfolio standards. For example, these 4 South Dakota 1030
standards in Texas require utilities to provide a 5 Montana 1020
percentage of their electricity from renewable energy. 6 Nebraska 868
Once this step was taken, Texas surged to nearly 7 Wyoming 747
1100 MW by 2001, second only to California’s 8 Oklahoma 725
1700 MW. Most of this new Texas capacity is in 9 Minnesota 657
West Texas, in the vicinity of Iraan and McCamey. 10 Iowa 551
The quick growth in Texas is due in part to a policy 11 Colorado 481
that allows companies who exceed the minimum 12 New Mexico 435
required percentage to sell their additional credits to 13 Idaho 73
other providers. 14 Michigan 65
A third reason behind the renewed growth of wind 15 New York 62
power in the United States is that farmers have 17 California 59a
learned that wind power can make them money and
a
help them to keep their land. For this reason, the Illustrates that numerous states have greater wind potential
Great Plains seem destined to assume the leadership than does California, where the majority (B90%) of U.S. wind
development has occurred to date.
position in U.S. wind power development and
Source. Data from Pacific Northwest National Laboratory.
perhaps the world, a result of a combination of (1991). ‘‘An Assessment of the Available Windy Land Area and
natural and cultural conditions. Most notably, the Wind Energy Potential in the Contiguous United States.’’ PNNL,
U.S. wind resource is concentrated there as the result Richland, WA.
of favorable climatic and topographic conditions. It
was estimated that the potential in the Dakotas the region, and it has fallen on hard times,
would match 60% of the electrical demand for the particularly at the expense of the small farm. Word
entire country in 1990 (Fig. 5 and Table I). has spread quickly across the Great Plains that wind
Another important reason for the increased turbines can substantially improve the economic
activity in the Great Plains is found in the region’s return from property in the region. In fact, farmers
history of land use. More than in any other part of in many areas today generate more income from
the country, agriculture is the economic mainstay of electricity than from traditional farm products
Wind Energy, History of 431

while at the same time using only a small portion of 4.3 Nantucket Sound
their land for the physical wind equipment. Ironi-
Objections to wind power, infrequent in the North-
cally, the very area of the country that several
west and Great Plains, still exist in some areas where
decades ago was home to the greatest concentration
population is concentrated, especially in those areas
of windmills in the world will possibly become so
that are considered attractive tourist destinations.
again, this time having them pumping out electrons
During recent years, such public opposition, which
instead of water.
In addition to Texas, development on the Great began in California, has been concentrated on a site
off the coast of Massachusetts, where 170 turbines
Plains has been most noticeable in Iowa and
have been proposed to spread across the sea on a
Minnesota, where 324 and 319 MW of generating
28-acre patch on Horseshoe Shoal in Nantucket
capacity, respectively, were installed at the time of
Sound, 9 miles off Martha’s Vineyard and as close as
this writing. Unlike Texas, where most of the wind
4 miles to Cape Cod. Objections, particularly from
installations are on marginal grazing land or in spent
an organization called the Alliance to Protect
oilfields, the wind turbines in Iowa and Minnesota
Nantucket Sound, have focused on the visual
are on working farms.
Also on the Great Plains, albeit farther west, wind intrusion of these turbines and to the potential
disruption of traditionally productive fishing
developments have been appearing in Wyoming
grounds. At least 10 other wind power projects are
ranching country, where at the end of 2001 there
being considered elsewhere in New England, but
was about 140 MW of installed generating capacity.
because the $700 million Cape Wind project came
In some locations in that state, such as near Interstate
first, the discussion about offshore wind power is
80 west of Laramie, the wind is ferocious, and for the
concentrating here. Regardless of how the contro-
first time it is being seen not as a burden of life in the
versy off Cape Cod is resolved, it has underscored a
area but rather as an asset. In the Great Plains,
NIMBY (not in my backyard) is being supplanted by key point in the future potential for this renewable
energy source. In some places wind power is
a new acronym, PIMBY (please in my backyard).
welcomed warmly, whereas elsewhere it is opposed
with vehemence.

4.2 The Pacific Northwest


The other location of substantially increased wind 5. TRENDS
power installations has been the Pacific Northwest,
an area that recently has witnessed the second Wind power has become the best hope for the future
fastest growth after Texas. Several sites in the of alternative energy. Of all the possible ‘‘new’’
windy Columbia River Gorge east of Portland are sources of electricity, it has rather unexpectedly
being monitored, and the Stateline Project, along found itself the most touted and fastest growing
the eastern border of Washington and Oregon, alternative energy resource in the world, generating
amounts to approximately 180 MW of capacity. significant amounts of electricity in several countries,
Here too it is making money for local people; such as the United States, Denmark, Germany, and
according to an article in the March 25, 2002, issue Spain, as well as impressive amounts in many other
of the Register Guard of Eugene, Oregon, North- countries (Fig. 6).
western Wind Power is paying 60 farmers in four Development of wind power has been following
counties alone to build wind turbines on at least several trends. One has been the effort toward
150,000 acres. Another developer, SeaWest Wind greater economies of scale that results through the
Power Inc., has leased tens of thousands of acres use of multimegawatt turbines. Most of the early
from at least 20 landowners in Oregon and turbines of this size were abandoned by the mid-
Washington. In Sherman County, some farmers 1980s after failing in three areas: hours of operation,
can expect a $10,000 sign-up payment, $15,000 for energy generated, and contribution toward making
each turbine installed, and up to $5000 per turbine wind technology more competitive with conven-
per year. That does not include the money that tional fuels. Another round of large turbines during
developers pay to reserve the land—approximately the late 1980s and early 1990s performed somewhat
$2000 per month—while they conduct wind stu- better than their forebears, renewing hope among
dies. Here, as in the Great Plains, wind develop- government-sponsored laboratories that large wind
ment is becoming a profitable business. turbines did have a future after all, but they too
432 Wind Energy, History of

35 North America
Europe

World wind-generating capacity


30

(thousands of megawatts)
Asia
25 Other

20

15

10

0
80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02
Year
FIGURE 6 World generating capacity, illustrating the steep and recent rise in installed wind power.

were not very successful. In 1990, the European


Commission intended to chart the way for a third
round of funding for large wind turbine develop-
ment. In contrast to the past, funds were directed
toward wind turbine manufacturers rather than the
aerospace industry or other large industries. Eur-
opean governments, like their North American
counterparts, had promoted megawatt-sized wind
turbines for more than a decade with little success.
The European Community worried that the progres-
sion toward larger wind turbines produced by
Danish and German manufacturers would take too
long to reach the size that program managers in
Brussels, Belgium, believed were the optimum for
Europe.
Manufacturers participating in a more aggressive
program erected their prototype megawatt-class FIGURE 7 Visualization of a suggested offshore wind farm
turbines during the mid-1990s. Commercial produc- near Sams, Denmark. The original idea was to place 10 turbines
tion began during the late 1990s, and by early 2000 in a circular array. The project was expected to be built in 2003 in
increasing numbers of the turbines were being a linear array. Courtesy of Frode Birk Nielsen.
installed in Germany. In 2000, the average wind
turbine installed in Germany was exceeding 1 MW
for the first time, a milestone that took much longer that offshore locations would reduce siting conflicts.
to achieve in the United States because development Because offshore turbines require more expensive
rested not with wind manufacturers but rather with infrastructure, projects have longer lead times and
the National Aeronautics and Space Administration must be larger than those on land. For this reason,
(NASA). However, circumstances eventually im- such projects have been slow to develop, but the
proved. By 2002, megawatt-scale wind turbines, Danes and Swedes completed small near-shore
some with more than 100 turbines of 1.5 MW each, projects during the late 1990s. One large project of
were becoming common in Europe and on large 20 2-MW turbines, Middlegrunden, was installed
wind farms in North America. outside of Copenhagen’s harbor in 2000. In 2002,
Another trend has been to install new turbines not Denmark began installing 300 MW of offshore
on land but rather offshore. This strategy has been capacity, including the 160-MW Horns Rev project
practiced with special vigor in Europe in the hope in the North Sea and the 158-MW Rdsand project
Wind Energy, History of 433

in the Baltic Sea. To try to visualize the impact of the SEE ALSO THE
turbines in advance, planners have taken to using FOLLOWING ARTICLES
computer visualization, for example, at Sams
(Fig. 7). Coal Industry, History of  Early Industrial World,
Energy Flow in  Electricity Use, History of 
Hydropower, History and Technology of  Manu-
6. CONCLUSION factured Gas, History of  Natural Gas, History of
 Nuclear Power, History of  Oil Industry, History
In most ways, wind power has come of age. The of  Solar Energy, History of  Wind Energy
technology has improved, the economics has become Economics  Wind Energy Technology, Environ-
more appealing, and substantial progress has been mental Impacts of  Wind Farms  Wind Resource
achieved in reducing environmental impacts. Plant- Base  Wood Energy, History of
ing wind turbines as a kind of semipermanent new
‘‘crop’’ on the Great Plains is becoming more
common, making wind power more of a welcomed Further Reading
intrusion than a stimulus for citizen opposition. Ackermann, T., and Söder, L. (2002). An overview of wind energy—
Where public perceptions continue to slow growth Status 2002. Renewable Sustainable Energy Rev. 6, 67–128.
in wind power, attitudes are largely influenced by Asmus, P. (2000). ‘‘Reaping the Wind: How Mechanical Wizards,
benefits versus costs, and this has been most apparent Visionaries, and Profiteers Helped Shape Our Energy Future.’’
off Cape Cod. Although one might argue that the Island Press, Washington, DC.
Baker, T. L. (1985). ‘‘A Field Guide to American Windmills.’’
sight of wind turbines helps to remind the public of University of Oklahoma Press, Norman.
the costs of their energy requirements, the proposed Gipe, P. (1995). ‘‘Wind Energy Comes of Age.’’ John Wiley, New
installation of fields of wind turbines in view of a York.
heavily frequented tourist destinations is perhaps Golding, E. W. (1955). ‘‘The Generation of Electricity by Wind
more than can reasonably be supported. In this case Power.’’ E. & F. N. Spon, London.
Pasqualetti, M. J., Gipe, P., and Righter, R. W. (eds.). (2002).
and probably others, the wind industry would be ‘‘Wind Power in View: Energy Landscapes in a Crowded
well advised to concentrate their developments World.’’ Academic Press, San Diego.
where they are wanted and leave other environmen- Putnam, P. C. (1948). ‘‘Power from the Wind.’’ Van Nostrand
tally sensitive areas alone. If one can agree that wind Reinhold, New York.
Righter, R. W. (1996). ‘‘Wind Energy in America: A History.’’
power has come of age, it will make a valuable
University of Oklahoma Press, Norman.
contribution to providing us with the electricity we van Est, R. (1999). ‘‘Winds of Change: A Comparative Study of the
need in a world with increasing sensitivity to its Politics of Wind Energy Innovation in California and Den-
environmental costs. mark.’’ International Books, Utrecht, Netherlands.
Wind Energy Technology,
Environmental Impacts of
MICHAEL L. MORRISON
Great Basin Institute, University of Nevada
Reno, Nevada, United States
KARIN SINCLAIR
U.S. Department of Energy, National Renewable Energy Laboratory
Golden, Colorado, United States

rotor diameter The diameter of the circular area


1. Potential Environmental Impacts of Wind Technology that is swept by the rotating tip of a wind turbine
blade; rotor diameter is equal to two times the blade
2. Bird Biology and Wind Turbines
length.
3. Research and Monitoring rotor orientation (or yaw) The rotation in the horizontal
4. Risk Reduction plane of a horizontal axis turbine by which the rotor is
5. Summary and Recommendations for Reducing Wind oriented into the wind.
Turbine Impacts on Birds rotor-swept area The circular area that is swept by the
rotating blades; doubling the length of blades quad-
ruples the blade-swept area.
tip speed The speed (in miles per hour) that the tip of the
blade travels when the rotor is turning; at comparable
Glossary wind speeds, a horizontal axis turbine with a longer
rotor experiences slower revolutions per minute and the
end-of-row turbine A turbine that is located on either
tip speed remains roughly constant.
end of a turbine string; turbine strings in the Altamont
turbine height The maximum height reached by the blade
Pass wind resource area usually consist of 3 to 10
tips of a wind turbine.
turbines.
turbine spacing The distance between wind turbines in a
guy wire Wire or cable used to secure and stabilize wind
string; in general, the distance between turbines is
turbines, meteorological towers, and other vertical
proportional to the rotor diameter.
objects in wind resource areas; most wind turbine
vertical axis Axis orientation where the axis of rotation
towers are self-supporting and do not require guy
of the power shaft relative to the ground is
wires.
perpendicular to the ground.
horizontal axis Axis orientation where the axis of rotation
of the power shaft relative to the ground is parallel to
the ground; this is by far the most common axis
orientation in existing wind resource areas.
horizontal lattice turbine A wind turbine tower that is Wind energy offers a relatively environmentally
composed of a steel lattice structure; many steel lattice benign source of electricity. However, issues have
support structures run parallel to the ground, providing been raised concerning the feasibility of placing
considerable perching space to birds. commercial wind developments in certain geographic
nacelle The housing that protects the generator and gear
locations and landscape settings. Because these issues
box in horizontal axis turbines.
rotational speed The rate (in revolutions per minute) at
are site specific, it is critical that potential sites be
which a turbine blade makes a complete revolution evaluated independently to determine whether there
around its axis; wind turbine rotational speeds can be are environmental issues. Conclusions about any
fixed or variable. environmental concerns for a particular site should
rotor center The distance from the ground to the center of not be based explicitly on the experience from
the circular area that is swept by the rotating blades. other sites.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 435
436 Wind Energy Technology, Environmental Impacts of

1. POTENTIAL ENVIRONMENTAL space. Although the turbine pads occupy little


IMPACTS OF WIND TECHNOLOGY ground area, the developments often must be spread
over many miles. WRAs in the western United States
1.1 Introduction have been placed primarily in open areas where they
coexist with farming, ranching, and other low-
Wind power has been used commercially to produce intensity land uses. Figure 1 is an example of a wind
electricity since the early 1980s, when the world’s farm in an agricultural setting. Figure 2 illustrates the
first large-scale wind development, or wind resource minimal amount of land taken out of production by
area (WRA), was developed in California. In the wind turbines, allowing ranching activities to con-
United States, more than half of the states have tinue on the land. Wind developments in Europe are
developed wind resource areas: Alaska, California, frequently located near coastlines to take advantage
Colorado, Hawaii, Iowa, Kansas, Maine, Maryland, of ocean winds.
Massachusetts, Michigan, Minnesota, Montana,
Nebraska, New Hampshire, New Mexico, New
York, North Dakota, Oregon, Pennsylvania, South
Dakota, Tennessee, Texas, Utah, Vermont, Washing-
ton, West Virginia, Wisconsin, and Wyoming. Addi-
tional states are in various stages of the planning
process. A current U.S. map identifying states with
installed wind power can be found on the American
Wind Energy Association’s (AWEA) Web site. The
AWEA is the U.S. wind industry trade organization
that promotes the development of wind energy. Wind
developments are also prevalent throughout much of
Europe, with most developments being located
relatively close to coastlines. In addition, Europe
has pioneered the installation of offshore wind
developments, an application that is only beginning FIGURE 1 Photo of 1.5-MW NEG Micon turbines installed by
the Municipal Energy Association of Nebraska (MEAN) at TVIG’s
to be explored in North America.
Kimball wind farm in Nebraska. The turbines have a rotor
diameter of 72 m. From Tennessee Valley Infrastructure Group Inc.
1.2 Potential Environmental Issues (NREL PIX12084).

In specific situations, wind power developments have


been shown to cause environmental impacts, includ-
ing impacts on animal habitat and movements, noise
pollution, visual impacts, biological concerns, bird/
bat fatalities from collisions with rotating blades,
and health concerns. Of all the potential environ-
mental impacts, biological concerns regarding birds
and bats have been discussed and studied the most.
Thus, although this article covers all potential
environmental impacts, it focuses on avian-related
issues. In addition, much of what is known is specific
to land-based wind developments.
Various other issues associated with resource
developments in general may also be of concern
with wind developments; however, issues that are
common to most if not all developments, such as soil
erosion and water quality, are not addressed in detail
in this article. FIGURE 2 Photo of Zond turbine near Lake Benton, Minne-
sota. Wind turbines occupy only approximately 5% of the land in
1.2.1 Impacts on Habitat and Animal Movements a wind power plant on flat terrain. The rest of the land can be used
Relative to other forms of energy development, most for ranching and farming, as it was before the turbines were
commercial wind farms occupy a large amount of installed. From Warren Gretz (NREL PIX06334).
Wind Energy Technology, Environmental Impacts of 437

Wind farms may facilitate retention of seminatur- concept; every animal species uses a different combina-
al open space where these low-intensity uses occur, tion of environmental features. Therefore, no specific
resulting in long-term benefits for some bird popula- area is a ‘‘good’’ or ‘‘bad’’ habitat unless it is assessed in
tions. Historically, habitat that has been affected relation to a specific species. Thus, what is ‘‘good’’ for
consists primarily of raptor-foraging habitat and one species might be ‘‘bad’’ for another species.
nesting habitat for ground-nesting birds. Disruptions This definition and discussion of habitat has
of animal movements, such as ungulates and relevance for all land use issues. For wind develop-
carnivores, could occur but can be avoided through ments, issues of habitat concern (1) outright loss of a
careful site evaluation. species’ habitat due to development (e.g., removing
Commercial wind developments in the eastern and trees), (2) indirect impacts due to disturbance (i.e.,
northeastern United States often occupy ridges in the animals will no longer reside near the develop-
wooded regions. In such situations, roads and pads ment, and (3) disruption in animal passage through
must be cut, creating openings in the woodlands. or over the development due to the addition of
Such openings create edge habitats that could towers and turbines. This definition also applies to
potentially allow invasion of brown-headed cow- offshore situations and is applicable to foraging areas
birds, a species that reduces nest success of many for birds, marine mammals, and fish.
songbirds through nest parasitism, and potential Because wind developments often stretch for
predators of ground- and shrub-nesting birds. Figure many miles along ridge tops, the turbines, along
3 illustrates initial impacts of a wind project in a with the associated infrastructure (especially roads),
forested ridge setting. Long-term impacts have not can affect animal movements. No quantitative work
been assessed. In Europe, developments along coast- has been done on the impacts of wind developments
lines are often on cliffs and not in forested areas. on animal movements. However, it is unlikely that
Nevertheless, the potential exists for disturbance to wind developments will cause wholesale disruption
coastal environments through development of roads, in migratory movements of birds and other verte-
transmission lines, and other infrastructure. brates. This is because wind developments are
seldom, if ever, introduced into pristine environ-
1.2.1.1 Consideration of Impact on Animal ments. As such, migrating or dispersing animals
Habitat and Movements The term ‘‘habitat’’ refers encounter a host of potential obstructions, including
to the specific configuration of environmental features highways, power line corridors, housing, farm fields
(e.g., vegetation, rock outcrops, water) that an animal and pastures, and people. Therefore, analysis of the
uses at any point in time. Habitat is a species-specific impacts of a wind development on movements of

FIGURE 3 Photos of 6.0-MW Green Mountain power plant at Searsburg, Vermont. The power plant consists of 11 550-
kW Zond Z-40FS wind turbines. Construction crews removed as few trees as possible to build this power plant. Since the
completion of construction, the area around the turbines is being allowed to ‘‘brush in’’ and return to its natural state. Left
photo from Bob Thresher (NREL PIX00638), right photo from David Parsons (NREL PIX06802).
438 Wind Energy Technology, Environmental Impacts of

terrestrial animals would usually focus on the which birds could be killed. Although these often
additional impacts that the wind development would conflicting issues cannot be resolved easily, they
have on animal movements. There are also numerous should be considered when planning a development
methods available, developed for highways and other so that major resource issues can be dealt with during
human developments, that could apply to wind the design stage.
developments and be used to lessen potential impacts A major concern with offshore developments is
on animal movements. Such strategies would include the impacts that boat and air (helicopter) traffic to
widely spacing turbines in certain locations, restrict- and from the wind developments might have on
ing travel along roads within wind developments animal behavior and movements. Again, little is
(e.g., for inspection and repair only) during specific known about such impacts. The primary concern is
times of year (e.g., during ungulate migration), and that human activity in support of the developments
providing appropriate habitat between turbines to (e.g., delivering supplies and maintenance crews)
facilitate animal movements. could have negative ramifications for animal beha-
Offshore developments have been established vior that extends far outside the boundaries of the
throughout Europe, but few studies have been conduc- turbines.
ted to determine the impact on animals. Most of these
developments are small relative to onshore develop- 1.2.2 Noise Pollution
ments (although larger projects are being planned). Noise is defined as any unwanted sound. Concerns
Some disruption in bird flight patterns has been noted depend on the level of intensity, frequency, frequency
in Europe, although additional study is needed. distribution, and pattern of the noise source; back-
However, there does not appear to be disruption in ground noise levels; the terrain between emitter and
fish movements or populations; the effects on marine receptor; and the nature of the noise receptors. The
mammals need clarification. Offshore developments in effects of noise on people can be classified into three
North America are only in the planning stage. general categories: (1) subjective effects of annoy-
Wind developments are evaluated for potential ance, nuisance, and dissatisfaction; (2) interference
impacts on animals in the project area in the same with activities such as speech, sleep, and learning;
way that most development would be evaluated. and (3) physiological effects such as anxiety, tinnitus,
Such evaluations include close inspection of the and hearing loss.
project areas for the presence of plant or animal The sound levels associated with environmental
species of concern (inspections for cultural resources noise usually produce effects only in the first two
would also be conducted). For example, burrowing categories. Operating noise produced by wind facil-
animals such as ground squirrels can be detected, and ities is considerably different in level and nature than
specific steps can be used to avoid disturbance such that generated by most power plants, which are
as moving the location of roads, pads for placing typically large industrial facilities. Much of the noise
turbines, and other infrastructure items. There is a emitted by wind turbines is masked by the ambient
fair degree of flexibility available to the wind or background noise of the wind and does not carry
developer with regard to the exact location that a far. Noise may, of course, concern individuals living
turbine is placed on the ground. Because most in close proximity to a wind turbine. As such, siting
resource agencies avoid the need to use mitigation of wind developments must consider adjacent land
to allow permitting of a project, careful planning is uses and zoning. Over time, residential or commer-
an essential component of placing turbines. cial developments might encroach on existing wind
The ground disturbance associated with placing a developments, much like housing often encroaches
turbine, especially road cuts and cuts used for turbine on existing airports. Conflicts often arise in these
pad placement, can actually attract certain species. situations, especially if the wind developments are
Most notable is the use of disturbed soils by slated for expansion. In such cases, adequate set-
burrowing animals such as gophers and ground backs from human-occupied structures need to be
squirrels. In some locations, these species are rare or considered.
legally protected. In most areas, the attraction of Several European countries, including Sweden,
these animals to turbines likely enhances the area for Denmark, The Netherlands, the United Kingdom,
foraging raptors, thereby raising the likelihood of and Greece, have adopted noise standards for wind
raptor collisions with rotating blades. As such, wind farm developments. These standards specify accep-
developments must consider the potential for attract- table noise levels, and some take into account the
ing species of concern and creating conditions in existing background noise levels.
Wind Energy Technology, Environmental Impacts of 439

1.2.3 Visual Pollution current and likely land uses. Close collaboration
Determining whether a wind farm creates visual among the developer, government permitting agen-
pollution is purely subjective and, therefore, is cies, and viewing public is necessary to develop
difficult to quantify. Computer modeling tools can collaborative strategies for siting of a development
be used to simulate how a wind farm will look from and placement of individual turbines. Although
multiple vantage points when placed on a landscape. many proposed offshore developments are planned
The aesthetic interpretation and visual compatibility for more than 3 miles from land, they can still be
with the surrounding setting will vary depending on seen from shore and will be visible to boaters.
the natural and cultural features that exist and how
various stakeholder groups value these. Alternatives 1.2.4 Bird Fatalities
to the wind development (i.e., other land uses) Researchers have conducted a large number of avian
may also be considered when evaluating the fatality surveys at WRAs in the United States and
visual impacts. Europe. In most cases, several factors have made it
Often referred to as the ‘‘viewshed,’’ the impact of difficult to compare results from one study or site
wind turbines on the existing project setting is a with those from another. First, survey methods vary,
matter of local public perception. Because wind and very few of these studies have been peer
resource developments vary substantially in number reviewed and published in scientific journals. Second,
of turbines (literally from one to thousands of turbine designs and wind farm layouts vary con-
turbines), height of the turbines and towers, spacing siderably from site to site. Third, the wide climatic
between turbines, and physical arrangement of towers and topographical differences and range of bird
and turbines on the landscape, there is no single species present in various locations make it extremely
solution to the impacts of wind developments on a difficult to draw concrete conclusions from the
viewshed. However, longer blades are being used on available literature. Fourth, it is difficult to make
commercial-sized wind turbines, and the turbines are statistical comparisons because the relatively low
being placed on taller towers. Such turbines now number of fatalities results in inadequate sample size.
commonly produce 1.5 MW to more than 2 MW of In addition, there has been an emphasis on raptor
power, are three bladed, have a rotor-swept diameter fatalities despite the knowledge that other birds have
of 70 m, and are placed on a tower 80 m tall. been affected, perhaps because raptors receive
Therefore, modern commercial wind turbines have a protection under a large suite of federal and state
maximum height measurement from ground level to laws and because they are symbolic and have greater
the tip of the blade of 120 m (B3750 ) or taller. Many emotional value. A sampling bias toward raptors and
offshore developments have proposed turbine–tower other large birds also occurs because small birds are
combinations that near or exceed 160 m (B5000 ) in more difficult to detect and scavenging of small birds
total height. In addition, onshore turbines are usually can be expected to occur more rapidly. Impacts on
placed on ridges to capture the maximum amount of some passerines, including neotropical migrants,
wind in some geographic locations such as the western may warrant more careful scrutiny because many
and eastern United States. As a result, turbines can be of them are protected under the Federal Migratory
highly visible from many miles away. Larger turbines Bird Treaty Act and because some are experiencing
result in fewer turbines in an observer’s field of view, regional population declines.
although the land area covered for a given wind farm In the United States, a study of golden eagle
megawatt capacity is approximately the same as for populations in the vicinity of the Altamont Pass
smaller turbines. In some locations, aircraft warning WRA in the state of California from 1994 to 2000
lights may be required by the Federal Aviation reported that 52 of 257 eagles equipped with radio
Administration (FAA), adding another dimension to transmitters were killed by wind turbine strikes.
visual considerations. Figure 4 illustrates visual When compared with other large WRAs, it is clear
impacts of various wind farm configurations. The that the Altamont Pass supports substantially higher
photo on the left is an example of early wind farm resident and migratory raptor populations and
layouts, using numerous smaller turbines mounted on experiences substantially greater raptor fatality rates
lattice towers. The photo on the right depicts a more caused by collisions with wind turbines.
recent wind farm, using larger wind turbines mounted The exact number of fatalities caused by turbines
on tubular towers. in Altamont Pass cannot be determined, although
Visual aspects of wind development are a project- estimates based on intensive fatality surveys conclude
and site-specific issue that must carefully consider that 40 to 60 are killed annually. Although it remains
440 Wind Energy Technology, Environmental Impacts of

FIGURE 4 Photos illustrating visual differences between turbines installed on ridges and those installed on mesas, between
small and large turbines, and between turbines mounted on lattice towers (A) and those mounted on tubular towers (B).
A number of factors influence the visual impacts of wind farms, including location, size, and type of turbine. From Warren
Gretz (NREL PIX01231 and NREL PIX07236).

speculative whether the eagle population in the Energy’s National Renewable Energy Laboratory
Altamont region is declining due to turbine kills, these (NREL) in the Altamont WRA.
eagle fatalities may cause many direct and indirect Studies on avian interactions have been conducted
impacts on its population. Direct impacts include a at more than 100 sites in Europe, but most of these
decline in the size of the population and change in age studies focused on solitary or small groups of
structure. Indirect impacts include a reduction in the turbines. As a result, it is difficult to compare these
number of birds that are available to disperse to other data with those of U.S. studies that focus on larger
regions. Overall, the golden eagle population is groups of turbines. Many of the European studies
thought to be declining in the Altamont Pass region. were based on coastal sites where waterfowl and
Results of numerous studies in the United States at migratory bird issues did not yield results compar-
sites outside of California have indicated that the able to those of California studies. Although the
incidence of raptor collisions in California, parti- fatality rates in Europe are often higher than those
cularly at the Altamont Pass WRA, is considerably that occur in California and the rest of the United
higher than in other WRAs. In the United States, States, many European scientists have not considered
passerines composed the highest percentage of fata- this impact to be a significant threat to bird
lities in the non-California studies. Reports from populations in most of Europe because the number
these studies indicate that the levels of fatalities are of deaths is small relative to the total number of birds
not considered significant enough to threaten local or using or passing through the area. Most birds killed
regional population levels, although overall cumula- were not raptors but rather relatively common
tive effects of human-induced bird fatalities are species of passerines and water birds.
unknown. A major difference between the Altamont The bird–wind data on offshore wind farms in
Pass WRA and other WRAs is that many other areas Europe are scarce. However, it is clear that concern
lack the dense populations of raptors and the diverse exists about the potential impacts that offshore
topography of the Altamont Pass WRA. The high facilities could have on birds, as witnessed by the
number of fatalities at the Altamont Pass WRA has precautionary tone taken by many individuals.
created awareness of potential siting problems, and Recommendations include constructing relatively
in some cases more regard has been given to the level small farms, avoiding areas of high numbers of birds
of avian use prior to construction. Figures 5A and 5B or areas with sensitive bird species, and monitoring
are examples of raptor fatalities found during intensively before and after construction (if the
research conducted by the U.S. Department of projects are approved).
Wind Energy Technology, Environmental Impacts of 441

A B

FIGURE 5 (A) Red-tailed hawk fatality resulting from collision with wind turbine at the Altamont Pass WRA in California.
(B) Golden eagle fatality resulting from collision with wind turbine at the Altamont Pass WRA. From BioResource
Consultants.

Very few studies have been performed to deter- towers might encourage birds to perch and thereby
mine the overall effects of wind turbine impacts on come into close proximity of rotating blades, recent
the population viability of an individual species. This studies have failed to confirm a correlation between
type of evaluation is exceedingly difficult and tower type and fatality rates.
relatively costly. Studies that are based on field-level The issue of rotor-swept area and blade diameter
tracking of population parameters require intensive effects on avian collision risk with turbines is
sampling over a number of years for each species of important because wind developers are in the process
concern. Most evaluations of wind-turbine-related of repowering or replacing existing, less efficient
avian fatalities have concluded that the affected birds turbines with a smaller number of new, larger, and
are fairly common and not threatened at the more efficient turbines. Existing studies concerning
population level. fatalities in relationship to increased rotor-swept area
However, because some raptor species are rela- are inconclusive, and further research is needed.
tively less abundant and produce fewer young It has been speculated that overall bird fatalities
compared with many other groups of birds, hu- will be higher at taller turbines. It is well known that
man-caused fatalities could have a more noticeable migrating songbirds are frequently killed at tall
effect on their populations. In addition, the number communication towers. This was attributed to higher
of fatalities relative to the population size, rather flying, non-raptor nocturnal migrants that often
than the absolute number killed, is of concern. Thus, constitute the greatest percentage of fatalities.
even a few fatalities of a locally or regionally rare Behavior differences among raptors indicate that
species could have negative impacts on the popula- there may be some trade-offs in benefits. For
tion structure and size. example, one species may benefit from blade tips
Various design features, such as perch availability, being farther from ground level, whereas others may
rotor diameter, rotor-swept area, rotor height, rota- be exposed to greater risk from blades that reach a
tional and tip speeds, and fixed versus variable greater overall height. Further research is needed
turbine speed, have been evaluated to determine to determine the impact that the newer taller turbine
whether they contribute to bird collision risk. towers have on bird kills. Rotor velocity and
Although at one time workers suggested that lattice a corresponding increased tip speed have been
442 Wind Energy Technology, Environmental Impacts of

correlated with fatalities. Faster turbine rotor speeds placement of turbines in an optimal position and
kill more raptors than would be expected by chance. orientation for wind energy capture may result in
obstacles directly in the path of local and migratory
1.2.5 Bat Fatalities birds. For a sample of approximately 1000 turbines
Until recently, little research has been conducted to studied in the Altamont Pass WRA, 25% of the
determine the impacts of wind farms on bats. A few turbines were responsible for 100% of the fatalities
bat carcasses were found during earlier bird fatality recorded. Certain physical and topographical factors
studies; however, recent surveys at some newer sites appear to contribute to an increased collision risk.
have discovered higher mortalities than were re- A summary of bird–wind interactions in Europe
ported previously. To better discern the level of found that the overall kill rate was low. However, it
collision impacts on bats, researchers have initiated was noted that 2 to 3% of birds passing a wind farm
studies at some of these sites. These studies include at rotor height were killed. It has been concluded that
analysis of environmental features in and around disturbance and habitat loss effects associated with
wind farms that could attract bats such as roosting wind developments were probably much more
sites, availability of surface water, and riparian important than direct bird kills due to collisions.
foraging areas. However, in Spain, relatively high levels of kills were
sometimes evident. Research in Europe has indicated
1.2.6 Health Impacts that individual and single rows of turbines in areas
Shadow flicker, the effect caused by rotating blades with small bird populations provide the best land-
cutting through sunlight, is another concern that may scape for wind farms.
need to be addressed if wind turbines are installed in
close proximity to inhabited areas. Modern commer- 2.2 Bird Sight
cial wind turbines are tall structures that will cast a
shadow at certain times of the day. Concerns about The idea of birds colliding with seemingly slow-
shadow flicker can be minimized or eliminated with moving turbines seems paradoxical given the superb
careful wind farm layout and sufficient setbacks from vision possessed by most birds, especially raptors.
residences. However, optical analyses indicate that as a bird
approaches the rotating blades, the retinal image of
the blades (which is the information that gets
2. BIRD BIOLOGY AND transferred to the bird’s brain) increases in velocity
until it is moving so fast that the retina cannot keep
WIND TURBINES
up with it. At this point, the retinal image becomes a
transparent blur that the bird probably interprets as
2.1 Bird Flight Behavior
being safe to fly through, with potentially cata-
The relatively high diversity of bird species killed in strophic consequences. This phenomenon is called
wind developments suggests a variety of behaviors, ‘‘motion smear’’ or ‘‘motion blur’’ and is well known
and therefore underlying risk factors, associated with in human perception. It becomes especially difficult
wind turbines. Studies of birds approaching turbines for a bird to detect the outer regions, or tip, of the
show that most birds pass over or through turbine blade. Although modern commercial turbines rotate
structures, thereby avoiding collisions. However, at relatively slow revolutions per minute, because of
some birds may be more prone to collisions with their long length (often 100 feet), they move at a high
turbines for a variety of reasons. For raptors, flight rate of speed (up to 150 mph). Figure 6 illustrates the
and hunting behavior require that they often fly at concept of motion smear.
low altitudes and so may strike turbines while Laboratory experiments have been conducted to
searching or stooping for prey. Abundance of prey determine the potential of various patterns painted
may significantly increase foraging activity, and on blades to increase visibility to birds. A single
therefore collision risk, of some raptors. Age or uniformly black blade paired with two white blades
breeding status may also be a risk factor associated appears to be the most effective anti-motion smear
with bird fatalities. pattern under the widest variety of conditions in the
Topographical features, such as ridges that de- field. Minor increases in visibility of the central
crease the altitude of birds relative to ground level, portions of the blade have been found, although
can result in a higher collision risk. Because flight painting did not increase visibility of the tips. These
lines often follow prevailing wind directions, the laboratory studies examine only the physiological
Wind Energy Technology, Environmental Impacts of 443

to motion smear) before they are close enough to


hear the blade.

3. RESEARCH AND MONITORING

To minimize the potential risks from wind turbines,


it is important to first assess what those risks are.
Prior to the development of the first large commercial
wind farms, protocols and methodologies for asses-
sing risks to birds within WRAs had not been
developed. Assessments of other potential environ-
mental impacts, such as impacts on habitat and
animal movements and visual and noise impacts,
were only minimally considered.
FIGURE 6 Illustration of the phenomenon of motion smear,
shown by photo of the moving blades of the turbine in the During the early years of wind farm develop-
foreground. Beyond a certain point, the velocity of the retinal ments, specifically in California, it became apparent
images of the blades sweeping across the retina will overwhelm the that collisions of birds (especially raptors) with wind
retina’s ability to keep up. The initial effect will be a smearing or turbines were occurring. Approaches to assessing
blurring of the image of the blades, at which point the blades
potential environmental impacts needed to be
appear to be transparent. This may result in deadly consequences
for birds because they interpret this as a safe place to fly. From developed.
William Hodos (University of Maryland).

3.1 Initial Site Selection and Permitting


response of the eye to various painted patterns; they
do not examine the psychological response of the 3.1.1 U.S. Guidelines
bird to the stimuli. Thus, rigorous field experimenta- The National Wind Coordinating Committee
tion is needed to determine the usefulness of painted (NWCC), a collaborative of representatives from
blades in substantially reducing bird collisions. the environmental community, wind energy industry,
state legislatures, state utility commissions, consumer
advocacy offices, green power marketers, and federal
and state governments in the United States, was
established in 1994 to support the development of
2.3 Bird Hearing
wind power. The NWCC’s Siting Subcommittee was
It is a myth that birds have exceptionally acute formed to address wind generation siting and
hearing. When hearing is defined as the softest sound permitting issues. This subcommittee prepared a
that can be heard at various frequencies, birds on collaborative document, titled Permitting of Wind
average hear less well than do many mammals, Energy Facilities: A Handbook, to provide guidance
including humans. The literature suggests that birds in evaluating wind projects for all stakeholders.
cannot hear the noise produced by wind turbines as Some aspects of wind facility permitting closely
well as can humans. In practical terms, a human with resemble permitting considerations for any other
normal hearing can probably hear a wind turbine large energy facility or other development project.
blade twice as far away as can the average bird. Others are unique to wind generation facilities.
Adding an acoustic cue to a rotating blade might Unlike most energy facilities, wind generation facil-
assist with a bird hearing a blade. However, acoustic ities tend to be located in rural or remote areas and
deterrent devices are not generally effective because are land intrusive rather than land intensive. Thus,
birds habituate to them and eventually ignore them they may extend over a very large area and have a
completely. Devices that purport to use sound broad area of influence, but they physically occupy
frequencies outside the hearing range of humans only a small area for the turbine towers and
are most certainly inaudible to birds as well because associated structures and infrastructure (e.g., roads,
birds have a narrower range of hearing than do transmission lines). The rest of the land may be used
humans. However, it is entirely possible that as birds for other activities.
approach a wind turbine, especially under high wind This NWCC handbook outlines the many factors
conditions, they lose the ability to see the blade (due that must be considered when permitting a wind
444 Wind Energy Technology, Environmental Impacts of

generation facility, including (but not limited to) land criticism and not ideal for determining how to reduce
use, noise, birds and other biological resources, wildlife fatalities in wind developments.
visual resources, soil erosion and water quality, The NWCC’s Avian Subcommittee, formed in
cultural resources, and socioeconomic considera- 1994 to address avian interactions with wind
tions. Permitting processes that result in timely developments, identifies research needs and serves
decisions, focus on the critical issues early, involve as an advisory group. In March 2003, the committee
the public, and avoid unnecessary court challenges was renamed the Wildlife Work Group to reflect the
will enable wind generation to compete with concern for a broader group of species. To address
other energy technologies and provide a diverse differences in methodologies, lack of adequate
supply of energy. control or baseline data in existing studies, and the
As summarized by the NWCC Web site, wind resulting lack of interstudy comparability, the com-
power developers in North America are beginning to mittee developed a guidebook titled Studying Wind
look offshore for greater wind resources and lower Energy/Bird Interactions: A Guidance Document.
costs. Because this is a new application for wind The document provides a comprehensive guide to
power in the United States, the NWCC noted that standardized methods and metrics to determine
background information is needed about environ- impacts to birds at existing and future wind farm
mental, technical, economic, and political issues sites. A stated purpose of the guide is to promote
associated with offshore developments. Some of this efficient cost-effective study designs that will produce
information can be gathered from European sources comparable data and reduce the overall need for
because they have been working on offshore wind some future studies.
energy development for the past decade or so. The guidance document identifies three levels of
However, each situation is different, so local factors surveys of increasing intensity that should be applied
need to be taken into account. to a proposed or developing wind development.
Although focused on birds, these general guidelines
3.1.2 European and Other Guidelines can be applied to most aspects of the environment.
Several best practice guidelines (BPGs) have been ‘‘Site evaluation’’ or ‘‘reconnaissance’’ surveys are
adopted. The British Wind Energy Association relatively nonrigorous and use primarily published
(BWEA) adopted BPGs for wind energy development literature and nonpublished reports, expert opinions,
in 1994. The BWEA, established in 1979, functions and other sources of information to make a first
as a professional association and an association for determination as to whether a proposed site will
the wind energy industry. The guidelines provide likely result in environmental problems. Such recon-
guidance to developers, taking them through the naissance surveys are cursory in nature but should
development process. They are general in nature and help to eliminate problematic sites from further
do not supersede any national policies. consideration. If the reconnaissance survey indicates
The European Wind Energy Association (EWEA) that the site should be suitable for development, a
was established in 1982 and provides functions ‘‘level 1’’ protocol is indicated, where more intensive
similar to those of the BWEA. Building on the and quantitative on-site surveys occur, usually for a
British and other European experiences with wind minimum of 1 year prior to a decision to proceed
industry development, the EWEA adopted its BPGs with development. Such level 1 surveys include on-
in 1999. site sampling of wildlife movements and other
The Australian Wind Energy Association (Aus- activities (e.g., foraging, nesting), quantification of
WEA), established in 2000, adopted its own BPGs the presence and abundance of sensitive species,
for wind energy projects. Building on the BWEA and and development of projections on potential bird and
EWEA guidelines, the AusWEA’s guidelines were bat fatality levels based on risk assessment. If a
adapted in 2002 to include experience from the first decision is made to proceed with development after
wind farms developed in Australia. level 1 surveys have been evaluated, the data set also
serves as the ‘‘before’’ data to be compared with
changes in environmental conditions following
3.2 Sampling Protocols
(‘‘after’’) development. In rare cases, the results of
Sampling protocols and methods of quantifying bird level 1 studies indicate that more intensive study
fatalities in the field must be rigorous and scientifi- is necessary, for example, when the presence of a
cally valid. Failure to establish rigorous protocols legally protected, threatened, or endangered species
and methods results in data sets that are subject to is located.
Wind Energy Technology, Environmental Impacts of 445

The methodology used to conduct fatality has been somewhat tolerant of existing conditions at
searches will vary, depending on the terrain and WRAs. However, future wind plant approvals,
rigor required to adequately assess a site. The level of particularly in California where existing avian fatal-
rigor often is dictated by the budget available for the ity issues have not been resolved, may be modified
task. Ideally, the appropriate budget will be allocated due to enforcement of this act.
to conduct the level of work required for the specific The United Kingdom limits offshore wind farms
site under consideration. Search methods have been to 30 turbines (even if 2-MW turbines are used, this
developed and have proved to be very successful amounts to only 60 MW) to reduce environmental
under research studies funded by the U.S. Depart- and visual impacts and to ease the cost of decom-
ment of Energy’s National Renewable Energy missioning and dismantling when problems arise.
Laboratory. These search methods have been devel- One of the benefits of limiting the size of farms (e.g.,
oped for both flat and steep terrain. Figures 7A and to 150 MW) is that if problems are identified at a
7B illustrate the search method used for conduc- farm, the farm can be shut down without a great
ting fatality searches on steep and flat terrain, res- disruption to the grid and loss of value because the
pectively. turbines can be used at another site. Thus, various
To aid bird risk evaluations, there is a need to governments in Europe have chosen to limit the size
define the ‘‘level of take’’ that is acceptable from of individual wind farms due to a variety of
avian species’ interactions with wind turbines; that environmental and other siting concerns.
is, the level of fatalities that can occur without
reducing that species’ population. The level of
assigned risk will vary among species. If threatened
4. RISK REDUCTION
or endangered species are affected, incidental take
permits can be issued under the federal Endangered
4.1 Wind Farm Operation and Location
Species Act, but ‘‘no take’’ may be the targeted goal.
There is no accommodation for take under the Recognition of the potential avian fatality risk has
Migratory Bird Treaty Act, which applies to a large influenced the selection criteria used in developing
number of birds, including raptors and passerines, some new WRAs. Along with providing a framework
that have been killed by collisions with wind for the development of more robust experimental
turbines. To date, the U.S. Fish and Wildlife Service field design, use of standardized protocols has greatly
enhanced researchers’ ability to compare and analyze
A data among studies from various WRAs.
Decreasing operation time of problem turbines or
One observer per side
WRAs has been suggested as a risk reduction
measure. Critical shutdown times could be seasonal
50 meters (e.g., during migration periods) or based on incle-
ment weather or nighttime periods when visibility is
reduced. For example, permitting requirements for a
new wind development in Maryland included the
Turbine A Turbine B Turbine C option for restricting turbine operations if bird
fatalities were found to occur during peak migration
periods. Economic consequences of any kind of
B
adjustments to operation time should be considered
One observer per side prior to construction of a site so that the developer
can make a feasibility assessment. Most of the newer
wind turbines in the Altamont Pass repowering areas
50 meters will increase operation time by as much as 55%. The
effect that such an increase in operating time will
have on bird fatalities is unknown and worthy of
study. As noted previously, some European govern-
Turbine A Turbine B Turbine C ments limit the size of wind developments to ease the
FIGURE 7 (A) Searcher method for conducting fatality financial ramifications of closing a development.
searches on steep terrain. (B) Searcher method for conducting Design and maintenance characteristics of roads
fatality searches on flat terrain. From BioResource Consultants. and structures may indirectly contribute to higher
446 Wind Energy Technology, Environmental Impacts of

bird fatality rates by increasing prey densities. It has hear as well as humans, and minor modifications to
been suggested that vertical and lateral edges and the acoustic signature of a turbine blade could make
other features associated with roads, turbine pads, blades more audible to birds while at the same time
and maintenance areas may create suitable burrow making no measurable contribution to overall noise
sites for raptor prey in the vicinity of wind turbines, level. Under certain conditions (e.g., high wind),
with a corresponding increase in raptor foraging birds might lose their ability to see a turbine blade
activity. Newer facilities that are built with larger, before they are close enough to hear the blade.
more efficient turbines require fewer roads and have Currently, there is no research under way that tests
a greater amount of space between them. In addition, the effects of auditory deterrents, and because of the
many of the newer facilities have underground low likelihood of developing a successful application,
transmission lines, greatly reducing the likelihood none is planned for the foreseeable future.
of wire collisions and electrocutions. Offshore As discussed previously, motion smear, which
developments in Europe manage the movement of makes the blade tips of wind turbines appear to be
maintenance crews to minimize disturbance to birds transparent at high speeds, could be reduced under
and other animals. laboratory conditions. Results suggest that a single
solid black blade paired with two white blades
(inverse blade pattern) could be effective at reducing
4.2 Turbine Characteristics and Location
visual smearing of blades. In addition, motion smear
Lights seem to play a key role in attracting birds, and and a very narrow blade profile encountered when
the lighting of tall structures appears to contribute to approaching from the side could be very risky for
avian fatalities. Illuminating other taller aerial birds. One potential solution is a rectangular
structures to make them more visible to aircraft has attachment to the outer tip at right angles to the
resulted in increased bird fatalities. Migratory species long axis of the blade. The visibility and practicality
generally migrate at night and appear to be most of these attachments have not yet been evaluated.
susceptible to collisions with lit towers on foggy,
misty, rainy nights with low cloud ceilings. Passerines
4.3 Habitat Management
migrating at night during poor visibility conditions
appear to be particularly susceptible. Solid or The density of raptors at the Altamont Pass WRA is,
blinking red lights seem to attract birds on foggy at least in part, a result of high prey availability. The
misty nights more than do white strobes, which may San Gorgonio and Tehachapi WRAs in California
flash every 1 to 3 seconds. Preliminary research have lower prey densities, lower raptor densities, and
suggests that the longer the duration of the ‘‘off’’ lower per turbine fatality rates. Prey densities appear
phase, the less likely a light will attract birds. The to be highest at disturbed sites such as roads and
advent of turbines with longer blades that are turbine pads, the latter of which would exacerbate
mounted on tall towers could require the use of collision risk. Reducing prey populations within the
warning lights for aircraft in certain locations. vicinity of wind turbines might reduce high-risk
Studies indicate that tower placement is a site- foraging activities for raptors. Suggested methods
specific phenomenon, but several key conclusions include county-sponsored abatement programs, re-
have been found. First, irregularly spaced turbines duced grazing intensities, and revegetation with
might increase fatalities because birds try to negoti- higher stature plants that pocket gophers and ground
ate the apparent gaps between turbines. Second, squirrels tend to avoid. However, these measures
turbines placed close to the edge of ridges show could affect other populations, including special
higher fatality rates because raptors often hover in status species such as the San Joaquin kit fox,
such locations. Finally, turbines placed near a gully burrowing owl, and badger.
have higher fatalities because birds often use these It has been suggested that in areas where high
locations as flight paths. densities of gopher burrowing systems are found,
Although no research has been conducted on controlling populations in the immediate vicinity of
auditory deterrents to birds approaching wind wind turbines could be effective. However, small
turbines, audible devices to scare or warn birds have mammal abatement efforts by ranchers in surround-
been used at airports, television towers, utility poles, ing areas could exacerbate the effect of burrow
and oil spills. Most studies of auditory warning clusters in the vicinity of turbines by increasing the
devices have found that birds become habituated to focus of raptor foraging. This effect occurs when
these devices. As discussed previously, birds do not there is rapid recolonization and higher than average
Wind Energy Technology, Environmental Impacts of 447

densities of gophers on edges of abatement areas. rotating turbines (100 kW) and relatively large,
Research would have to evaluate reduced grazing or slower rotating turbines (up to 750 kW). The tip of
revegetation with higher structure plants to deter- the blade on the newest generation of turbine can
mine its effects on fire management, watershed reach more than 400 feet into the air at the apex of
protection, and other land management practices. rotation. Studies have begun on the collisions of
Habitat modification to reduce prey densities has birds and bats with these larger turbines.
been discussed as a possible avian risk reduction
technique. There have been some efforts to reduce
ground squirrel populations in portions of the
Altamont Pass WRA, but no results of the effects
5. SUMMARY AND
on reducing raptor moralities have been published. RECOMMENDATIONS FOR
The effects of a widespread control program would REDUCING WIND TURBINE
have to take into account the effects on other wildlife IMPACTS ON BIRDS
such as protected species that prey on ground
squirrels or depend on their burrows for nesting Newer wind facilities throughout the world have
and cover habitat. Widespread use of rodenticides or fewer raptor fatalities than do those documented at
other measures to remove prey may prove to be the Altamont Pass WRA. Much of this improvement
controversial and costly. Feasibility of more benign has not been by design; rather, these wind energy
habitat modification measures, such as manipulation facilities were sited in areas that typically have lower
of annual grassland grazing practices and conversion raptor densities and less topographic diversity than
to perennial grassland, may be worth studying. does the Altamont Pass WRA. Some avoidance has
However, any reduction in habitat quality would been due to preconstruction site evaluations and a
likely result in an ultimate, although indirect, standardized approach to evaluating wind power
negative impact on birds. For example, although projects developed by the NWCC. In addition,
reducing prey in wind developments might lower reduced concentrations of turbines in newer WRAs,
bird fatalities, it could also result in bird starvation and possibly newer turbine designs, may have
or fatalities in other locations. contributed to avoiding the high number of raptor
In The Netherlands, turbines adjacent to the fatalities that occur at the Altamont Pass WRA.
Wadden Sea showed a higher rate of bird kills However, researchers still need more information on
relative to turbines in upland areas. These higher kills how to reduce fatalities at existing facilities. In
appeared to be related to the large number of birds in addition, it is not known whether the newer
and around the sea relative to the upland locations. generation turbine designs slated to replace many
Unfortunately, virtually no information is available of the old turbines will reduce avian fatalities.
on fatalities at offshore wind farms in Europe. Finally, little is known concerning the impacts of
large offshore developments (in Europe and North
America) on animals.
4.4 Turbine Treatments
Consequently, research should still focus on other
Effective visual treatments could provide a cost- risk-reducing measures that involve changes in
effective method to reduce risk from turbines turbine design and microsite selection. As reviewed
determined to cause fatalities. Laboratory and field in this article, specific protocols exist to identify
tests of treatments that make turbine blades more potentially negative environmental impacts of wind
conspicuous to raptors and other birds are needed. turbines on wildlife prior to project development. In
addition, turbines can be placed in locations that are
less likely to cause substantial bird or bat fatalities,
4.5 Repowering
operating times can be modified to avoid periods of
Repowering refers to the replacement of existing, less peak migration (if birds are found to be killed during
efficient turbines with a smaller number of larger, these times), and various habitat management techni-
more efficient turbines. Replacement ratios will ques might be implemented to reduce the attractive-
range from 7:1 to 10:1. The impacts of repowering ness of turbines to birds. Environmental analyses of
on avian fatality rates, particularly raptors, have not proposed wind farms also must consider the visual
been evaluated. However, at Altamont Pass, no impacts that the newer generation of taller towers
significant differences in the number of fatalities and longer-bladed turbines has on the surrounding
have been seen between relatively small, faster community or viewshed. These types of analyses will
448 Wind Energy Technology, Environmental Impacts of

help to ensure that the benefits outweigh the risks in Australian Wind Energy Association. (2002). [AusWEA best
establishing a wind farm in a specific locality. practice guidelines for wind energy projects]. www.auswea.co-
m.au/downloads/ausweaguidelines.pdf.
British Wind Energy Association. (1994). [BWEA best practice
guidelines for wind energy development]. www.bwea.com/pdf/
SEE ALSO THE bpg.pdf.
Erickson, W. P., Johnson, G. D., Strickland, M. D., Young, D. P.,
FOLLOWING ARTICLES Jr., Sernka, K. J., and Good, R. E. (2001). ‘‘Avian Collisions
with Wind Turbines: A Summary of Existing Studies and
Arid Environments, Impacts of Energy Development Comparisons to Other Sources of Avian Collision Mortality in
in  Electricity, Environmental Impacts of  Hydro- the United States.’’ National Wind Coordinating Committee,
power, Environmental Impact of  Life Cycle Washington, DC. www.nationalwind.org/pubs/default.htm.
European Wind Energy Association. (1999). [EWEA best practice
Analysis of Power Generation Systems  Photovol- guidelines for wind energy development]. www.ewea.org/doc/
taics, Environmental Impact of  Wind Energy bpg.pdf.
Economics  Wind Energy, History of  Wind Farms National Wind Coordinating Committee. (n.d.). www.national-
 Wind Resource Base wind.org.
National Wind Coordinating Committee. (2002). ‘‘Permitting of
Wind Energy Facilities: A Handbook.’’ NWCC/RESOLVE,
Further Reading Washington, DC. www.nationalwind.org/pubs/permit/permit-
ting2002.pdf.
American Wind Energy Association. (n.d.). [U.S. map identifying National Renewable Energy Laboratory/National Wind Technol-
states with installed wind power]. www.awea.org/projects/ ogy Center. (n.d.). www.nrel.gov/wind.
index.html. National Wind Technology Center/Avian. (n.d.). www.nrel.gov/
Anderson, R., Morrison, M., Sinclair, K., and Strickland, D. wind/avian lit.html.
(1999). ‘‘Studying Wind Energy/Bird Interactions: A Guidance Winkelman, J. E. (1995). Bird/Wind turbine investigations in
Document.’’ National Wind Coordinating Committee/RE- Europe. In ‘‘Proceedings of National Avian–Wind Power
SOLVE, Washington, DC. www.nationalwind.org/pubs/ Planning Meeting,’’ NREL/SP-441-7814, pp. 43–47. National
avian99/avian booklet.pdf. Renewable Energy Laboratory, Golden, CO.
Wind Farms
ERIK LUNDTANG PETERSEN and
PETER HAUGE MADSEN
Risoe National Laboratory
Roskilde, Denmark

wake affects power output and loads on downstream


1. Introduction wind turbines.
wind energy The mean power density in the wind, which is
2. Wind Energy Status
equal to the average kinetic energy flux per unit area
3. Wind Farm Siting Issues perpendicular to the flow, is calculated as half of the air
4. Technical Wind Farm Issues density multiplied by the mean value of the third power
5. Power System Integration of the wind speed.
6. Wind Farm Examples wind farm efficiency The ratio between the annual
production of a wind farm and the production of
corresponding number of isolated wind turbines located
in identical but undisturbed wind conditions.
wind farm layout The configuration and arrangement of
Glossary the individual wind turbines’ locations within the
selected site.
capacity credit The fraction of a power plant’s rated
capacity, which is in average available at the time of
peak demand or, alternatively, the relative amount of
additional conventional capacity that is needed in the A wind farm (often also called a wind park) can be
absence of wind energy in order to obtain the same loss- defined as a cluster of wind turbines that acts and is
of-load-probability (LOLP). connected to the power system as a single electricity
environmental impact assessment An evaluation of a producing power station. Generally it is expected
number of conditions with a view to select possible that a wind farm consist of more than three wind
areas for location of wind farms. These conditions turbines.
include scenic aspects, bird sanctuaries, raw material
extraction, archaeology, fisheries, shipping routes, and
military areas.
mesoscale model The numerical atmospheric model that is
1. INTRODUCTION
similar to numerical weather prediction models used for
the daily weather forecasts. The mesoscale model Many independent studies have led to the conclusion
calculates the flow field over a region of typically that to solve the increasing energy need of the
200  200 km with a resolution of one to five km. The world’s growing population, it is inherently neces-
output is used as input to the microscale model. sary to increase the amount of energy produced by
microscale model The numerical atmospheric model that renewable energy sources. In fact, it is believed that
can calculate the flow field over a farm site with a high in 2050, more than 80% of energy should be
accuracy. Is used for micrositing. renewable, 20% of which should be wind energy.
micrositing The determination of exact position of each A large fraction will come from wind turbines placed
wind turbine in a wind farm.
in clusters (i.e., wind farms) at land or at sea. A wind
siting Investigation of an area/region/district with the
purpose of selection of the location (site) for a wind
farm (often also called a wind park) can be defined
farm. as a cluster of wind turbines that acts as one
sizing The decision on the size of a wind farm in terms of electricity-producing power station. Generally, it is
land area and installed capacity. expected that a wind farm consists of more than
wake The wake behind a wind turbine is characterized by three wind turbines. However, the rapid develop-
a wind velocity deficit and increased turbulence. The ment in the size of wind turbines can make such a

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 449
450 Wind Farms

definition superfluous: Tomorrow’s single wind the wind farm sites and to predict the output from
turbine might exceed 10 MW, whereas several of the farms days ahead. The wind resources vary
yesterday’s wind farms are below 5 MW. dramatically over a few kilometers as well as from
The development has led to a division of the one region to another, depending on topographical
technology into three categories, depending on conditions and the overall weather systems. As an
application and capacities: example on the variation, if a wind turbine produced
full power all year round, one would say it had 8765
*
Land-based and offshore grid-connected wind
full last hours; in southern Germany it would
farms varying in size from about 10 MW to
produce 1000 hours; in northern Germany, 2000
several 100 MW; WTs larger than 1.5 MW.
hours; in the North Sea, 4000 hours; in Dzungar
*
Decentralized and single operating machines
Gate between Kazakhstan and China, 4000 hours; in
connected to the grid; WTs less than 1.5 MW.
the Gulf of Suez, 6000 hours (all approximate and
*
Decentralized units for grid-connected operation
dependent on the exact location and the size of the
and for hybrid and standalone operation; WTs
wind turbine).
less than 0.5 MW.
Modern wind turbines have a high quality, which
Here we are only concerned with the first results in technical availability of typically 98 to
category, which is formed by large-size grid-con- 99%. The high level of availability is a result of the
nected wind turbines for land-based and offshore reliability of the machines and, for most land-based
applications. From the early 1980s, development has machines, the easy accessibility for repairs and
steadily moved toward larger machines and larger maintenance. However, under offshore conditions,
wind farms; for example, in 1995 only 20% of all the situation is different. Because of the poor
wind farms were larger than 5 MW, whereas in 2002 accessibility of the site, a higher degree of reliability
nearly 70% exceeded 5 MW (a 5 MW wind farm is one of the necessary conditions for arriving at an
may, on the average, supply 2500 to 3000 north acceptable level of availability. Precautions concern-
European households with electricity—if they do not ing operation and maintenance has led the operators
use electricity for house-heating). of the 200 MW wind farm 20 km off the coast of
Because wind turbines are clustered into bigger Jutland in the North Sea—the Horns Rev Wind
units, system integration requires special attention. It Farm—to equip each turbine with a helicopter
is estimated that a penetration (supply fraction) of platform and a survival room for the service
wind energy on a large grid can be as much as 20% personnel (see Fig. 1).
without special precautions to secure grid stability. As noted earlier, in a not-too-distant future a
Turbines equipped with state-of-the-art power elec- considerable amount of the necessary energy will and
tronics may even add stability to the grid. For an must come from renewable energy technologies. With
even larger penetration, special attention has to be this perspective, we will see many very large wind
focused on control systems of wind farms, improve-
ments of power quality, system and grid stability,
operational management systems, system reliability,
and output forecasting. Large wind farms are very
visible and this together with a number of environ-
mental concerns, such as possible disturbance of
migrating birds, play an important role in the
planning process and can result in selection of sites
with less than optimal conditions.
Good wind conditions are essential for the
economics for any wind project. With the advent of
the mega–wind farms the requirements to good wind
resource assessment methods have led to methodol-
ogies where all available knowledge on meteorology,
climatology, and topography is used on the ever-
increasing amount of information on the atmosphere FIGURE 1 Access by helicopter to one of the wind turbines at
Horns Rev offshore wind farm in the North Sea, 20 km from the
and the earth’s surface that comes from satellites and Danish coast. It was constructed in 2002 and consists of 80
ground measurements. Large computers combine turbines, each of 2 MW. The area of the farm is 20 km2. From
models and data to estimate the wind resource at ELSAM.
Wind Farms 451

farms, distributed all over the world (and not as in


2002, where 85% of all the world’s wind turbine
capacity was placed in five European countries).
Many of the wind farms can be expected to be
located in environmentally sensitive areas; hence,
environmental awareness and public acceptance will
be key issues for the large wind farm projects to
come.

2. WIND ENERGY STATUS

The revival of wind energy began in the end of the


1970s as a consequence of the concerns for energy FIGURE 2 A wind farm in Palm Springs, California. From the
Ris National Laboratory.
supply security after the oil crises. This, as well as
environmental concerns about global warming from
35,000 7,500
the use of fossil fuels, has caused many nations to
promote the development and use of wind energy for 30,000 Cumulative 6,500
electricity generation. In general, two approaches Annual 5,500
have been used: (1) development support for the 25,000

MW cumulative

MW per year
wind technology in terms of research, development, 4,500
20,000
and demonstration and (2) market development 3,500
using instruments like fixed power purchase con- 15,000
tracts, investment or production subsidies, tax 2,500
credits, wind resource studies and physical planning, 10,000
1,500
setting aside areas for wind energy development,
5,000 500
preferential finance, and so on. Especially when they
are combined, these instruments have been successful 0 −500
in developing modern wind energy, both as a
1983
1985
1987
1989
1991
1993
1995
1997
1999
2001
technology and as a significant and growing energy
source. FIGURE 3 Annual and cumulative installed wind power in the
Whereas the initial development in general con- world. From World Market Update 2002, BTM Consult Aps,
sisted of single wind turbines, dispersed in rural March 2003.
areas, the first major development of wind energy
capacity and wind farms took place in California in electricity demand and with more than 61,000 wind
the early 1980s. The development was supported by turbines installed worldwide; 85% of the total
subsidies for building wind farms through tax credits capacity is installed in Europe, led by Germany,
and by premium payments for the produced elec- Spain, and Denmark.
tricity; within a few years the installed capacity An interesting trend in the market is that a
reached approximately 1500 MW. Figure 2 shows an growing part, currently two-thirds, of the new
example of a Californian wind farm. The wind installations is made up of large wind farm projects.
turbines were rather small, less than 100 kW, and the As wind energy becomes more economically attrac-
operating record was rather poor due to immature tive, larger developers such as subsidiaries of power
technology and difficulties with the electrical inte- utilities are becoming involved, utilizing their ex-
gration into the power system. pertise in logistics and finance. The trend toward
After some years with a limited installation of new larger projects is seen even in Denmark and
capacity, growth accelerated in the mid-1990s, this Germany, otherwise known for dispersed and
time with Europe as the world leader in technology small-sized projects. The development of market
and installations. Figure 3 shows the global devel- segments is shown in Table I.
opment of wind power capacity since 1983. During The emerging development of offshore wind farms
2002, new wind energy installations reached will add to the trend of larger projects, where the
7227 MW, bringing the total global installed capacity economics of grid connection, infrastructure, instal-
up to 32,000 MW supplying 0.4% of the world’s lation, and O&M in particular favors large projects.
452 Wind Farms

TABLE I
Segment Distribution of Installed Capacity 1995–2002

Percentage of world market

Market segment 1995 1996 1997 1998 1999 2000 2001 2002

Dispersed development, single wind turbines and small wind farms o5 MW 75 70 60 45 42 46 35 32


Commercial and utility owned wind farms 45 MW and up to 199 MW 24 28 40 54 57 53 64 65.5
Other niche markets (e.g. off shore) 1 1 1 1 1 1 1 2.5

Source. World Market Update 2002, BTM Consult Aps, March 2003.

Offshore wind farms are still only a time fraction of development; investments and investors; design
the globally installed wind capacity. By the end of safety, reliability, and lifetime; wind farm and power
2002, a total of 279 MW wind farm capacity was system operation and maintenance; and economic
installed offshore, 233 MW of which was in Den- and financial viability.
mark. It is expected that during 2003–2007, the The wind farm layout may be determined accord-
wind farm capacity offshore will grow to approxi- ing to different principles. No single layout concept is
mately 5000 MW, primarily with British and German universally acknowledged as ideal and preferred, so
projects. no universally true automatic method for determin-
ing optimal wind farm layouts is therefore available.
There are tools that can assist the analyses and could
3. WIND FARM SITING ISSUES or should be applied as a part of the development
and optimization exercises, but there is no way
around human judgment—at least when it comes to
3.1 Wind Farm Sizing and
aesthetics and visual impact.
Optimal Layout
As an example, the Middelgrund offshore wind
Following a decision to extend the electricity farm outside the harbor of Copenhagen, was first
production capacity by one or more wind farms, planned as a straight line, but due to aesthetics
one has to decide where to place the wind farms grounds it was changed to an arch as shown in Fig. 4.
(siting), the size of the wind farms (sizing), and the Other examples are the early and famous wind farms
optimum layout of the wind farms. in California, where Fig. 2 shows a wind farm sited in
The size of a wind farm is often determined with a very regular pattern, and Fig. 5 (Alta Mesa) shows a
respect to a number of constraints, such as planning wind farm located along mountain ridges. In the
legislation; local and national development plans and United Kingdom, some of the wind farms are placed
policies; land availability, access, and transport in an irregular pattern, required by legislation due to
infrastructure; power system (present and future); constraints on visual impact.
wind turbine size; financing; the electricity market;
and environmental impacts.
3.2 Wind Farm Production Estimation
The optimal size of a wind farm, economically
and financially, for society and investors at given Because the terrain height variations—the orogra-
conditions may vary for different sites; hence, sizing phy—over a wind farm site causes large variations of
and siting are integrated activities. Furthermore, the available wind resource for each wind turbine, a
sizing involves aspects that may not easily be correct and detailed terrain description is a necessary
quantified in monetary terms. prerequisite for optimizing wind farm layouts. When
The site for a wind farm most often ends up being the wind moves over hill and ridges, it speeds up, and
based on a comparison of selected candidates with the effect can easily extend to the turbine height and,
respect to issues such as the possibility of obtaining because the power output of a wind turbine for
planning authorization and approvals; the successful aerodynamic reasons is proportional to the third
outcome of local hearings; potential wind energy power of the wind speed, taking care of this effect is
production; environmental costs and benefits; sus- essential when siting any wind turbine at a land site.
tainability, assumptions, uncertainties, and risks; the This is done is by using a detailed topography map of
availability of land and infrastructure; power system the site as input to a so-called microscale numerical
Wind Farms 453

721000

Red belt northing (m)


720000

719000

718000

769000 770000 771000 772000 773000 774000


Red belt easting (m)
FIGURE 6 An example of an elevation map of a wind farm site
(Zafarana, Egypt). An accurate description of the overall geometry
of the terrain surface is a prerequisite for reliable modeling of the
wind flow over the terrain. The map was established by a site-
specific survey employing GPS techniques. The height contour
interval in the map is 2 m, but it is possible to draw 1-m contours
as well. Four sample wind farms, each consisting of 25,600-kW
wind turbines, are indicated by black dots.

721000
FIGURE 4 The Middelgrund offshore wind farm outside
Red belt northing (m)

Copenhagen Harbour. Constructed in 2000 and consists of 20


2MW wind turbines. Bonus.
720000

719000

718000

769000 770000 771000 772000 773000 774000


Red belt easting (m)

FIGURE 7 An example of a resource map of a wind farm site


(Zafarana, Egypt). Estimated annual energy production for a 600-
kW wind turbine. Hub height is 45 m a.g.l and the power
production is calculated in a regular grid with a grid spacing of
50 m. Height contour interval is 2 m. Even within this fairly small
and homogeneous site, the estimated production varies by more
FIGURE 5 The Alta Mesa Wind Farm, California. From the than 20%. The accuracy of the map has been verified by
Ris National Laboratory. measurements at nine meteorological masts at the site. From
Clausen, N.-E., et al. (2003). ‘‘Wind Farm Planning at the Gulf of
Suez.’’ New and Renewable Energy Authority, Cairo, Egypt and
model, which in short is able to calculate a detailed Ris National Laboratory, Roskilde, Denmark.
wind flow field over the wind farm site, which again
is used to produce a detailed map of the variation of
the wind resource over the site. Besides the orogra- roughness, the wind speed decreases. Figure 6
phy, the model also uses as input a detailed (Zafarana topography) and Fig. 7 (Zafarana, wind
description of the surface characteristics (i.e., the resource) show the topography and wind resource
roughness of the terrain). Open farmland has a low for a coming wind farm site at Zafarana in Egypt.
roughness and forests have a high roughness. When Figure 8 shows the wind resource dependence on
the wind blows from a low roughness to a high topography in a three-dimensional way.
454 Wind Farms

weather prediction model, which is used by the


national weather services to forecast the daily
1200
weather and the weather days ahead. Mesoscale
1000
AEP (MWh)

models require very large computers.


800
The microscale model calculates the speed-up and
600 sheltering by hills, local obstacles, and local rough-
400 ness conditions. The procedure is illustrated in Fig. 9.
200 The mesoscale model calculates the mesoscale wind
0 field using as input a description of the large-scale
28 km
climatology obtained from the large international
22 km databases on meteorological, climatological, and
FIGURE 8 Variation of the wind energy potential at coast. The topographical global information. The area will
dramatic increase in the potential going from land to sea is due to typically be 200  200 km, and the resolution 1 to
the change in the surface roughness. The modeling was done in 5 km.The climatology of the simulated wind fields—
connection with the planning of the Vindeby offshore wind farm, commonly called wind atlas data—and the local
which is shown on the figure. Vindeby was the first offshore wind orography and roughness are subsequently used by
farm in Denmark and has been operating since 1991. It consists of
11 Bonus turbines of 450 kW each. AEP, estimated annual energy
the microscale model to predict the local wind
production per wind turbine. climate at specific locations with resolutions of a
few meters.

The estimate made by a microscale model of the


3.3 Environmental Impact Assessment
average yearly power output that is produced by a
wind farm over its life span—usually considered to Wind turbines produce energy without pollution,
be 20 years—is very dependent on the physical eventually leading to a reduction in the emission of
realism of the model and on the quality of the input carbon dioxide, nitrogen oxide and sculpture diox-
to the model, basically topography and the wind ide. The use of wind energy may therefore contribute
measurements. to reduce global climate change, acid rain and other
The most obvious way to obtain an estimate of the serious environmental problems.
wind and the wind resource at a wind farm site is to Although the environmental impact of wind
perform meteorological measurements—especially energy obviously is lower than that of conventional
wind speed and wind direction—at relevant heights energy sources, there are some potentially negative
and locations. But because the wind is a local effects on the environment, especially when it comes
characteristic, influenced by topography such as to establishing large wind parks of several hundred
surrounding hills and changes of surface character- large wind turbines. Over the years the main
istics (water, forests, open farmland, desert, etc.), one environmental concerns when constructing wind
needs measurements in a dense network of high farms have been visual impact, noise, and the risk
meteorological masts. Such measurements are costly of bird collisions.
to carry out, and it takes a long time to obtain Modern wind turbines are extremely durable and
climatological estimates (i.e., estimates of wind the danger of parts of a turbine such as a blade part
energy potential over the lifetime of the wind farm). hitting buildings or persons must be regarded as
Therefore, numerical meteorological computer mod- remote. Furthermore, wind turbines have several
els are needed for the interpolation between mea- braking systems to stop the rotor blades in case of
surements, for extrapolation to the relevant heights extremely strong winds or a malfunction. As modern
(the hub height of the wind turbines, which is the well constructed wind turbine are also very quiet it
center of the rotor), and for the prediction of the normally possesses little problems to build wind
wind climate over the lifetime. turbines close to human settlements. The visual
An efficient and commonly used method of effects of wind turbine may, however, create some
predicting the surface wind climate is to combine a controversy, as some people believe they are having a
mesoscale model and a microscale model. The severe negative visual impact of the landscape while
mesoscale model simulates the regional wind climate others find them beautiful.
like flow over and around mountain ranges and in The impact on plants and animals is not very well
large valleys. A mesoscale model is a specially established despite a sizable number of studies, but as
adapted smaller version of the large numerical it is with most power plants a certain amount of
Wind Farms 455

Mesoscale
orography

KAMM Climatology

Land-use Roughness
generator

Wind atlas
files

Local
orography
Local
WAsP wind climate
Local
roughness

FIGURE 9 Predicting the wind climate by combining a mesoand microscale meteorological model. Flowchart showing the
principle behind the calculation of a local wind climate by means of a mesoscale model (KAMM, the Karlsruhe Atmospheric
Meso-scale Model) and a microscale model (WasP, the Wind Analysis and Application Program). For both models the main
input is orography, surface roughness and long-term wind climatology. For the microscale model, the long-term wind
climatology is produced by the mesoscale model and is named wind atlas files.

disturbance to flora, fauna birds and mammals will may cause reduced efficiency and higher loads on
happen. Still the largest concern is on bird strikes and downwind turbines. Another technical issue for large
associated effect on bird population and migration wind farms is the grid connection and the integration
paths. It is not alone the turbines that constitute a into the power system. This will be covered in the
danger to the birds, associated utility structures in next section on power system integration.
particular lines that connect the wind turbine farms When a wind turbine extracts energy from the
with the electrical grid possess a danger to birds as wind, the rotor creates a pressure field that reduces
they can collide with the cables or get electrocuted the speed of the flow and expands the flow stream
when landing on the towers. tubes around the wind turbine. As the air crosses the
The large wind farms located or being located rotor plane, the pressure decreases suddenly, and in
along the Gulf of Suez in Egypt are placed just in the the immediate downstream region there is a deficit of
world’s major bird migrating routes with large pressure and axial velocity. The tip vortices, which
numbers of raptors, storks and other spices some- form helical trajectories, can be seen as a cylindrical
times occurring at very low altitudes—clearly, the shear layer that separates the outside flow from the
bird-wind turbine collision issue is of special concern slower moving flow in the wake. As the air moves
to Egypt. It is expected that crucial information on downstream, the velocity inside the wake decreases
the collision issue will be obtained by the intensive and the pressure increases until ambient pressure is
ornithological studies being performed. reached in about one turbine diameter length from
the rotor plane. The flow close to the rotor is
illustrated in Fig. 10, where smoke is released near
4. TECHNICAL WIND FARM ISSUES
the tip and midway on the blade.
Further downstream, the wake diffuses due to
4.1 Turbine Spacing and Wakes
turbulence caused by the shear in the wake as well
Most of the technical issues with wind farms are as from the ambient turbulence, and approxima-
associated with the close spacing of multiple tely three rotor diameters downstream the wake is
turbines. The close spacing implies that the extrac- fully developed and is characterized by the mean
tion of energy by wind turbines upwind will reduce velocity profile, the growth of the wake, and wake
the wind speed and increase the turbulence, which turbulence. The flow velocity in the wake is
456 Wind Farms

gradually restored by the diffusion of energy from


the wind field above, making the wake shallower but
broader. In general, the initial wake velocity deficit is
assumed to depend on the thrust coefficient of the
wind turbine, which again depends on the wind
speed. The wake growth depends on the ambient
plus the wake turbulence, although it is often
assumed that the wake increases linearly with the
downstream distance.

4.2 Wind Farm Efficiency


The reduced wind speed in the wake behind means
that a wind turbine operating in the wake of an
upstream wind turbine will produce less energy.
Deep in a wind farm a wind turbine may experience
several wakes, and a wind farm will thus produce less
energy than the same number of turbines operating
isolated under equal wind conditions. The ratio
between the annual production of a wind farm and
the production of corresponding isolated turbines is
the wind farm efficiency. Several wake models have
been developed to calculate production of a wind
farm. A simple model, which assumes linear wake
growth, is illustrated in Fig. 11. The effect of several
wakes on one wind turbine is calculated by adding
the deficits. While such a model is sufficient for
smaller wind farms, the models does not account for
FIGURE 10 Flow visualization showing tip vortices and the the effect on the ambient wind climate from the wind
reduced flow velocity in the wake of a wind turbine. From Ris farm, and caution should be exercised for very large
National Laboratory. wind farms.

U
=k
Slope
Turbine rotor

Turbine rotor

V
D Dw = D + 2kX

FIGURE 11 Principle of affi simple wake model. The wake decay constant k B0.1 and the velocity deficit is given by
pffiffiffiffiffiffiffiffiffiffiffiffiffi
dV9U  V ¼ Uð1  1  Ct ÞðD=ðD þ 2kXÞÞ2 : From Katic, I., Hjstrup, J., and Jensen, N.O. (1986). ‘‘A Simple Model for
Cluster Efficiency.’’ Proc. European Wind Energy Conference, October 7–9, 1986, Rome, Italy.
Wind Farms 457

Using a wake model, the wind farm efficiency for the real random amplitude load) on the wind turbine
a given wind farm layout can be calculated. For a blade in the flap wise direction, the wake may double
given layout, the efficiency also depends on wind the load at lower wind speeds compared to the loads
direction distribution, and at sites with a prevailing on a similar freestanding turbine. While this wind
wind direction, the separation between turbines in situation is rare, loads on closely spaced wind
this direction is often larger than perpendicular to the turbines are still a research topic, and caution should
prevailing wind direction. In the micrositing process, be exercised in this situation.
the production from a given farm layout is optimized When the wind turbines are spaced further away
taking into account the terrain, needs for roads and from each other, the effect of being in the wake of an
power connections, and land use. Most wind farms, upstream turbine is still noticeable up to a distance of
except in homogeneous terrain or offshore, will show about 20 rotor diameters. A number of measurement
an irregular layout and follow, for example, a ridge investigations have been carried out for wind farms
in the terrain. A thorough analysis should always be with spacing larger than three rotor diameters,
carried out, but as a rule of thumb, an efficiency of including at the Danish offshore wind farm at
90% is expected for a layout, where the downwind Vindeby, where the wind turbines are installed in
distance between turbines times the crosswind two rows with a spacing of 8.5 rotor diameters. It is
distance is 50 times the rotor diameter D squared interesting to notice that the loading and the
(i.e., a spacing of 7 D  7 D or 10 D  5 D). turbulence levels are closely related, as is demon-
strated in Fig. 12, where the added turbulence and
the increase in load (equivalent flap wise blade load)
4.3 Wind Farm Loads
in the wake situation are clearly identifiable. The
In addition the wind farm efficiency, the wind turbine figure also suggests that a practical way to represent
loads are affected by the farm layout, as the variations wake loads in load calculations is in terms of an
in the wind flow field from the wake velocity deficit added wake turbulence or an effective turbulence
and the wake turbulence will increase in particular intensity, which depends on the wind turbine
the fatigue but also the ultimate loads. The load behavior, the spacing to the closest wind turbines,
increase depends on the distance to the wind turbine and the ambient turbulence. For fatigue loads, the
and on the wind speed. Thus, the relative load effective turbulence intensity must also include the
increase is largest at lower wind speeds, where a high nonlinear fatigue damage sensitivity to higher loads
proportion of the energy is extracted from the flow, for the used material. This is the approach used in the
and smaller at higher wind speeds, where relatively international IEC standard giving design criteria for
less of the energy flow is extracted in order to limit the wind turbines.
power and load on the wind turbine drivetrain.
However, most fatigue damage and ultimate loads on
the wind turbine structure occur at high wind speeds
where the attention should be focused. At very high
5. POWER SYSTEM INTEGRATION
wind speeds, where the wind turbines are standing
5.1 Capacity Credit
still or idling slowly and so to speak transparent to the
wind, the wake effects are negligible. Furthermore, The capacity of wind farms as defined here varies
the relative load increase is largest when the ambient from less than 1 MW to several hundreds of MW.
turbulence is small. This is the case over water, and Consequently, the power system integration issues
due consideration of wake effects is essential for the vary significantly, from incorporation of a small
determination of dynamic wind turbine loads during negative load in the distribution system with local
operation in an offshore wind farm. power quality concerns to requiring a large wind
In a wind farm with wind turbines arranged in a farm connected to the power transmission system to
row perpendicular to the prevailing wind, the possess power plant characteristics and share re-
separation between the wind turbines may be less sponsibility for power system stability and power
than three rotor diameters. When the wind is along balance. The size of wind farm projects has become
the row, the wind turbines are thus in the near wake, larger, in many cases with wind farm capacities
where the shape of the wake is very distinct and greater than 100 MW. This is especially the case with
where the highest loads occur during half wake offshore wind farms, which are being planned and
situations. In terms of the equivalent load (a constant implemented along the northern European coasts. In
amplitude load causing the same fatigue damage as the following discussion, we shall present the power
458 Wind Farms

320 (314) 354 needed in the absence of wind energy in order to


obtain the same loss-of-load-probability (LOLP).
18
The LOLP method is commonly used to assess the
298 23 North
1W 28
reliability of a power system with conventional
38 generation and calculates the probability that the
2W
286 (284) generation system cannot meet the required electri-
48
3W 77 city demand due to random and scheduled outages of
4W 5E generating capacity. Both definitions give similar
+ 6E results for small penetration levels.
257 (254) SMW 5W The capacity credit is determined by a number of
106 (105) factors, such as the average wind speed, the wind
+ SMS
speed variability, the percentage of total electricity
203 (201) demand covered by wind energy (penetration), the
140 correlation between the wind at different wind farms
+ Meteorological tower Wind turbine 450kW in the power system and the correlation between
wind speed and demand. For small penetration
1.60 levels, the capacity credit of dispersed wind farms
Turbulence in a large grid is generally close to the average output
Equiv. load of the plants—that is, the installed capacity times the
1.20 capacity factor of the wind plants (500 MW of wind
Turbulence/load

farms with capacity factor of 25% can be expected to


0.80
have a capacity credit of 125 MW).

5.2 Short-Term Variability of Wind


0.40
Power Production
While wind farms can thus substitute for conven-
0.00
250 270 290 310 330 350 tional generation capacity in a power system, the
Wind direction (deg)
fluctuating character of the wind farm production
needs to be addressed. As conventional generation
FIGURE 12 Layout and wake situations for the Vindeby capacity may take a while to prepare for generation,
offshore wind farm. The plot at the right shows the normalized
equivalent blade flapwise load of turbine 4W and the normalized
an amount of unused generation capacity, spinning
turbulence level at mast SMS. The turbine and the mast are in reserve, is kept on line to respond to fluctuations in
identical wake situations. From Frandsen, S. (2003). ‘‘Turbulence wind power as well as load. To take full advantage of
and turbulence-generated fatigue loading in wind turbine clusters.’’ wind power, to control the dispatch of conventional
Ris-R-1188. generation, and to trade the power production on
markets operating on a 48 h timescale, systems that
system issues of greatest concern for wind farm predict the wind power production 1 to 2 days ahead
integration, namely capacity credit, short-term varia- are necessary. Quite a few methods for short-term
bility of wind power production, control, power prediction of the wind farm production have been
system stability, and power quality. Finally, some developed and implemented in load dispatch centers
system solutions for connecting wind farm to the in, for example, Denmark and the United States.
power transmission system are discussed. Most methods constitute a numerical weather pre-
Because of the intermittent nature of the wind diction model, a physical model of the wind farm to
resource, a wind farm cannot be relied on to operate relate wind speed to production, accounting for farm
at a certain capacity at any given time. The question layout, power curves as well as wake and terrain
therefore arises, can a wind farm substitute for effects, measurements of production and statistical
conventional generation capacity and if so, how analysis, and, finally, preparation of output in terms
much? This is expressed by the capacity credit, which of, for example, energy production from the wind
is usually defined as the fraction of a power plant’s farm in hourly steps from 0 to 48 h ahead.
rated capacity, which is on average available at the The accuracy of short-term prediction models can
time of peak demand, or alternatively, the relative be evaluated by comparing their prediction with the
amount of additional conventional capacity that is result of the persistence model, which simply
Wind Farms 459

assumes that production at any given time is equal to Noejsomhedsodde


1800
the production during the previous time period. As
1600
weather systems develop slowly, the persistence 30
1400
model is actually quite accurate and difficult to 25
1200
outperform. Figure 13 presents an example compar-

Error (kW)
20

Error (%)
1000
ison between the persistence and a short-term
800 15
prediction model based on the weather forecast for
600
an actual 5.2 MW wind farm in Denmark and based 10
400
on 1 year of data. The mean error (circles) and the 5
200
mean absolute error (squares) are shown for the
0 0
persistence model (filled symbols) and for the
−200
prediction model in absolute values as well as 0 3 6 9 12 15 18 21 24 27 30 33 36
relative to the wind farm capacity. Note that the Prediction length (h)
weather prediction–based model first outperforms FIGURE 13 Performance of a weather prediction based model
the persistence model after 6 h and that the mean and the persistence model. From Landberg, L. (1999). ‘‘Opera-
absolute error is almost constant at 15% of the wind tional Results from a Physical Power Prediction Model.’’ In
farm capacity up to 36 hours. In general, state-of- Proceedings from EWEC99, Nice (FR), March 1–5, 1086–1089.
the-art weather prediction–based models are ex-
pected to reduce the mean absolute error to half Ris∅ national laboratory
the error of the persistence model. 30
1 Oct 00
Finally, a subjective evaluation of the performance 1 Oct 12

Wind speed, 118m agl (ms−1)


2 Oct 00
25
of prediction models can be made by plotting the Observations

actual performance of the model together with the 20


observed production. An example is shown in
Fig. 14. 15

10
5.3 Energy Storage
5
Another way to improve the integration of wind
farms by reducing the power fluctuations is through 0
00 03 06 09 12 15 18 21 00 03 06 09 12 15 18 21 00 03 06 09 12
the use of energy storage. Most storage technologies 1 Oct 97 2 Oct 3 Oct
such as lead-acid batteries are not suited for large- FIGURE 14 A storm lasting 2 to 5 days predicted by the model
scale application, but new storage technologies with Predictor. The black line is the observed wind speed at the 118 m
promise have emerged. One is based on the Redox tall Ris mast, the gray lines are twice daily prediction of Predictor.
flow technology, which has a high efficiency (80%) From Landberg, L., Giebel, G., Nielsen, H. A., Nielsen, T., and
Madsen, H. (2003): Short-term prediction—An overview. Wind
and a long lifetime (410 y). A Redox flow plant
Energy 3, 273–280.
consists of a cell stack in which two electrolytes can
interact through a membrane and storage tanks for
the two electrolytes. The power capacity is given by (460 kV), where the wind farm behavior may
membrane area, while the storage tank volumes influence the power system stability. In Denmark,
determine the energy capacity. Hence, the ratings of two large offshore wind farms of 150 MW each were
the energy and the power capacity are independent. installed in 2003 in a power system where wind
Another promising technology is reversible fuel cells energy already covers 15% of the electricity demand.
and hydrogen. In case of surplus electricity, the fuel Due to their rated capacity, the wind farms are
cells produce hydrogen, which, in case of a deficit connected to the transmission system, and new
can be used for power production or transportation. requirements have been developed by the Danish
Transmission system operators, Eltra and Elkraft
System, giving specifications for connecting wind
5.4 Control and Power System Stability
farms to the transmission system, which can be seen
A high wind power penetration imposes additional as indicative for future requirements to wind farms
control needs on a power system. This is especially of with regard to control, stability, and power quality.
concern for large wind farms connected to the Not surprising, specifications are given for grid
transmission system at a high-voltage level frequencies, voltages, reactive power compensation,
460 Wind Farms

voltage quality, and fault protection. Moreover, to uncorrelated power fluctuations from the individual
enable wind farms to substitute conventional power wind turbines. Wind turbines will normally increase
plants, a requirement for production control and the voltage level in the distribution system due to
more stringent stability requirements and require- their production of active power, while reactive
ments for operation during faults have been intro- power consumption will decrease the power level.
duced. Traditionally, wind turbines have been Capacitor banks and transformer tap changers are the
equipped with protection functions that disconnect most common ways to control the steady-state
and stop the turbines in the case of a temporary or voltage level. It is generally desirable to reduce the
permanent grid fault. This philosophy has been active power consumption, either to reduce losses in
abandoned, and wind turbines are now required to the system or to avoid reducing the production
be able to ride through temporary faults and capacity of strained generation capacity. Reactive
contribute to system services such as momentary power consumption may also affect the power system
reserves and short-circuit capacity. stability, as a voltage instability or collapse may occur
The requirements for production control consti- if the power system cannot supply a change in
tute the ability to do the following: reactive power demand from a rapid change in power
production. A fast control of reactive power com-
*
Control the production from the wind farm so
pensation is necessary to deal with such power
that it does not exceed a certain MW limit (i.e., a
stability issues in wind farms. This may be accom-
production limit)
plished by the use of wind turbines with active
*
Control the production limit by a single central
voltage control or by the use of external compensa-
signal
tors such as static var compensators (SVCs).
*
Control each wind farm individually
*
Have the control act on the individual wind
turbine 5.6 System Solutions
*
Control the production quickly (i.e., a reduction
Four different system solutions for connecting large
from 100% to below 20% of maximum power in
wind farms to the high-voltage transmission system
less than 2 seconds)
are shown in Fig. 15. To meet the requirements for
Furthermore, high wind speeds may not cause all production control, the wind turbines in the wind
turbines to stop simultaneously. farm are equipped with blade angle control (pitch or
active stall) and can therefore also contribute to the
frequency control by regulation of the active power.
5.5 Power Quality
Furthermore, wind turbines or installation with
Wind farms influence the quality of power in the power converters are also able to control the reactive
electricity grid of the power system. The term power power supply to the power system.
quality is not well defined, but it usually includes two In the traditional solution A, the reactive power
aspects of power supply: voltage quality and supply consumption in the wind turbine induction generator
reliability. The voltage quality part disturbances such is compensated by shunt capacitors in the individual
as rapid changes, harmonics, interharmonics, flicker, wind turbines. The power is the transformed to the
unbalance, and transients, reliability involves longer medium voltage level (10 to 40 kV) in the farm
duration phenomena such as interruptions, voltage distribution system before being transformed to the
dips and sags, over and under voltages, and high voltage level (460 kV) of and transmitted to the
frequencies. Methods for measurements and assess- grid transmission system at the connection point.
ment of the influence of wind turbines on the power The solution relies on a strong grid and power system
quality are given in the international standard IEC and may be supplemented with a reactive power
61400-21. The standard includes measures for compensation unit for the fast reactive power control
maximum power, reactive power, voltage fluctua- at a point before the high-voltage transformation.
tions, and harmonics. In general, the main power In solution B, each wind turbine is equipped with
quality issue for wind farms with a large number of a power converter, which in general keeps the power
turbines is the steady-state voltage increase, while for factor close to unity (no reactive power demand) and
individual large wind turbines in a weak grid, voltage smoothes the power fluctuation through variable
fluctuations and flicker become an additional im- speed operation. The power converter may also be
portant issue. This is due to the power smoothing used for voltage control by regulation of the reactive
effect from the averaging of usually close to power supply.
Wind Farms 461

FIGURE 15 System solutions for connection of wind farms. AC and HVDC transmission of power from the wind farm to
the grid. From Hansen, L. H., et al. (2001). ‘‘Conceptual Survey of Generators and Power Electronics for Wind Turbines,’’
Ris-R-1205 (EN).

TABLE II
Characteristics of System Solutions for Grid Connection of Wind Farms

System solution A B C D

Active power control Yes Yes Yes Yes


Reactive power control Yes (Central) Yes Yes
Active at faults Yes No Yes Yes
Short-circuit power contribution Yes Yes No No
Regulation bandwidth 10–100 ms 200 ms–2 s 10–100 ms 10 ms–10 s
Ancillary services Yes No Yes Yes
Flicker contribution Yes Yes No No
Drive train load reduction No Yes No Yes
Soft starter needs No Yes Yes Yes

One of the most widely discussed concepts for is required on the AC transmission system, which is
grid connection of large wind farms is high voltage also expensive offshore. In addition to the advan-
direct current (HVDC). A modern HVDC link tages to the power system of having a fully
consists of two fully controllable AC/DC converter controllable DC/AC converter at the connection
stations linked with a DC cable. The DC cable is less point to the transmission system, a HVDC link
expensive than an AC transmission cable, but the opens new possibilities for wind turbine control, as
cost of the converter station makes this solution the frequency of the wind turbine connection grid in
more expensive than an AC link, unless the distance the farm can be controlled independently of the
is very long. The development of power electronics power system frequency.
reduces the cost of converter stations rapidly and The simplest HVDC solution is the group
may make HVDC viable for many applications. The connection in C, where the HVDC link connects
viability of HVDC may be reached earlier for the power system and the wind farm AC grid. The
offshore wind farms. When the critical cable length converter at the wind farm end can supply the wind
for AC transmission is reached, a compensation unit turbines with reactive power, and the most obvious
462 Wind Farms

TABLE III
Main Data of Two Offshore Wind Farm Examples

Wind farm Horns Rev wind Nysted wind


characteristics farm farm

Installed capacity 160 MW 158.4 MW


Number of 80 72
turbines
Wind turbine type Vestas 2 MW Bonus 2.2 MW
Expected annual 600 GWh 595 GWh
production
Hub height 70 70 m
Wind farm area 20 km2 24 km2
Water depth 6.5–13.5 m 6–9.5 m
Distance to shore 14–20 km 10 km
Distance between 560 m 850 m
rows
Distance between 560 m 480 m
turbines in rows
System solution B A
FIGURE 16 Placing the wind turbines at the Nysted offshore type
wind farm. Offshore wind farm technology was developed in 2003 Internal grid 34 kV 33 kV
to a point where on the average it took one day to erect each of the voltage
110 m high wind turbines (Compagnies Bonus and A2Sea). From Transmission to 150 kV 132 kV
Jan K. Winther. shore voltage

with individual power converters such as smoothing


the power fluctuations and reducing drivetrain load
transient be obtained.
The solution in D appears to have all the benefits
of individual wind turbine power converters, if the
AC/DC converters in the wind turbines are based on
forced-commutated semiconductors. Then the fre-
quency and hence the turbine rotation speed can be
controlled independently to reduce drivetrain loads
and power fluctuations. The benefits and limitations
of the four solutions are listed in Table II.

FIGURE 17 The Nysted wind farm, showing rows of the


2.1 MW Bonus turbines and the transformer station. From Energi E2.
6. WIND FARM EXAMPLES
This article has presented several illustrations of
solution is to equip the wind turbines with directly large offshore wind farms, namely the Horns Rev
coupled induction generators without capacitor offshore wind farm and the Nysted offshore wind
banks for reactive power compensation or with a farm, Figs 16 and 17 (also see Table III). These wind
simpler constant no-load compensation. The control farms, each of approximately 160 MW, have been
of the wind farm grid frequency, and hence the built as large-scale demonstration projects according
rotational speed of the turbines, allows aerodynamic to an agreement between the electricity sector and
efficiency optimization. However, compared to in- the Danish government. These wind farms use wind
dividual speed control, the total efficiency is smaller turbines adapted to offshore conditions with capa-
due to variations in wind speed and thus optimum cities of 2 to 2.2 MW. The expected electricity
rotation speed from wind turbine to wind turbine. production corresponds to almost 3% of the
Neither can the benefits of variable speed operation electricity consumption in 2002 in Denmark. These
Wind Farms 463

are the first Danish wind farms designed according to Further Reading
the new requirements from the transmission system
Burton, T., Sharpe, D., Jenkins, N., and Bossanyi, E. (2001).
operators, where the wind farms are considered ‘‘Wind Energy Handbook.’’ John Wiley & Sons, Chichester,
power plants with responsibilities for control, England.
stability, and power balance. EUREC Agency (Eds.) (2002). ‘‘The Future for Renewable Energy
While large, these wind farms are not the largest 2. Prospects and Directions.’’ James & James, London.
Frandsen, S. (2003). ‘‘Turbulence and Turbulence-Generated
in the world. At present, the record goes to the King Fatigue Loading in Wind Turbine Clusters.’’ Ris-R-1188. Ris
Mountain Wind Ranch in Texas with a capacity of National Laboratory, Roskilde, Denmark.
278 MW and consisting of 214 1.3 MW Bonus wind Heier, S. (1996). ‘‘Grid Integration of Wind Energy Conversion
turbines. Nor will the turbine size in future offshore Systems.’’ John Wiley & Sons, Chichester, England.
wind farms be limited to the 2 MW size; most major Madsen, B. (2003).World Market Update 2002, BTM Consult
Aps, March.
wind turbine manufacturers are testing or developing
Petersen, E. L., Mortensen, N. G., Landberg, L., Hjstrup, J., and
wind turbines in the 3 to 5 MW range for offshore Frank, H. P. (1998). Wind power meteorology. Part 1: Climate
(and onshore) wind farm applications. Even 10 MW and turbulence. Wind Energy 1, 2–22.
turbines seem realistic with modern technology. Petersen, E. L., Mortensen, N. G., Landberg, L., Hjstrup, J., and
Frank, H. P. (1998). Wind power meteorology. Part 2: Siting
and models. Wind Energy 1, 55–72.
Redlinger, R. Y., Andersen, P. D., and Morthorst, P. E. (2002).
SEE ALSO THE ‘‘Wind Energy in the 21st Century. Economics; Policy,
Technology and the Changing Electricity Industry. United
FOLLOWING ARTICLES Nations Environment Programme.’’ Palgrave, New York.
Spera, D. A. (ed.). (1998). ‘‘Wind Turbine Technology: Funda-
Hybrid Energy Systems  Land Requirements of mental Concepts of Wind Turbine Engineering.’’ ASME Press,
Energy Systems  Tidal Energy  Wind Energy New York.
Troen, I., Petersen, E. L. (1989). European Wind Atlas. Ris
Economics  Wind Energy, History of  Wind Energy National Laboratory.
Technology, Environmental Impacts of  Wind Walker, J. F., and Jenkins, N. (1997). ‘‘Wind Energy Technology.’’
Resource Base John Wiley & Sons, Chichester, England.
Wind Resource Base
DENNIS ELLIOTT, MARC SCHWARTZ, and
GEORGE SCOTT
U.S. Department of Energy, National Renewable Energy Laboratory
Golden, Colorado, United States

square meter, power class bins, or estimated yearly


1. Introduction energy production.
2. Basics of Wind Resource wind resource base The collection of all data about the
wind resource in a given area. The data set may include
3. Baseline Wind Resource Studies average speeds and power densities, measures of
4. Data Sets and Analysis Methods variability, and energy production statistics.
5. Resource Assessment Methods wind shear A measure of the change in wind speed or
6. Status of Wind Resource Projects power with height above the ground.

A major barrier to the deployment of wind energy in


many regions of the world is the lack of reliable,
Glossary detailed wind resource data. Wind resource assess-
exclusion zone An area that cannot be used for wind ments are crucial in determining the feasibility of
power development because of environmental, legal, wind energy projects and are essential for govern-
topographic, or other reasons. ment and industry to identify areas of potential wind
frequency distribution of wind speed The percentage of energy development. Accurate assessments can also
time that the wind is blowing at each speed (14% at
aid the development of policies and regulations that
2–3 m/s, 8% at 3–4 m/s, etc.).
can enhance wind energy deployment. This article
geographic information system (GIS) The computer hard-
ware, software, and technical expertise that inputs, summarizes the techniques used to conduct wind
stores, maintains, manipulates, analyzes, and outputs resource base assessments and the status of past,
geographically referenced data. A GIS combines the present, and future assessment activities.
power of spatial database management with high-
resolution graphic display to effectively present infor-
mation.
grid-connected A project that is connected to a utility
1. INTRODUCTION
distribution system.
power class A single number representing a range of wind Wind is a renewable energy resource that can
power densities (WPD). A typical power classification generate significant amounts of electricity for both
scheme divides the WPD range from 0 to 4800 W/m2 grid-connected and standalone applications. Major
into seven power classes. strides in wind technology development have in-
Weibull distribution A mathematical function that is often creased efficiencies and reduced wind energy costs so
a good approximation to the frequency distribution of that they are competitive with other generation
wind speeds at a site. technologies in regions with good-to-excellent wind
wind electric potential The total number of megawatts of resources. However, a major barrier to the deploy-
wind energy generating capacity that could be installed
ment of wind energy in many regions of the world is
in a given area.
wind power density The average wind power over one
the lack of reliable, detailed wind resource data.
square meter expressed in Watts per square meter (W/m2) Wind resource assessments are crucial in determining
in a vertical plane perpendicular to the wind direction. the feasibility of wind energy projects and avail-
wind resource A measure of how much wind energy is ability of these data is essential for government and
available at a given height at a given point or over a industry to identify areas of potential wind energy
given area. It can be expressed in values of Watts per development. Accurate assessments can also aid the

Encyclopedia of Energy, Volume 6. Published by Elsevier Inc. 465


466 Wind Resource Base

development of policies and regulations that can direction). Wind roses can also represent quantities
enhance wind energy deployment. such as the average speed or the percentage of the
Wind resource assessments produced from the available power for each direction.
1980s to early 1990s, such as the U.S. and European
wind atlases and a worldwide wind resource map,
identified general areas of good wind resource and 2.2 Wind Power Density
provided the basis for preliminary estimates of the Although the wind resource at a site can be roughly
wind-energy potential. However, these assessments described by the mean wind speed, the wind power
were of limited use, primarily because of the lack of density (WPD) provides a truer indication of a site’s
detail on the spatial variability of the wind resource wind energy potential. Wind power density expresses
and, in many regions of the world, the lack of the average wind power over one square meter
reliable surface measurement data that largely (W/m2) in a vertical plane perpendicular to the wind
provided the basis of the resource estimates. direction. The power density is proportional to the
Advances in wind resource assessment are leading cube of the wind speed and to the air density. Because
to improved wind resource maps, even in areas with of this cubic term, two sites with the same average
little or no surface measurements. This article wind speed but different speed distributions can have
describes the process of wind resource assessment very different WPD values. The wind power density, in
and describes the newest techniques for generating units of W/m2, is computed by the following equation:
wind resource maps and databases.
1 X n
WPD ¼ r  v3 ;
2n i¼1 i i
2. BASICS OF WIND RESOURCE
where WPD is the wind power density in W/m2, n is
2.1 Wind Speed and Direction the number of records in the averaging interval, ri is
the air density (kg/m3) at a particular observation
Wind speed is the simplest representation of the wind time, and v3i is the cube of the wind speed (m/s) at the
at a given point. Anemometers or other calibrated same observation time.
instruments measure wind speed. Wind speeds can be This equation should only be used with individual
calculated as an average or expressed as an instanta- measurement records (hourly, 10-minute, etc.) and
neous value. Wind speed averaging intervals com- not with long-term average speeds such as monthly
monly used in resource assessment studies include or yearly values. Using this equation with long-term
1- or 2-minute (weather observations), 10-minute averages will underestimate the WPD because long-
(the standard for wind energy monitoring programs), term averages will smooth out most of the higher
hourly, monthly, and yearly periods. It is important speed records that would more accurately represent
to know the measurement height for a given wind the fundamental nature of the wind resource. Long-
speed because the wind speed can vary significantly term averages of WPD should be computed by
with height. It is also desirable to know the exposure averaging the WPDs computed over many shorter
of a particular location to the prevailing winds intervals.
because nearby obstacles such as trees and buildings The air-density term is dependent on temperature
can reduce the wind speed. and pressure and can vary by 10 to 15% seasonally.
Wind direction is measured with a wind vane, If the site pressure and temperature are known, the
usually located at the same height as the anem- air density can be calculated using the following
ometer. Knowledge of the prevailing wind direc- equation:
tion(s) is important in assessing the available P
resource for wind turbine siting and spacing. Correct r¼ ;
RT
alignment of the wind vane to a reference direction is
important to accurately measure the wind direction. where r is the air density in kg/m3, P is the air
Wind direction observations at meteorological sta- pressure (Pa or N/m2), R is the specific gas constant
tions are often based on a 36-point compass (every for air (287 J/kg  K), and T is the air temperature in
101). Some wind direction data are expressed in less degrees Kelvin (1C þ 273).
precise 8-point (every 451), 12-point (every 301), or An approximation based on altitude alone is
16-point (every 22.51) intervals.
The wind direction distribution is often presented r ¼ 1:225  ð1:194  104 ÞZ;
as a wind rose (a plot of frequency of occurrence by where Z is the elevation in meters.
Wind Resource Base 467

This air density equation can be substituted into 0.06


the WPD equation for the determination of each K = 3.0
Avg WS = 5.0 mps for all curves

instantaneous or multiple average values. 0.05


K = 2.5

0.04 K = 2.0

Frequency
2.3 Wind Speed Frequency Distribution 0.03
K = 1.5

The wind speed frequency distribution characterizes


0.02
the wind at a given location in two ways. First, the
frequency distribution determines how often a given
0.01
wind speed is observed at the location; second, it
identifies the range of wind speeds observed at that 0
location. This analysis is often accomplished by 0 5 10 15 20
sorting the wind speed observations into 1-meter-per- Wind speed (mps)
second (m/s) bins and computing the percentage in FIGURE 1 Weibull distribution function for four values of k.
each bin. The wind speed distribution is important All curves have an average wind speed of 5.0 m/s.
because sites with identical average wind speeds, but
different distributions can have substantially differ-
2.4 Spatial Variation
ent wind resources. These differences can be as great
as a factor of two or three. Mapping spatial variations in wind resource is
The wind speed frequency distribution in many crucial to any wind resource assessment project.
areas can be closely approximated by the Weibull dis- The wind resource in an area can vary widely, even
tribution function. The Weibull function is defined as on a scale as small as a few hundred meters. The
resource also varies with height, usually increasing
f ðVÞ ¼ ðk=cÞðV=cÞk1 expðV=cÞk ; with height above ground.

where f(V) is the Weibull probability density function, 2.4.1 Wind Shear and the Power Law
the probability of encountering a wind speed of V m/s, Frictional effects cause the wind speed near the surface
c is the Weibull scale factor, which is typically related to be lower than that at greater heights above ground.
to the average wind speed through the shape factor, In the near-surface layer (o300 m above ground level
expressed in m/s, and k is the Weibull shape factor, [agl]), the wind shear, or variation of wind speed with
which describes the distribution of the wind speeds. height, often approximates a power law:
Detailed explanations of the Weibull distribution  a
function and its application are available in many h2
V2 ¼ V1 ;
texts. h1
Common values of k for measured wind speeds
where V1 is the wind speed at height h1 above ground,
are around 2.0, with a typical range of 1.5 to 3.0.
V2 is the wind speed at h2, and a is the shear exponent.
Higher values of k indicate a narrower speed
The value of a is around 1/7 (giving rise to the so-
distribution (more constant winds). Because of the
called one-seventh power law) for smooth terrain but
cubic nature of the wind power equation, lower k
can climb as high as 0.5 in areas of high surface
values have higher average wind power densities for
roughness or drop lower than 0.1 over very smooth
the same average wind speed. Figure 1 shows the
surfaces such as water or ice. A similar law can be
appearance of the Weibull distribution at different k
derived for wind power density, but the exponent
values. Values of k are useful for describing
will be 3a, because the power density is proportional
frequency distributions, deriving power classes
to the cube of the wind speed. This increase of wind
from wind speeds, synthesizing missing data, and
power density with height is the driving force behind
other uses.
the trend toward increasingly tall wind turbine
A useful approximation for k is
towers. Figure 2 shows how the wind speed and
h s i1:086 power vary with height for different values of a.
k¼ ; The power law equation can be used to extra-
V
polate measurements made at low levels up to the
where s is the standard deviation of wind speed, and expected turbine hub height. This can be particularly
V is the average wind speed. useful when trying to adjust meteorological station
468 Wind Resource Base

70 perpendicular to the wind direction. High wind


 = 0.10  = 0.15  = 0.20  = 0.30 resources can occur at relatively low elevations in
60
Height above surface (m)

mountainous regions where the air flow is channeled


50 through constrictions or corridors that enhance the
40 wind speeds. However, the higher wind speeds can be
accompanied by increased turbulence, so careful
30
study of such areas is needed before wind turbines
20 are installed.
Topography can lower the wind speed as well as
10
raise it. Examples of low wind areas include the lee
0 side of ridges, the areas immediately upwind and
1 1.2 1.4 1.6 1.8 2
Wind speed ratio downwind of hills, and areas of rough (many small
hills and valleys) terrain. Differential heating be-
70 tween two areas at different elevations can also affect
60
 = 0.10  = 0.15  = 0.20  = 0.30 the regional wind resource.
Height above surface (m)

50
2.5 Temporal Variations
40
Because the wind speed and direction change over
30
time, the wind developer must take these variations
20 into account when designing a wind project.
10
2.5.1 Interannual Variation
0 Annual average wind speeds at a given site can vary
1 2 3 4 5 6
from year to year. This variation is often up to
Wind power ratio
710% in wind speed, which translates into a 720 to
FIGURE 2 Wind speed and power shear curves for different 30% variation in wind power density. Shorter
values of the wind shear exponent a.
measurement periods (1 to 5 years) increase the
uncertainty of the annual averages.
data or other measurement data to the hub heights of
modern wind turbines. Above the near-surface layer, 2.5.2 Seasonal Variation
other effects can dominate the frictional effects, Wind variations that tend to repeat at the same time
causing a departure from the power law. of the year are called seasonal patterns. Seasonal
patterns in many areas of the world are complex and
2.4.2 Geographic and Climatological Effects are best determined by measured data. A single peak
Global circulation patterns, such as the mid-latitude in wind resource lasting 2 to 3 months is often
westerly winds and the equatorial trade winds, observed, although some regions have double-peak
dominate the wind climate in some regions. Large- or other seasonal patterns.
scale geographic features, such as the shape and
location of continents and oceans, can modify these 2.5.3 Diurnal Variation
patterns and create regions of good wind resource. Wind variations that tend to repeat on a daily basis
An example is the Isthmus of Tehuantepec in are called diurnal patterns. Many of these occur as a
Oaxaca, Mexico, where the high pressure found in pronounced maximum wind speed at the same time
the Gulf of Mexico and the low pressure of the (often the afternoon) each day. There may also be an
Pacific Ocean combine to form a strong north wind associated directional pattern. Diurnal patterns may
during much of the year. In other regions, differential vary over the course of the year with different
heating of oceans and land masses causes seasonal seasonal conditions.
winds such as the monsoon in the Indian Ocean. An example of a diurnal pattern is the onshore/
offshore winds found at coastal sites, where the wind
2.4.3 Topographic Effects blows toward the land during the day and toward the
Topographic features can have a major effect on sea at night. Diurnal patterns may vary by height
wind speeds and directions. Winds accelerate as they above ground and elevation above sea level. For
pass over hilltops and ridges that are oriented example, some sites may exhibit a daytime maximum
Wind Resource Base 469

near the ground (10 m) but a nighttime maximum wind energy utilization. The map, shown in Fig. 3,
near turbine height (50 m). Exposed ridge-crest was based on an analysis of available wind data,
locations frequently have a nighttime maximum and primarily from meteorological agencies, and other
a daytime minimum, both at the ground and at information to estimate the broad-scale distribution
turbine hub height. Some sites, such as offshore of annual average wind power throughout the world.
locations, do not exhibit significant diurnal variations. Vast areas of the world had very little or no reliable
surface wind measurement data. Thus, regional
2.5.4 Turbulence and Medium-Scale Variations climatological information and upper-air wind data
The wind can vary at timescales much shorter than the were used to estimate the wind resource in many
seasonal and diurnal scales. Rapid variations in wind regions. In spite of these limitations, this world wind
speed and direction can significantly affect turbine map has provided a good basis of information for
performance. Typically, inflow variations are modeled preliminary estimates of the wind resource on a
using some type of inflow simulation tools that broad scale. The map shows that every major
capture both the temporal and spatial variations in continent has substantial areas with good wind
the wind. These very rapid fluctuations, on a scale of a resource. With the exception of the equatorial
few seconds or shorter, are usually characterized as regions, the offshore wind resources are vast.
inflow turbulence. The effects of turbulence on a wind The worldwide wind resource map was first used
turbine are outside the scope of this particular work. in developing estimates of the global wind energy
potential in 1991. A study by the University of
Utrecht in the Netherlands estimated that 25% of the
3. BASELINE WIND world’s land surface has at least moderate wind
resource and 13% has at least good wind resource. In
RESOURCE STUDIES estimating the wind potential, the study assumed that
wind turbines would be installed on 10% of the
3.1 Global Wind Resource windy land area. The resultant global potential for
A worldwide wind resource map was produced in onshore wind power production from the higher
1981 by the U.S Department of Energy’s (DOE) wind resource areas was estimated to be slightly
Pacific Northwest Laboratory and published in a more than the world’s electricity consumption
World Meteorological Organization document on (1 terawatt [TW]) in 1987.

FIGURE 3 World wind resource map (1981).


470 Wind Resource Base

3.2 United States Wind Resource excluded windy lands that are not suitable for
development as a result of environmental and land-
In 1987, the DOE published the ‘‘Wind Energy
use considerations. Despite these exclusions, the
Resource Atlas of the United States.’’ This assessment
potential electric power from wind energy was
found that areas potentially suitable for wind energy
surprisingly large. Good wind resource areas, which
applications are dispersed throughout much of the
cover 6% of the contiguous U.S. land area, have the
United States. Figure 4 shows the distribution of the
potential to generate more electricity than the total
annual average wind resource estimates throughout U.S. electricity consumption in 1990. To provide
the United States. Major wind resource areas include
20% of the U.S. electricity, the study estimated that
much of the Great Plains from northwestern Texas
only about 0.6% of contiguous U.S. land area would
and eastern New Mexico northward to Montana,
have to be developed with wind turbines.
North Dakota, and western Minnesota; the Atlantic
coast from North Carolina to Maine; the Pacific
3.3 Other Countries or Regions
coast from Point Conception, California to Washing-
ton; the Texas Gulf coast; the Great Lakes; portions In addition to the United States, wind resource
of Alaska, Hawaii, Puerto Rico, the Virgin Islands, surveys have been conducted for many other
and the Pacific Islands; exposed ridge crests and countries and regions of the world by various
mountain summits throughout the Appalachians and organizations. For example, the comprehensive
the western United States; and specific wind corridors ‘‘European Wind Atlas’’ published in 1989 describes
throughout the mountainous western states. Updated the wind resources in the European Community
high-resolution wind resource (1-km or finer) maps countries. More detailed wind-mapping studies,
have been completed for many states and are either in including high-resolution wind resource maps, have
progress or planned for additional states. been completed or are being planned for many areas
In a study completed for DOE in 1993, estimates of the world.
of the electricity that could potentially be generated
by wind power and of the available windy land area
3.4 Offshore Areas
available were calculated for the contiguous United
States. The estimates were based on wind resource Offshore development in areas of high resource has
data published in the 1987 U.S. wind atlas and the potential to greatly expand the use of wind

FIGURE 4 United States wind resource map (1987).


Wind Resource Base 471

power, as seen in western Europe. Offshore wind sets. NREL has used is the DATSAV2 Surface
resource assessments have been completed for areas Climatic Database in much of its assessment work.
of Europe and the United States. DATSAV2 contains hourly surface weather observa-
tions from more than 20,000 meteorological stations
throughout the world. NREL has about 30 years of
global DATSAV2 data in its archive that span the
4. DATA SETS AND
period from 1973 to 2002. The NCDC is developing
ANALYSIS METHODS new global surface data sets that will be used in
future assessments.
An accurate wind resource assessment is highly
Many meteorological stations are located at air-
dependent on the quantity and quality of the
ports or in cities rather than at the potential wind
meteorological data input into a wind mapping
energy sites. The wind climate may be radically
system. Successful wind assessment methodologies
different a few kilometers away from these meteor-
used by the National Renewable Energy Laboratory
ological sites. A drawback to airport or city
(NREL) and other organizations rely on two major
observations is that the anemometer heights are
activities: (1) acquisition and development of com- usually between 6 m and 10 m above ground and
prehensive global data sets and (2) critical meteor-
must be extrapolated to heights that are useful for
ological analysis of these data.
wind resource assessment.
Advances in the available global data sets and
Marine wind data can be used to estimate the
analytical tools permit modeling and prediction of
wind resource for offshore areas. These data can also
the wind resource without having to rely on surface
be extrapolated to estimate wind resource at coastal
wind data. This is important because in many regions
and inland sites that are well exposed to the ocean
of the world, high-quality surface wind data are
winds. NREL uses two global marine data sets. The
sparse and often not available for areas of interest. first is the Marine Climatic Atlas of the World,
The use of upper-air (weather balloon) and satellite-
derived from historical ship observations and sum-
derived ocean wind data in an advanced computer
marized on a 1-degree grid. The other data set that
mapping system enables NREL and other organiza-
has proved to be quite valuable contains ocean wind
tions to produce wind resource maps with valuable
speeds at 10-m height derived from the special sensor
information even if high-quality surface wind
microwave imager (SSMI) measurements taken as
data are not available. Where available, reliable
part of the Defense Meteorological Satellite Program.
surface wind data can be used to verify the model
NREL has SSMI data covering the period from
estimates. 1988 to 2001 and is examining some other satellite
A broad variety of wind data sets (including
ocean data sets. One advantage of the SSMI data
surface observations, marine data, and upper-air
over the ship data is the much more uniform
data) should be analyzed as the initial step toward
coverage—ship data is concentrated in the primary
understanding the wind climate in a study area. The
shipping lanes.
use of multiple data sets is necessary because the
quality of data in any particular data set can vary and
because high-quality data can be quite sparse in 4.2 Upper-Air Data
many regions of the world. Some of these major
Upper-air data can be useful in estimating the wind
global data sets are described here. Local or regional
resource at low levels just above the surface and
meteorological data sets should also be evaluated.
vertical profiles of wind resource aloft for extrapola-
Local data sets may be provided by independent
tion to elevated terrain features. An important data
organizations, individual consultants, or governmen-
set for wind resource analysis is the global upper-air
tal departments.
observational ADP data from the National Center
for Atmospheric Research (NCAR) archive of the
U.S. National Centers for Environmental Prediction
4.1 Surface Data
(NCEP). This data set contains upper-air observa-
High-quality surface wind data from exposed sta- tions from rawinsonde instruments and pilot bal-
tions can give a good indication of the magnitude loons for approximately 1800 stations worldwide
and distribution of the wind resource in an area. The beginning in 1973. The ADP data is supplemented in
U.S. National Climatic Data Center (NCDC) is a areas without adequate upper-air data by two
source for many global surface meteorological data numerical weather model-derived climatological
472 Wind Resource Base

upper-air data sets. One is the Global Gridded speed and frequency by direction. The upper-air ADP
Upper-Air Statistics data set obtained from NCDC. data are processed to construct approximate vertical
This data set contains monthly means and standard profiles of the wind resource by geopotential height
deviations of climatic elements from 1980 to 1991 and other wind characteristic summaries similar to
for 15 atmospheric levels on a 2.5-degree grid. The those processed for surface data in order to evaluate
other model-derived upper-air data set is the Reana- the change of wind resource with elevation. NREL
lysis data set created by NCEP and NCAR. There are processes the SSMI satellite ocean wind data on a
more than 40 years (1958 to 1997) of global 25 km grid to evaluate wind resource in the vicinity
Reanalysis data, which contain wind, temperature, of islands and coastal areas.
and other variables on a 208-km grid. Reanalysis A critical analysis of the climatic data is
data are available in two different forms: constant performed to evaluate the quality of the data and
pressure-level data and Sigma-level (terrain-follow- determine the most representative data for a parti-
ing) data. NREL uses the Sigma-level Reanalysis data cular area. For example, the interannual data are
for wind resource analysis because they have good evaluated to identify obvious trends in the data or
vertical resolution in the lower boundary layer where periods of questionable data. Figure 5 shows an
the wind climate characteristics have a large influ- example of the ‘‘disappearing wind syndrome’’ that
ence on the available wind energy potential. occurs at meteorological stations throughout much
of the world. The data in the figure are from 79
meteorological stations in southeast China (exam-
4.3 Data Analysis Methods
ined as part of a detailed wind resource assessment)
This section describes the steps that NREL uses to and show the ratio of wind power in each year
analyze meteorological data. NREL processes the relative to that in 1974, the first year of data. The
raw data into useful summaries to perform detailed downward trend in the data indicates that the
analysis of the important wind characteristics. apparent wind power in southeast China decreased
Meteorological parameters such as wind speed, wind by 60% in 20 years. There is little chance that this
power density, wind direction, temperature, and decrease actually reflects a gradual change in the
pressure are extracted from the hourly observations wind climate caused by physical processes. It is
and used to create statistical summaries of wind more likely that the reduction in measured wind
characteristics. speeds is caused by new construction or vegetation
Statistical summaries of the surface station data growth around the meteorological stations and
include interannual, monthly, and diurnal variabil- possibly some degradation of the measurement
ities of the wind speed and power, and the wind equipment.

1.2

1.0
Wind power ratio to 1974

0.8

0.6

0.4
Data from 1974 to 1994 for 79 meteorological stations
in Southeastern China

Apparent wind power decreases by 60% over 20 years


0.2

0.0
1974 1976 1978 1980 1982 1984 1986 1988 1990 1992 1994
FIGURE 5 Graph of disappearing winds at southeast China stations.
Wind Resource Base 473

300

OLADE Atlas (1983) — City Wind Data


250 NREL Analysis (1995) — Airport Wind Data
Wind power (W/m2)

200

150

100

50

0
Merida

Campeche

Chetumal

Tampico

Ciudad Victoria

Matamoros

Durango

San Luis Potosi

Zacatecas

Chichuahua
Station
FIGURE 6 Comparison of wind speeds from Mexican city and airport stations.

Data from any nearby stations are compared to sites are determined by a combination of measure-
help assess the data quality. For example, Fig. 6 shows ments and fine-scale modeling.
a comparison of wind power estimates from city and
airport locations in Mexico. Wind data from airports
5.1 General Wind Mapping
are, in general, more reliable than data collected at
other locations in urban areas where the wind Regional wind resource maps are very useful tools in
measurements are likely to be reduced by buildings the wind prospecting stage of a project. Such maps
and trees. A small reduction of just 1 m/s in the cover an area of a few hundred to around a thousand
measured wind speed can result in a large reduction kilometers on a side and show estimates of the wind
(such as 30 to 50%) in the wind power density. power class on a grid. In the 1987 U.S. wind resource
atlas, the grid size was about 25 km by 25 km, but
the grid resolution of many maps is 1 km or finer.

5. RESOURCE ASSESSMENT 5.1.1 Empirical Models


METHODS A computer mapping system developed by NREL in
the 1990s uses an empirical and analytical approach
This section discusses the NREL methodology, plus to determine the wind resource value for a particular
other current wind resource assessment methods. location. This wind mapping system does not use
Wind resource assessment for wind energy develop- explicit atmospheric boundary layer equations or
ment is usually conducted in three stages of increasing geostrophic adjustment equations like some other
detail. The first stage, wind prospecting, identifies wind-flow models. It is designed to display large
candidate regions for further investigation. Tools used areas of detailed wind resource distributions at a
in this stage are numerical and empirical wind resource spatial resolution of 1 km2. These high-resolution
models as well as previous wind surveys. The next wind maps help identify areas where wind energy
stage, area wind resource evaluation, uses wind projects are likely to be economically feasible.
measurement systems and modeling tools to identify Underlying the empirical technique is the major
the best potential areas for more detailed evaluation. meteorological assumption that there are empirical
Micrositing is the final stage where locations of turbine relationships among the free-air (higher than 100 to
474 Wind Resource Base

200 m above the ground) wind speed, the wind speed tools developed at NREL. These complex packages
over the ocean (where applicable), and the distribu- feature a large number of routines for scientific
tion of the wind resource over the land areas. analysis along with tools used to display spatial
Empirical relationships have been determined in information.
previous NREL wind resource assessment work for
well-exposed (i.e., unobstructed by trees or build- 5.1.2 Numerical Models
ings, local terrain features) locations in diverse areas The numerical model wind mapping system com-
of the world. Accordingly, the wind resource values bines two types of computer models. The first type is
presented on the NREL wind maps are estimates for a scaled-down version of a numerical weather
nonsheltered locations with low roughness. NREL prediction model. These prediction models solve
uses a top-down method for adjusting much of the the equations of motion and explicitly account for
available wind data. This approach takes the free-air boundary layer processes such as energy balance and
wind speed and power profile in the lowest few fluxes, surface moisture and reflectivity, and local
hundred meters above the surface and adjusts these temperature differences. The internal physics of these
down to near wind turbine hub height (most often models are the basis for predicting the evolution of
50 m above ground). In this way, a wind resource the atmosphere in the study area for specified times
map with valuable information can be produced even from the start of a model simulation. The scaled-
if high-quality surface wind data are not available. down versions contain only those algorithms that
The quality of the final wind resource map account for physical processes that affect the wind
depends on the quality of the meteorological data flow. Scaled-down versions are used to reduce the
input into the wind mapping system. It is important time and cost it takes to complete all the simulations
to review and analyze the climatic data sets to select necessary to produce a representative wind map.
the highest quality data to develop the conceptual Climatological data is used as the initial condition
model and meteorological inputs to the mapping for each simulation as well as lateral boundary
system. The data analysis and screening process is conditions for the model. There are a variety of
designed to allow an analyst to develop a conceptual methods that can be used to prepare the climatolo-
model of the physical mechanisms that influence the gical data for input. Each simulation generates wind
wind flow in the study region. The conceptual model and other meteorological variables throughout the
guides the development of the empirical relationships model domain, for a particular day, and the
that serve as the basis of the algorithms that calculate information is stored by set intervals.
the wind power values seen on the maps. In addition to climatological data, there are
The mapping system combines meteorological geophysical inputs into the numerical model. The
input, wind power calculation modules, and digital geophysical inputs include elevation, soil moisture,
terrain data to produce the final wind resource maps. and land cover data. The models translate these data
The global terrain data have a resolution of 1 km2, into important surface parameters such as energy
and higher resolution terrain data sets are available fluxes and surface roughness.
in some areas. The meteorological inputs are wind The numerical models are generally run with
power roses, vertical profiles of wind power, and horizontal resolutions from 1 to 5 km, depending on
open ocean wind power where appropriate. The the particular study region. There is no physical
meteorological data are initially used in determining limitation to the horizontal resolution used by these
a base wind power value for each grid cell. The models, although higher resolution requires longer
mapping system calculates the final wind power computing time.
density by adjusting the base wind power density. Often, a mass-conserving wind-flow model is used
The factors that increase or decrease the base wind in conjunction with the numerical prediction model
power density include terrain considerations, relative to produce wind resource estimates for horizontal
and absolute elevation, aspect (slope of terrain resolutions lower than 1 km2. The wind-flow models
relative to the prevailing wind direction), distance take the results of the numerical models as input and
from ocean or lake shoreline, and the influence of use surface roughness and terrain to estimate the
thermal or other types of small-scale wind-flow wind resource for the smaller grid cells. Though the
patterns. wind-flow models are not as sophisticated as the
The final wind resource maps are generated using numerical models, they are much less expensive to
commercially available geographic information sys- use for the higher resolution estimates and the results
tem (GIS) software packages and custom GIS-based are similar to what the numerical models produce.
Wind Resource Base 475

5.1.3 Model Validation TABLE I


The results of any wind resource model must be Wind Power Classification
validated in order to have confidence in its estimates.
Validation is the process of comparing selected wind Wind power Wind speeda
resource estimates from the model with actual Resource potential density (W/m2) (m/s)
Class (utility-scale) @ 50 m agl @ 50 m agl
measured data from the same location. By comparing
actual measured data from many sites with the model 1 Poor 0–200 0.0–5.6
output, a measure of prediction quality can be 2 Marginal 200–300 5.6–6.4
derived. If the quality is not as good as desired, the 3 Fair 300–400 6.4–7.0
model can be refined and if necessary rerun, 4 Good 400–500 7.0–7.5
generating a new set of estimates that can be 5 Excellent 500–600 7.5–8.0
compared to reality. A good wind resource model 6 Excellent 600–800 8.0–8.8
will estimate values at most validation points that are 7 Excellent 4800 48.8
within 10% in wind speed and 20% in wind power
a
density and will not show a consistent bias toward Mean wind speed is estimated assuming a sea level elevation
either over- or under-prediction. and a Weibull distribution of wind speeds with a shape factor (k) of
2.0. The actual mean wind speed may differ from these estimated
values by as much as 20%, depending on the actual wind speed
5.2 NREL’s Products distribution (or Weibull k value) and elevation above sea level.

5.2.1 Wind Power Classification


The values on the wind resource maps produced by maps developed for southeastern China are helping
NREL are based on the wind power density, not wind energy developers concentrate their efforts on
wind speed. Wind power density is a better indicator the areas with the greatest resource.
of the available resource because it incorporates the Figure 8 compares the old wind resource map of
combined effects of the wind speed frequency North and South Dakota from the 1987 U.S. wind
distribution, the dependence of the wind power on atlas to the new high-resolution (1-km) map generated
air density, and the cube of the wind speed. by NREL’s wind mapping system in 2000. The most
To simplify the display and comparison of wind striking difference between the two maps is the
power, a seven-level wind power classification precision of the wind resource pattern on the newer
scheme was devised. The choice of levels was made map. The new map clearly depicts the variation in the
solely for convenience in categorizing regions of wind resource that results from subtle terrain features.
similar wind resource and is not indicative of any In fact, the considerable variation of the wind resource
physical or meteorological boundaries. across the seemingly flat terrain of this region was one
Table I shows the wind power classifications for of the primary results of this project. The older
utility-scale applications. Wind resource areas of resource estimates were generated using a manual
Class 4 and higher are considered suitable for utility- interpretation of terrain maps and meteorological
scale wind power development with 2003 technology data. The new resource estimates were generated
and energy costs. Rural or off-grid applications using GIS software, high-resolution terrain data, and
generally require less wind resource to be viable. more sources of meteorological input data. The end
Class 2 and higher resources may be sufficient for result is a resource map that depicts the potential wind
these applications. resource in more detail and with better accuracy. The
new map was validated using data from seven 40-m
5.2.2 Wind Resource Maps towers installed by utilities. At six of the seven sites,
The primary product of NREL’s mapping system is a the wind power estimates were within 20% of the
wind power density map in units of W/m2 for a measured WPD values. This level of accuracy (480%
specified height above ground, typically 30 or 50 m. of validation sites within 20% of measured power) is
Figure 7 is a wind resource map for the central coast typical of the updated maps that NREL has produced.
of Fujian Province in southeastern China. The To make the wind maps more useful, other
region’s geographical features include an indented information, such as transmission lines and voltages,
shoreline with hills along the coast, a narrow coastal federal lands, exclusion zones, or Indian reserva-
plain in some areas, and mountainous terrain within tions, is often added. In addition to maps of the wind
50 km of the coast. The best resources are found on resource, the GIS system can also produce other
exposed coastal areas and higher inland ridges. The types of maps that can be used in combination with
476 Wind Resource Base

118° 118°30’ 119° 119°30'


★ ✚

Pingtan★
25°30' 25°30'


✚ ■

Putian

✚ Wind Power Classification
Wind Power Wind Speeda
Resource Density at 30 m at 30 m
Honglai■ Potential W/m 2
m/s

25° 25°
Fair 100 − 200 4.4 − 5.6
✚ Moderate 200 − 300 5.6 − 6.4
Quanzhou ■ ✚ Good 300 − 500 6.4 − 7.5

Excellent > 500 > 7.5
Qingyang ★ aWind speeds are based on a Weibull k value of 2.0
✚ ■
Anhai estimated for many coastal areas of SE China.

★ GTS Surface Meteorological Station


24°30' ★


24°30' ❑

GTS Surface Meteorological Station
Additional Surface Meteorological Station


Xiamen ■ City

20 0 20 40 60 80 Kilometers

24° 24°

118° 118°30' 119° 119°30'

FIGURE 7 China coastal region wind resource map (2002).

Wind Power Classification


Wind Resource Wind power Wind speeda
power potential density at 50 m at 50 m
class W/m2 m/s
2 Marginal 200 − 300 5.6 − 6.4
3 Fair 300 − 400 6.4 − 7.0
4 Good 400 − 500 7.0 − 7.5
5 Excellent 500 − 600 7.5 − 8.0
6 Outstanding 600 − 800 8.0 − 8.8
7 Superb 800 − 1600 8.8 − 11.1
aWind speeds are based on a Weibull k value of 2.0.

FIGURE 8 North and South Dakota 1987 (left) and 2000 (right) wind resource maps.

the wind resource maps, such as maps of color-coded particular grid cell in a region of high wind energy
elevation, hill-shaded relief, political features, me- potential. The important factors in NREL’s assess-
teorological stations, and other measurement sites. ment of wind electric potential are land-use and
An example of a final validated wind resource map environmental restrictions for each grid cell.
for Wyoming that includes transmission lines and Not all areas identified in a basic wind resource
Indian reservations is shown in Fig. 9. assessment will be suitable for wind energy develop-
ment. Areas that may be excluded from development
include the following:
5.3 Wind Electric Potential *
Developed or urban areas
Several factors determine the amount of land area *
Parks and wilderness
suitable for wind energy development within a *
Wildlife habitat
Wind Resource Base 477

110° 108° 106° 104°

44°

44° Wind River Indian Reservation

Transmission linea
Voltage (kV)
69
115
230
345
42°
a
Source: POWERmap, 2002 Platts,
A Division of the McGraw-Hill Companies

42°

Wind Power Classification 40 0 40 80 120 160 Kilometers


a a
Wind Resource Wind power Wind speed Wind speed
110° power
class
potential density at 50 m
W/m2
at 50 m
m/s
at 50 m
mph
25 0 25 50 75 100 Miles

2 Marginal 200 − 300 5.6 − 6.4 12.5 − 14.3


The wind power resource data for this map was 3 Fair 300 − 400 6.4 − 7.0 14.3 − 15.7 U.S. Department of Energy
produced by TrueWind Solutions using the 4 Good 400 − 500 7.0 − 7.5 15.7 − 16.8 National Renewable Energy Laboratory
Mesomap system and historical weather data. 5 Excellent 500 − 600 7.5 − 8.0 16.8 − 17.9
6 Outstanding 600 − 800 8.0 − 8.8 17.9 − 19.7
It has been validated with available surface data
7 Superb > 800 > 8.8 > 19.7
by the National Renewable Energy Laboratory a
Wind speeds are based on a Weibull k value of 2.0
and wind energy meteorological consultants.
25-SEP-2003 2.1.2

FIGURE 9 Wyoming wind resource map (2002).

*
Wetlands a factor of 5 MW/km2 of available land. Values can
*
Areas of steep (420%) terrain and other topo- be substantially higher depending on the wind
graphic exclusions climate and terrain, but those factors are generally
*
Areas too far from the electric grid evaluated at the micrositing level.

These areas are readily identified within a GIS 5.4 Area Wind Resource Evaluation
software package, which provides spatial analytical
capabilities. The GIS allows a more precise estimate 5.4.1 Wind Monitoring Programs
of wind resource potential by directly overlaying the A properly-run wind monitoring program should
exclusions with the wind resource. The spatial follow the identification of prospective wind energy
databases that describe the exclusions are easily development areas. Measurement towers installed at
updated and reapplied to accommodate changing various locations throughout the area can confirm
policy perspectives and new data. the estimates made by the models, help locate turbine
The wind electric potential per grid cell is installation sites, and provide estimates of the final
calculated from the available windy land and the wind energy production of the project.
wind power classification assigned to each cell. The
amount of potential electricity that can be generated 5.4.2 Equipment
depends on several factors, including the estimated The minimum configuration for a wind monitoring
wind resource, spacing between wind turbines, the site consists of a single anemometer and wind vane
efficiency of the machines, and the estimated energy mounted on a tower. The minimum tower height
losses caused by factors such as wind turbine wakes should be 10 to 20 m. If trees or other obstructions
and blade soiling. A conservative estimate of exist near the tower, the tower height should be
potential installed capacity can be obtained by using increased. A data logger located at the bottom of the
478 Wind Resource Base

tower records the wind data at 10-minute or 1-hour ing software produced by various companies and
intervals. If funds permit, a taller tower (40 or 50 m organizations can greatly aid this process.
in height) can be installed, and other instrumenta-
tion, such as redundant anemometers, multiple
measurement levels, and other sensors (e.g., tem- 6. STATUS OF WIND
perature, pressure, solar radiation), can be added. RESOURCE PROJECTS
Taller towers are preferred in order to obtain
measurements at or near the hub heights of modern High-resolution wind resource maps and comprehen-
wind turbines. sive wind resource atlases have been produced for
various countries or areas of the world. For example,
5.4.3 Instrument Siting NREL and its collaborators have performed wind
The tower and instruments must be installed at resource assessments and generated high-resolution
locations that are representative of the resource in wind maps of Armenia, the Dominican Republic, the
the area while minimizing the effects of any nearby Maldives, Mongolia, the Philippines, and Sri Lanka.
obstructions (e.g., trees, buildings). Proper siting of a Assessments were also done for specific areas of
tower to ensure the highest quality data collection Chile, China, Indonesia, Mexico, Russia, and the
requires considerable skill, and the use of experi- United States. As suggested on the cover of the
enced consultants is recommended. Mongolia wind atlas shown in Fig. 10, the wind
resource information is intended to be useful for both
5.4.4 Time Period small wind turbine and utility-scale applications.
Each site must record data for a minimum of 12 Many of NREL’s international wind resource maps,
months to get a complete picture of the seasonal and some produced by others, can be found at
variation. Although 18 months to 2 years of data will www.rsvp.nrel.gov. High-resolution wind resource
give better confidence in the measurements, the time maps for additional countries have been produced
period must be balanced with other project constraints. by organizations such as TrueWind Solutions, Ris
National Laboratory, and Garrad-Hassan.
5.4.5 Data Analysis
The first step in data analysis is quality control of the
data. Erroneous data can be caused by factors such
as anemometer icing, equipment failure, and opera-
tor error. Bad data must be identified and removed.
The data can then be analyzed and statistics
computed on both monthly and annual bases. There
are many statistical quantities that could be com-
puted, with some of the most useful being:
*
Annual average wind speed, wind power density,
and power class
*
Speed and power by month (seasonal)
*
Speed and power by hour (diurnal)
*
Frequency and speed by direction (both annual
and monthly)
*
Wind speed frequency distribution
*
Wind shear (if using more than one measurement
level)
Tabular and graphical displays of these statistics aid
in the analysis.

5.5 Micrositing
The final stage of project development is micrositing,
where the precise locations of wind turbine installa-
tion sites are determined. Special microscale model- FIGURE 10 Mongolia wind resource atlas cover (2001).
Wind Resource Base 479

Detailed wind maps and other resource data have AWS Scientific (1997). ‘‘Wind Resource Assessment Handbook,’’
facilitated the rapid identification of good wind NREL/SR-440–22223, National Renewable Energy Labora-
tory, Golden, CO, www.nrel.gov.
resource areas and led to more successful prospecting Brower, M., Bailey, B., and Zack, J. (2001). ‘‘Applications and
and measurement efforts. This new wind resource Validations of the MesoMap Wind Mapping System in
information has accelerated the use of both small Different Climatic Regimes.’’ Windpower 2001 Proceedings,
wind and utility-scale wind energy technologies. As American Wind Energy Association, Washington, DC.
government and industry groups seek information to Cherry, N. J., Elliott, D. L., and Aspliden, C. I. (1981). ‘‘World-
wide Wind Resource Assessment.’’ In Proceedings of Fifth
more accurately assess the wind energy potential and
Bienneal Wind Energy Conference and Workshop (I. E. Vas,
identify promising locations, the interest and demand Ed.), Vol. 2, pp. 637–648. Seri/CP-635–1340, CONF-811043,
for detailed high-resolution wind resource maps and Vol. 2, National Technical Information Service, Springfield, VA.
other relevant data are intensifying. Elliott, D. (2002). Assessing the world’s wind resources. IEEE
A project funded by the United Nations Environ- Power Engineering Rev. 22(9), ISSN 0272–1724.
ment Programme (UNEP) is expanding wind map- Elliott, D., Holladay, C., Barchet, W., Foote, H., and Sandusky, W.
(1987). ‘‘Wind Energy Resource Atlas of the United States,’’
ping to many additional areas of the world. In
DOE/CH 10093–4, National Renewable Energy Laboratory,
addition to wind resource maps, the UNEP Solar and formerly Solar Energy Research Institute, Golden, CO, http://
Wind Energy Resource Assessment (SWERA) project rredc.nrel.gov.
will include the development of solar resource maps Elliott, D., and Schwartz, M. (2002). ‘‘Validation of New Wind
and a GIS interface. In the first phase of this project, Resource Maps,’’ WindPower 2002 Proceedings, American
high-resolution wind maps are being developed for Wind Energy Association, Washington, DC. NREL/CP-
500–32536, National Renewable Energy Laboratory, Golden,
six countries in Latin America (Cuba, Guatemala, El
CO.
Salvador, Honduras, Nicaragua, and Belize), three Elliott, D., Wendell, L., and Gower, G. (1991). ‘‘An Assessment of
countries in Africa (Ghana, Ethiopia, and Kenya), the Available Windy Land Area and Wind Energy Potential in
and three countries in Asia (Nepal, Bangladesh, and the Contiguous United States,’’ Report No. PNL-7789, Na-
specific regions of China). tional Technical Information Service.
European Wind Energy Association (EWEA), www.ewea.org.
In the United States, efforts such as U.S. Depart-
Frank, H., Landsberg, L., Rathmann, O., Mortensen, N., and
ment of Energy’s (DOE’s) Wind Powering America Petersen, E. (2001). ‘‘The Numerical Wind Atlas–The KAMM/
program are stimulating interest in wind energy and WASP Method.’’ Windpower 2001 Proceedings, American
the development of updated wind resource informa- Wind Energy Association, Washington, DC.
tion in the form of maps and data. High-resolution Frost, W., and Aspliden, C. (1994). Characteristics of the Wind. In
wind resource maps have been completed for many ‘‘Wind Turbine Technology,’’ Chapter 8 (D. A. Spera, Ed.),
American Society of Mechanical Engineers.
states, and projects are under way or planned for
Heimiller, D. M., and Haymes, S. R. (2001). ‘‘Geographic
many additional states. The primary approach is a Information Systems in Support of Wind Energy Activities at
public/private cooperation between NREL and U.S. NREL,’’ 39th AIAA Aerospace Sciences Meeting Proceedings,
companies to produce and validate the wind resource Reno, NV. NREL/CP-500–29164, National Renewable Energy
maps. These new maps are instrumental in helping Laboratory, Golden, CO, www.nrel.gov.
state and local officials, project developers, utilities, National Wind Technology Center, National Renewable Energy
Laboratory, www.nrel.gov.
and landowners identify suitable wind sites for more Pennell, W. (1983). ‘‘Siting Guidelines for Utility Application of
detailed evaluation. Wind Turbines,’’ Report No. EPRI AP-2795, Electric Power
Research Institute, Palo Alto, CA.
Ris National Laboratory, www.risoe.dk.
SEE ALSO THE Rohatgi, J., and Nelson, V. (1994). ‘‘Wind Characteristics: An
Analysis for the Generation of Wind Power.’’ Alternative
FOLLOWING ARTICLES Energy Institute, West Texas A&M University, Canyon, TX.
Schwartz, M., and Elliott, D. (2002). ‘‘Remapping of the Wind
Hydropower Resources  Land Requirements of Energy Resource in the Midwestern United States, NREL/AB-
Energy Systems  Wind Energy Economics  Wind 500–31083.’’ National Renewable Energy Laboratory, Golden,
Energy, History of  Wind Energy Technology, CO.
Troen, I., and Petersen, E. L. (1989). ‘‘European Wind Atlas.’’
Environmental Impacts of  Wind Farms Commission of the European Communities, Ris National
Laboratory, Roskilde, Denmark.
Further Reading U.S. Department of Energy, Office of Energy Efficiency and
American Wind Energy Association, www. awea. org. Renewable Energy, www.eere.energy.gov.
American Wind Energy Association (AWEA) (1993). ‘‘Recom- World Meteorological Organization (1981). ‘‘Meteorological
mended Practice for the Siting of Wind Energy Conversion Aspects of the Utilization of Wind as an Energy Source,
Systems,’’ AWEA Standard 8.2. Technical Note No. 175.’’ Geneva, Switzerland.
Women and Energy: Issues in
Developing Nations
NJERI WAMUKONYA
United Nations Environment Program Collaborating Center
on Energy and Environment
Roskilde, Denmark

analysts and practitioners as a response to advocacy


1. Introduction to enhance gender equity. The link between women
2. Historical Context and energy has been mainly within the household
3. A Women’s or a Poverty Problem? framework and in the rural context. Women have
4. Do Stove Programs Address Women’s culturally been largely responsible for cooking and,
Energy Problems? hence, providing energy for this purpose. Biomass
5. Household Energy and Health: A Women’s Problem? fuels are the main source of energy in rural areas, and
6. Will Improved Stoves Improve the Health Situation? its procurement involves drudgery. The fact that this
drudgery has been experienced by women justifies the
7. Does Increasing the Supplies of Biomass Fuel Help?
case for a focus on women and energy. The extent to
8. Will Electricity Help Women?
which this approach has contributed to gender equity
9. Will Saving Time Help Women to Engage in More and poverty alleviation remains to be established.
Productive Activities?
10. Do Women Really Have Energy Needs Different from
Those of Men?
11. Energy Decisions: Are They All Made by Men? 1. INTRODUCTION
12. Will Access to Energy Increase Women’s
Income-Earning Possibilities? Inequity along gender lines has been one of the main
13. Conclusions: Areas for Further Research factors driving the establishment of women-focused
programs and calls for gender mainstreaming. The
issues of ‘‘women and energy’’ and ‘‘gender and
Glossary energy’’ have been on the agenda since the 1970s and
contextualization Taking the prevailing political, social,
1980s. An important response to women and energy
and economic environment into account in analyzing issues is the allocation of budgets to women and
situations and making recommendations. energy programs by donor agencies, necessitating
decentralized systems Typically electricity-generating facil- suitable responses in the form of project proposals
ities that are isolated and not connected to a centralized and projects. In development circles, a call has been
grid; the power can be generated from any fuel source made for the inclusion of women in energy projects.
(e.g., diesel). Specially targeted projects are also common. In such
energy service The activity that can be derived from interventions, women are identified as recipients of
injecting energy (e.g., grain milling).
gender A socially constructed relationship between men
project and program benefits.
and women. The suffering of women and children in fuelwood
informal Not in the conventional macroeconomic frame- procurement has been the main rationale for
work. women-focused energy initiatives. The resultant
initiatives have been in the form of projects and
policy suggestions. Projects include promoting im-
Women and energy in the developing country context proved stoves and enabling the adoption of solar
is a theme that is being advanced by some energy home systems through women-targeting financing

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 481
482 Women and Energy: Issues in Developing Nations

mechanisms. Activities have also been undertaken to basis that they are made necessary by the low
help incorporate women into various energy poli- incomes in these countries.
cies, programs, and projects at national, regional, The rest of the article is structured as follows.
and international levels. First, it provides a historical context on the issue with
Many initiatives are responses to the documenta- the aim of endeavoring to understand why the
tion on links between women and energy—links women and energy issue is addressed in the manner
ranging from physical burdens to health problems. it is. Using leading questions, the article then attempts
Most of this literature has been based on ideological to understand whether current initiatives can meet
concerns where women are seen as the weaker sex the objective of improving women’s energy problems.
and so naturally disadvantaged in energy matters. Finally, the article concludes by identifying areas for
The perception of women as victims of men shapes further research.
the analyses of their roles in energy procurement and
use. As a result, the root causes of the problems
relating to energy tend to be downplayed and rarely 2. HISTORICAL CONTEXT
explored sufficiently in the literature on women and
energy. Most of the literature suffers from inadequate The role of women, particularly rural women, in
empirical investigation. In many cases, evidence is energy procurement began to receive attention after
presented in a manner that seems biased toward the energy crisis of the 1970s, mainly because
ideology rather than facts; old data and data from a escalating oil prices forced an increased shift toward
restricted number of studies are recycled with the aim biomass. At the same time, there was more attention
of demonstrating the women/energy-linked problems being paid to the poor, emanating from the basic
and justifying special attention to women. In this needs approach. The growing focus on rural devel-
way, the myths are sustained. opment during the mid-1970s also drew attention to
The consequence of the formulation of women the dependence of rural people on the products from
and energy issues has been focused largely on the forests, woodlands, and trees, particularly on fuel-
provision of energy as an isolated commodity. But as wood. A 1975 publication noted the increased
often is indicated, energy is not an end in its own demand for woodfuel and the perception that
right; rather, the service from energy is what is demand outstripped supply and was responsible for
important. The extent to which the women and deforestation, raising concern for what was referred
energy approaches have achieved the intended goals to as ‘‘the other energy crisis’’ and necessitating
of alleviating women’s energy-related problems better understanding of the supply-and-demand
remains limited. It is likely that this could be situations. This resulted in application of the ‘‘gap
attributed to the conception of the problem. This theory’’ by various authors, including O’Keefe and
article explores the literature with the aim of Raskin in 1985 and Anderson in 1986, identifying a
determining the realities of the issues as perceived gap between supply and demand and resulting in
and attempting to chart a way forward. country forecasts that predicted critical shortages.
The women and energy approach has been Although the gap theory has been challenged
predominantly a developing country phenomenon. extensively in various works, such as those by
Why have the issues not attained similar importance Bradley and Campbell in 1998, it nevertheless
in the developed world? The answer lies in the far formed the basis for defining the woodfuel crisis.
higher level of economic growth and access to This definition focused on the biological yields of
modern energy carriers in developed countries. biomass, ignoring the socioeconomic, cultural, and
Energy services in the developing countries are historical factors that influenced the management of
survival–developmental issues, a stage the developed the resource. The crisis was also simplistically
world has passed. As Martine and Villarreal high- defined in terms of the time and labor required to
lighted in a 1997 study, the rural and traditional loci gather fuelwood. Furthermore, conclusions for most
of gender issues by extension render the related regions and countries were based largely on extra-
energy problems gender irrelevant in the developed polating results from a few samples from a limited
countries. This prompts the question of whether a number of countries.
gendered approach can address the real issues—a The women’s dimension of the energy problem was
question that guides the discussion in the rest of this highlighted through works done by the International
article. In a 1995 report, Parikh justified gender- Labor Organization (ILO) and others during the 1970s
related energy policies in developing countries on the and 1980s, including those by Cecelski, Agarwal, and
Women and Energy: Issues in Developing Nations 483

Eckholm. The economic crisis caused by the oil price the development programs in developing countries,
hikes had kick-started interest in the whole question of and the role of technology in this matter. This
energy, and studies started to be conducted showing initiated the establishment of Women in Develop-
that in developing countries households were principal ment (WID) networks in the North, which later
energy consumers and the bulk of this energy was for formed links with the South.
cooking and was woman based. For the first time, the Within the WID discourse, women were the focal
dominant role of women in procuring this vital points and the number of women participating in a
resource was recognized and highlighted as a major program was considered to be a key indicator of
problem, both because a large amount of women’s progress. WID also generally considered women as a
time appeared to be absorbed in energy-related activity homogenous group and hinged the argument of
and because of the drudgery of carrying heavy loads of women as a special group to a welfare approach.
firewood over long distances (up to 10 km was Predominantly, during the 1970s, there was a feeling
regarded as normal). Later, the role of children in that women’s welfare had been ignored in the past,
gathering fuelwood was also recognized. so in the context of energy, stove programs were set
However, this women’s dimension was contextua- up to reduce drudgery. WID emphasized support for
lized largely in a rural situation, perhaps because the women within their traditionally defined roles (e.g.,
entry point had been the fuelwood energy crisis and a as mothers, as household carers). From an energy
large number of the women resided in rural areas. In perspective, household energy, particularly energy
a 1995 report, Skutsch noted that donor programs for cooking, became the main focus. As Skutsch
had an implicit bias toward rural rather than urban noted in a 1995 study, WID aimed at improving
household energy. Therefore, the early work cap- women’s welfare without making women self-suffi-
tured mainly the women and energy issues within cient. These shortcomings with the WID approach
rural household economics and time budget/labor resulted in a divergent school of thought during the
discourses. The time spent and the drudgery suffered late 1980s: distinguishing sex from gender. The
by women and children in gathering fuelwood and emerging concept was referred to largely as ‘‘gender
other biomass fuels for household cooking needs and development’’ (GAD). GAD placed more em-
were (and still are) highlighted as the main problems phasis on the participation of women in the whole
and rationale for intervention. In a 1975 report, process. In the energy context, this meant consider-
Eckholm provided graphic descriptions of further ing energy not just for welfare reasons but also as a
hardships suffered by the fuel gatherers as a result of means of empowerment (e.g., women as energy
deforestation. Some works, such as a 2003 study by entrepreneurs, women as decision makers about
Laxmi and colleagues, also reported that the burden energy). This also meant focusing not just on stoves
involved is so large that children are kept out of but also on types of energy that would ‘‘empower’’
school to gather biomass fuels. The amount of time women, giving them more chances to earn income,
spent on gathering fuelwood and the distances broaden their horizons, and so on.
covered are widely cited, although only a few Increasing global environmental concerns, moti-
empirical studies have actually been undertaken. In vated by Brundtland’s report on Our Common Future
many articles, the time is cited without a reference in 1987, captured the attention of ecofeminists on the
point, for example, a 1997 article in which Nyoni link between environment and women, resulting in a
referred to a study finding that 37.8% of respondents women, environment, and development (WED) dis-
in Zimbabwe spent 1 to 2 h collecting firewood but course, making women the central focus of environ-
did not indicate frequency. mental concerns, and arguing that women have an
As a result of these kinds of studies, the idea arose affinity with the environment and are best placed to
that in developing countries household energy is safeguard it. The WED discourse, which Jackson
essentially a women’s problem and, consequently, noted in a 1993 study is driven largely and sustained
that women-centered approaches should be taken in by nongovernmental organizations (NGOs) and
dealing with the problem. What was happening in oriented to radical ecofeminism, advances the theory
the energy field is also a reflection of the general that women naturally care for the environment and
trend in paying increasing attention to women. The have profound knowledge of plants, animals, and
works of Boserup during the 1970s, articulated in ecological processes. In the energy context, women
her book Women’s Role in Economic Development, are seen as victims of environmental degradation and,
drew attention to the economic disparities between as a result, suffer drudgery in gathering fuelwood.
women and men, the lack of integration of women in Another dimension that is increasingly gaining favor
484 Women and Energy: Issues in Developing Nations

is the perception of women as guardians of the women’s involvement. The World Energy Council
environment, with women being expected to adopt (WEC) noted in 2000 that, despite intense degrada-
renewable energy and decentralized energy technol- tion of the biomass energy resource base in some
ogies because these are considered to be environ- areas, investments to improve kitchens, stoves, and
mentally friendly. In a 1999 report, Tisch noted that cooking fuels either do not figure in the hierarchy of
at the community level, women are effective and household expenditures or appear low on the list,
efficient managers of renewable energy systems and mainly because the livelihoods of these households
that, once these alternatives to ecologically damaging are also under pressure and this is a more urgent
energy resources are made available, rural women priority.
use renewable energy technologies and benefit In well-off households, either fuelwood and other
from the improved standards of living, enhanced biomass fuels are gathered by paid help or the wood
economic opportunities, and cleaner and more is bought and delivered to the house by motorized
sustainable environment they offer. Although the transport, mainly by men. In a study of rural India
WED thinking is largely unproven, it seems to have reported in 2002, the Energy Sector Management
had a substantial influence on women and energy Assistance Program (ESMAP) noted that lower
approaches. In fact, the literature reveals that it is not income groups spend more time collecting fuelwood
uncommon to make conclusive and influential state- mainly because they cannot afford to purchase it or
ments on links between women and energy without access alternatives but also partly because the
empirical evidence. resources nearby are depleted to serve the commer-
In general, women are seen as the procurers and cial market created by higher income households
managers of energy, particularly in rural areas. On whose members purchase fuelwood in large quan-
the other hand, despite these important roles, women tities. As reported by Miah and colleagues in 2003,
are also seen as lacking decision-making power on rich rural households in Chittagong, Bangladesh,
issues relating to the energy system. The contextua- purchase 47% of their biomass fuel from the market
lization of the women and energy issues and and obtain the rest from homestead and agricultural
responses to them demand rethinking, particularly fields. They noted that medium-category households
given ongoing reforms in the energy sector and calls purchase 36% of their needs, whereas the poor only
for gender mainstreaming. It is important to evaluate collect biomass fuels from forests and fields. Further-
the achievements of past approaches on women and more, poor men and women sell their labor for
energy issues and to establish their relevance. To this agricultural activities and are partially paid with
end, the following discussion aims to address some residues that they use as fuel.
leading questions. Certain presuppositions are con- Rural areas lack access to modern energy forms
sidered, including that the problems are fundamen- that are generally easier to procure elsewhere (e.g., in
tally women’s problems, that certain technologies towns). However, where they are available in rural
will solve the problems, that women’s needs are areas, the predominant limiting factor to their
unique, and that increasing energy access will consumption in households is cost. A study of rural
improve women’s incomes. Rajasthan, India, reported by Laxmi and colleagues
in 2003 found that as fuelwood became scarce,
households switched to either commercial fuels or
lower value fuels such as dung and straw, depending
3. A WOMEN’S OR on income group and/or geographical area. In
A POVERTY PROBLEM? another Indian study published in 2002, ESMAP
noted that although electricity has reached 90% of
Although rural women and girls may generally bear a the villages in India, only 40% of rural residents have
larger burden of gathering biomass fuels than do men adopted it and most of the remaining households are
and boys, the underlying factors might not have been poor. Depending on where a house is located with
fully accommodated in the design of solutions. By reference to a substation in a grid-connected area,
socialization, women tend to be responsible for costs of connection can be prohibitive. Decentralized
cooking and, by extension, for cooking fuel procure- technologies for household electrification are also
ment. However, this might not necessarily imply that not cheap, and in most cases only well-off house-
women do so because they are women; it may be due holds can access them. Women and energy advocates
to many factors, including the financial status of argue that special financing programs targeting
households. Availability of fuelwood also influences women should be set up to provide women with
Women and Energy: Issues in Developing Nations 485

access to cheap loans for advanced technologies and In their 2003 study, Laxmi and colleagues found that
modern energy procurement, particularly electricity nonavailability of kerosene for cooking restricts its
and gas. Whether such measures address the real use more than does nonaffordability. By paying more
energy problems of women is an issue that is attention to such trends that are unrelated to gender
explored in later sections of the article. An important issues, strategies can be established to enable house-
aspect that has not been well researched is the impact holds to shift. Under such circumstances, a more
of such programs targeting different members of the open approach, rather than a narrow orientation
household on the social structure. A 1998 report by toward women, might produce effective solutions.
the Food and Agricultural Organization (FAO) noted The inability to purchase appliances and get
that targeting women can result in a backlash of connections certainly limits any switch to modern
resentment by men against what they see as an fuels. Various efforts have been made to enable
excessive emphasis on women in development women to acquire household energy appliances. In
programs. This confirms need for better understand- July 1999, the state government of Andra Pradesh,
ing of the implications in the energy sector. India, launched the Deepam Scheme, which pays the
The focus on women as the providers of cooking initial LPG filling fee for women who belong to self-
energy may have shortcomings, and some important help groups and whose households are classified as
factors are sometimes missed. For example, in their being below the poverty line. Beneficiaries have to
work in rural Rajasthan, published in 2003, Laxmi meet the appliance and gas refill costs. Despite this
and colleagues reported that the share of households free gas, most households continued to use wood,
purchasing fuelwood had increased to 14% from the mainly because they could not afford refills. This
2% reported in 1996. This has two implications. The problem is further illustrated by the relatively low
first is that concerns about women’s time and consumption rate in rural areas, where the average
drudgery connected with fuelwood collection might refill rate was once in 7 months. Although time
not be of primary importance. The second is that the saving in cooking is reported as a major benefit of
availability of modern fuels would facilitate a shift this project, there is no report on how the time saved
from fuelwood given that there is clearly some is spent. The low consumption levels of LPG have
financial resource available. In addition, various meant a lack of entrepreneurial interest in LPG
changes are noticeably taking place in the energy distribution service, so that households still have to
procurement process that need to be considered in travel relatively long distances to obtain gas. The
designing solutions to women’s energy problems. report on the study does not indicate whether LPG
There is evidence that men play a more important procurement was done by women or men, and it is
role in fuelwood gathering than is sometimes difficult to establish whether women’s fuelwood
reported. The ESMAP study found firewood collec- collection time was indeed saved or merely shifted
tion by men in six states of rural India to be to LPG procurement.
significantly higher than that by women, citing Increased urbanization obviously has meant more
increased distances and effort as the reasons. Based women moving to urban areas. In many low-income
on their work in rural Zimbabwe, Vermeulen and urban neighborhoods, biomass remains an important
colleagues in 2000 reported similar trends, with men cooking fuel. Although a part of it is gathered, the
collecting firewood with carts. This increased in- bulk of it is bought, often in informal markets near
volvement of men in firewood collection requires the the households. As such, the time, labor, and
adoption of a more comprehensive approach in drudgery associated with fuelwood procurement in
addressing fuelwood shortage issues. The ability of rural areas are less important. Access to money is
men to meet their other household responsibilities more so; here, poverty is the main determinant of
and the possibility of women having to undertake access to biomass fuels. The fuelwood and charcoal
these responsibilities should be investigated in the are sold by both women and men who obtain it from
process of seeking sustainable solutions. the cities and transport it by road or rail over
The importance of availability of modern fuels relatively long distances. Because this business does
cannot be underestimated in influencing shifts from not necessarily require large capital investments for
fuelwood. In a 2003 report, Gupta reported that the entry, competition from men is increasing as re-
availability of liquefied petroleum gas (LPG) and trenchment levels rise with the restructuring of
biogas in an area where the improved Astra stove economies in several countries.
had been disseminated over a 7-year period resulted Low-income urban settlements tend to be infor-
in a shift away from firewood in 35% of households. mal. In most of urban Sub-Saharan Africa, informal
486 Women and Energy: Issues in Developing Nations

settlements and slums have long been the norm, experiences of the 1980s, where most of the
increasing along with rural–urban migration. These improved stove projects failed.
settlements are characterized by temporary housing As early as 1987, the ILO concluded that cooking
structures, poor sanitation, and lack of other basic stoves that are designed to reduce the quantities of
services, including water and electricity. Much of the fuelwood used can be expected to be successful
housing is classified as ‘‘illegal’’ and, hence, not likely (adopted easily by local women) only in areas where
to be serviced and connected to electricity. Residents there is an acute fuel shortage (e.g., rural areas with
sometimes resort to drastic and potentially danger- an ecologically degraded environment, peri-urban
ous measures to access electricity and energy services, and urban areas where fuel costs are high). It was
including illegal connections—an activity implicitly recommended that stove programs should not be
attributed to men. A case reported in 2003 by exclusively concerned with biomass fuels given that
Khupiso involving a woman in South Africa is useful consumers prefer to have alternatives, and it was
to draw attention to the unconscious bias involved. noted that fuels and technology are used depending
The woman, who owned a Reconstruction and on the season, ease of use, and availability. A 1985
Development Program house in Mamelodi East, study by Gill highlighted the reasons why improved
Pretoria, was on the run from police for illegally con- stoves failed to achieve widespread adoption in
necting 15 of her neighbors in an informal settle- developing countries.
ment. She had laid underground electricity cables Although it lost favor during the 1980s, interest in
from her house to these settlements and had been improved stoves seemingly was revived during the
supplying them with electricity for 2 years at a flat subsequent decade. In a 1994 review, the World Bank
rate of R150 (BU.S. $19) per month per connection. reaffirmed the value of cooking stove projects,
She also provided, for a fee, refrigeration services to claiming that the social, economic, and environmen-
some spaza (retail) shop owners. Of course, if viewed tal benefits of promoting improved stoves under
from a different standpoint, this could serve as an suitable circumstances are quite large, and existing
example of female entrepreneurship in the energy successes demonstrate the usefulness of well-mana-
sector. Establishing ways in which to legalize such ged programs. Various programs and projects have
informal electricity trade could offer opportunities been launched, mainly with support from donors, to
for women and men to generate income. promote improved biomass stoves. Women have
always been regarded as a special target group to
which donors, governments, and NGOs direct aid in
various ways to facilitate adoption of the stoves. One
4. DO STOVE PROGRAMS ADDRESS of the reasons provided for the poor performance of
WOMEN’S ENERGY PROBLEMS? initial projects was poor targeting; that is, women
were excluded. The underlying rationale for support-
Mahatma Gandhi is credited with having inspired ing women-targeted programs continues to be that
the production of the smokeless chulha in India by improved stoves would save fuelwood, so that
drawing attention to the cooking stove as a means of women would spend less time and energy in
improving the living conditions of the rural woman. gathering it. As reported by Khandelwal in 2000,
In general, the original interest in improved stoves the government of India has a national program on
was in improving the indoor environment rather than improved stoves that provides direct subsidies to
efficiency. The 1970s witnessed the beginning of the women from select castes and tribes to enable them
appropriate technology movement within which to adopt these stoves. By 2000, the program had
improved stoves were promoted as solutions to been sustained for 16 years with central government
deforestation. To address the woodfuel crisis and budgetary support. However, as noted by Lombard
the consequent problems for women, closing the in 1995 and by Nathan in 2001, the performance of
woodfuel gap through demand-and-supply manage- this program has not been particularly satisfactory.
ment strategies was seen as the logical solution. On Reporting on the upesi rural stoves program in
the underlying assumption that woodfuel was likely Kenya in 2001, Njenga concluded that the benefits to
to be the main fuel source for a long period of time, men and women include improved health and time
improving woodfuel efficiency has been a dominant savings for the users. However, it should be noted
measure. In rural areas, improved stove efficiency that there are no reported systematic observations
was (and still is) deemed a method of reducing fuel and empirical evidence to support this conclusion.
collection for women and girls. This is despite the On the other hand, the women producing and
Women and Energy: Issues in Developing Nations 487

promoting the stoves earned some additional income rather limited and dependent on various external
that Njenga noted made them enjoy a significantly factors that are not always taken into account in
higher standard of living. stove programs. Financial savings from reduced
The extent to which improved wood stoves benefit fuelwood consumption occur only where fuelwood
women with respect to time, labor, and financial is purchased and also where the technical perfor-
savings in rural areas is limited by a variety of mance of the stove meets the expected efficiency
factors. In many countries, improved stoves are levels. Notably, as acknowledged by Leach and
produced by artisans in informal situations with Gowen as far back as 1987, during times of
limited technical skills and quality control, so that fuelwood scarcity, coping strategies associated with
the stoves do not always achieve the expected fuel traditional stoves are reported to outweigh the
savings. Most rural households do not buy fuelwood benefits associated with improved stoves.
and, therefore, experience no direct monetary sav-
ings. In a 1997 report, Nathan noted that China
experienced success in improved stove programs, 5. HOUSEHOLD ENERGY AND
with some 150 million (or 70%) of farm households HEALTH: A WOMEN’S PROBLEM?
adopting improved stoves sold to them at commer-
cial prices by 1991. On the other hand, in India, only There is general acceptance that exposure to biomass
approximately 15% of farm households had adopted and coal smoke, generally classified as indoor air
improved stoves by 1992, even though the improved pollution, increases the risk of a range of diseases and
stoves were offered at highly subsidized prices. impinges on the health of adults and children. This
Nathan noted the difference as being the monetary pollution affects health in two main ways: through
value of women’s time. Women were involved in having direct effects, such as carcinogens and toxins
income-generating activities in China, whereas they causing cataracts, and through damaging or weaken-
were not in India. Savings in time spent on fuelwood ing the immune system, thereby making it more
collection had direct value in China because the time susceptible to attack. Impacts include acute respira-
was reallocated to the enterprises, but this was not tory infections, chronic obstructive pulmonary dis-
the case in India. Nevertheless, having some free time eases (e.g., chronic bronchitis), lung cancer,
does have welfare benefits. However, not surpris- tuberculosis, adverse pregnancy outcomes, and asth-
ingly, financial savings have been reported for urban ma attacks. However, current information on smoke
households that purchase fuelwood and charcoal as causal is indicative and not always conclusive;
after acquiring improved stoves. there is uncertainty associated with exact risk esti-
In general, the roles of women in the improved mates. For example, a 2000 report noted that al-
stoves process has received a good deal of attention. though there is increasing evidence of links between
More than two decades ago, Hoskins reported in PM10 and PM2.5 and health, available evidence does
1981 that adoption and use of improved stoves not allow a clear judgment on levels of particulate
would not be possible without the active involvement concentration above which adverse effects would
of women. In a study reported in 1991, the FAO occur. There is growing awareness that various
noted that energy-efficient earthen stoves in a village factors contribute to these health impacts, and more
in Himachal Pradesh, India, became popular in areas evidence is needed to establish the cost-effectiveness
where women were trained to make such stoves and of measures associated with smoke reduction and
introduce them to other women. elimination. Poverty, poor nutrition, poor living
Stove programs have rarely met the fuel-saving standards, poor sanitation, overcrowding, and low-
objectives, partly because the goals were not based on quality medical care are significant (and possibly
realistic scenarios. Various factors influence the more important) determinants of health impacts
amount of fuel used (e.g., the skills of the cook, the associated with indoor air pollution. Nevertheless,
cook’s interest in the task of cooking, the stove, indoor air pollution has been receiving increased
cooking utensils). As noted way back in 1987 by attention, and in 1992 the World Bank designated it
Evans, women’s main interests have been largely as one of the key global environmental problems. The
misconstrued by stove project managers as saving World Health Organization (WHO) noted that a
fuel. In reality, women prefer having a better fuel, not pollutant released indoors is more likely to reach
a better stove. people’s lungs than is a pollutant released outdoors.
It would appear that the effectiveness of the Literature identifies women and children as the
improved stoves in saving women’s time and labor is most vulnerable because they are the most exposed,
488 Women and Energy: Issues in Developing Nations

particularly in poor rural and urban households. efficiency of the combustion process. Carbon mon-
However, it is likely that the attention paid to women oxide is released in relatively large quantities when
and children tends to hide the fact that adult men biomass fuel is burned, as compared with kerosene or
may also suffer indoor pollution-associated ailments. LPG, with short-term effects to exposure being head-
In an analysis of the prevalence of respiratory disease aches, dizziness, and nausea (extensive inhalation can
symptoms in rural Rajasthan, Laxmi and colleagues cause death). In a 1991 study, Smith estimated that
found no significant difference between male non- 38, 17, 5, and 2 g of carbon monoxide are released
smokers and female nonsmokers, although they had during the cooking of a meal using dung, crop
expected the males to act as a control group because residues, wood, and kerosene, respectively. In a 1995
they did not cook. In addition, the results suggested report, Patel and Raiyani noted findings of carbon
that male nonsmokers, as compared with female dioxide levels of 144, 156, 94, 108, and 14 mg/m3 air
nonsmokers, have a higher prevalence of symptoms during cooking with dung, wood, coal, kerosene, and
and are more vulnerable to coughing, phlegm, LPG, respectively, in Ahmedabad, India.
wheezing, chest illness, and blood in sputum. (The Indoor air pollution has generally been linked
researchers noted, as a shortcoming of their study, an with rural areas due to high household consumption
insufficient male representation due to the work of biomass and coal, but the urban phenomenon
having been designed to study females cooking with should not be underestimated. The WHO estimated
biofuels.) Including the male dimension is particu- that indoor air pollution contributes 50 and 25% of
larly important because increased urbanization the diseases in rural and urban areas, respectively.
means that more men are cooking and that the size Reports from India published by ESMAP in 2002
of dwellings is relatively small and often lacking show that cooking smoke may be responsible for
separate rooms for cooking, with men and women more than 400,000 premature deaths annually.
occupying the same rooms. There is evidence that many of the people moving
The physiology of children, particularly under- to urban areas tend to settle in low-income neighbor-
developed lungs and relatively faster breathing rates, hoods where they use biomass or coal. Rising
makes them liable to absorb large quantities of urbanization levels and the share of urban poor will
pollutants. Smith and colleagues, in a study published further exacerbate the situation. Indoor pollution
in 2000, reported that acute respiratory infections effects in low-income urban households are likely to
related to biomass fuel combustion are the leading be more aggravated than in rural areas due to
causes of deaths in children under 5 years of age, with overcrowding and the outdoor pollution effects.
75% caused by pneumonia. It is estimated that half a In a 2002 review of indoor air pollution aimed at
million children and women die in India annually making recommendations for further research, Smith
from indoor air pollution. However, findings are not categorized three impacts based on the level of
always consistent. A study in south Kerala, India, evidence: strong, moderate, and suggestive. Acute
focusing on children under 5 years of age, as reported respiratory infections, chronic obstructive pulmon-
by Shah and colleagues in 1994, found that the fuel ary diseases, and lung cancer fall into the first
used for cooking was not a significant risk factor for category. Cataracts, tuberculosis, asthma, and ad-
acute respiratory infections. Based on a 1998 study verse pregnancy outcomes fall into the moderate
on infants in Delhi urban slums where wood and evidence category. However, it is important to state,
kerosene are used, Sharma and colleagues noted no as noted by Ezzati and Kammen in their 2002 study,
significant difference in prevalence of acute respira- that most of the studies on health impacts of
tory infections and fuel type. exposure to indoor air pollution have focused on
The chemical composition of smoke and the these three diseases. Studies undertaken in China,
concentration of particulates determine the level of including those reported by Smith and Liu in 1994,
attributed harm. Smoke generally includes suspended by Xu and colleagues in 1995, and by Lan and
particles, nitrogen oxide, carbon monoxide, sulfur colleagues in 2002, provide evidence of an increased
oxide, and carcinogens (e.g., formaldehyde, benzene, risk of lung cancer among women from exposure to
polyaromatic hydrocarbons). The extent of the coal smoke, but there is little evidence relating to
impacts of composition vis-à-vis the particles is biomass fuels. Lan and colleagues also reported that
contested. In addition, the combustion characteristics the duration of cooking food on an unvented coal
affect the pollutants. For example, sulfur dioxide is stove was strongly and positively associated with
dependent on fuel content, whereas concentrates, lung cancer incidence in both men and women (even
formaldehyde, and nitrous oxide depend on the though men started cooking later in life and tended
Women and Energy: Issues in Developing Nations 489

to cook for a shorter period of time). This is Procurement of energy may also have health
important because more men are cooking, particu- impacts on women. In a study conducted in Sri
larly in urban areas. Lanka and published by Wickramasinghe in 2001,
Links between biomass fuels and chronic obstruc- women reported fatigue, headaches, pain in joints
tive lung disease (e.g., colds) have been reported. In a and the chest, and weak joints and back resulting
1996 report of a study involving 1200 women (218 from head loading wood and walking over long
of whom were monitored for air pollution) in low- distances several times per week. However, it is not
income areas of Maputo, Mozambique, Ellegard evident from the report that carrying wood was the
reported finding cooking wood smoke as being only or dominant head loading done by the women.
associated with chronic respiratory illness among In general, there is insufficient reliable empirical data
women. The study found that wood users were on weights of fuelwood loads. Work done by the ILO
exposed to significantly higher levels of particulate during the 1980s indicated that women carry loads
pollution during cooking time (1200 mg/m3) than of up to 35 kg over long distances, whereas a maxi-
were charcoal users (540 mg/m3) and modern fuel mum of 25 kg is frequently cited as the weight that
users (e.g., LPG, electricity) (200–380 mg/m3). can be borne over such distances without seriously
Although wood users were found to have signifi- threatening the physical health of women. Cuts, falls,
cantly more cough symptoms than were other bites, back injuries, and sexual harassment have also
groups, there was no difference in cough symptoms been associated with fuelwood collection. Fuel scar-
between charcoal users and modern fuel users. city is noted to force women to move to foods that
However, there are no studies in developing countries cook faster or to eat more raw foods, increasing
linking heart disease to biomass fuels. In a study health risks to entire families. Obviously, this is due
published in 2000, Bruce and colleagues noted that to household poverty rather than to physical fatigue
biomass fuels have been linked to cancer of the and poor health, viewed nearly exclusively as a pro-
mouth and larynx but that the findings are incon- blem affecting women.
clusive. Studies conducted in India show the in-
cidence of chronic cor pulmonale to be similar
between men and women despite the fact that 75%
of the men and only 10% of the women were 6. WILL IMPROVED
smokers. In addition, the condition was more STOVES IMPROVE THE
common among younger women, occurring 10 to HEALTH SITUATION?
15 years earlier than in men. This difference was
attributed to indoor air pollution from burning solid There are various measures to reduce exposure to
biomass fuels leading to chronic bronchitis and indoor air pollution. In their study reported in 2000,
emphysema, both of which result in chronic cor Ballard-Tremeer and Mathee categorized three main
pulmonale. types of interventions relating to source (emissions),
Although it has been reported that indoor air living environment (concentrations), and the behavior
pollution causes birth-related complications, includ- of the user (exposure). The type of fuel and stove used
ing prenatal mortality and low birthweight, there is influence indoor air quality. The fuel–stove interface
hardly any statistically representative work that is a significant determinant of emissions generated.
validates this. The one study frequently cited on Based on their evaluation, Ballard-Tremeer and
perinatal mortality was conducted in Ahmedabad Mathee noted that the most effective interventions,
and was published by Mavalankar in 1991. This and those most beneficial to the user and society as a
study found a link between exposure to indoor air whole, would involve a shift from wood or charcoal
pollution and stillbirths and deaths during the first to kerosene, LPG, biogas, or grid electricity.
week of life with an odds ratio of 1.5 (95% Based on an empirical study conducted on 67
confidence interval: 1.0–2.1, P ¼ 0.05), although caregiver–child combinations living in poor unelec-
exposure was not assessed directly, implying margin- trified areas in rural South Africa, Barnes and
al significance. Only one published study has colleagues in 2000 identified four core behaviors
reported wood smoke as affecting birthweight. This for intervention to reduce child exposure: improving
study, reported by Boy and colleagues in 2002, was stove maintenance practices, improving the quality
conducted in rural Guatemala, where babies born in of ventilation practices, reducing the time spent close
households using woodfuel were 63 g lighter than to burning fires, and reducing the duration of
those born in households using gas or electricity. burning. The authors put much emphasis on the
490 Women and Energy: Issues in Developing Nations

recommendations made by the caregivers. Hence, can be ineffective if the smoke returns through
while acknowledging fuel switching as the most windows and doors.
effective intervention, they omitted it because the Evidence on the ability of improved stoves to
caregivers noted that the associated costs would be reduce indoor air pollution is contentious. It has been
prohibitive. Changing the location of a stove to reported that such stoves can actually increase indoor
better ventilated locations in the kitchen was emissions. Smoke is a result of incomplete combus-
dismissed for similar reasons. Improved stove main- tion that occurs due to insufficient oxygen. Improved
tenance, including cleaning chimneys and replacing stoves save fuel by controlling the burning rate and,
missing cooking plates, has also been recommended hence, the air flow. The effectiveness of improved
as a strategy to reduce indoor air pollution. It was stoves depends on maintenance and, therefore, on age
noted that women in most cases already open or hours of use. Stoves that are poorly maintained are
windows and doors (when available) while cooking. unlikely to contribute to reductions in indoor
Applicability and effectiveness of behavioral changes pollution. The way in which a stove is used influences
remain to be verified. Clearly, the changes have cost emissions levels. For example, closing the door
and labor implications. prevents smoke from coming back into the house
Improved stoves have been widely advocated as from the chimney. On the other hand, when using wet
a measure to reduce indoor air pollution, and this fuel, it is usually necessary to open the door to
is supported by various studies, including those by facilitate ignition and combustion. Edwards and
Ezzati and Kammen in 2002, Albalak and collea- colleagues, in their recent study on improved fuel-
gues in 2001, and Wafula and colleagues in 2000. wood stoves in China, noted that thermal efficiency is
(However, it is imperative to note that this rather improved at the expense of combustion efficiency,
common reporting can be misleading because it is resulting in increased emissions of human-damaging
essentially the presence of a mechanism to vent out pollutants and greenhouse pollutants.
the smoke that contributes to reduction. The term
‘‘improved stoves’’ is not used exclusively for stoves
with chimneys; it is also used for higher efficien- 7. DOES INCREASING THE
cy stoves without chimneys.) The first stove program SUPPLIES OF BIOMASS FUEL HELP?
launched by the Indian government aimed to get
rid of smoke from the kitchen by using chimneys. Retreating forests have always been viewed as threats
In an analysis of 21,232 farmers in rural Xuanwei, to fuelwood availability in rural areas and, hence, to
China, Lang and colleagues noted that a shift from women’s time and labor. Social forestry to grow trees
unvented coal fire pits to coal stoves with chim- for fuelwood has been a commonly pursued solution.
neys was strongly associated with a reduction in Despite evidence that the fuelwood availability issue
the incidence rate of lung cancer. Such chimneys is more complex than a simple gap theory implies,
extract smoke by increasing draught and, hence, the and that most of the wood produced through
combustion rate. In the process, fuel savings are afforestation practices is destined to become timber
compromised. However, depending on the height rather than fuel, considerable resources have been
of the chimney, the measures do not get rid of directed to these activities. Community-based forestry
the pollution problem completely but instead trans- is encouraged as a source of revenue where fuelwood
fer it from the kitchen to the vicinity of the dwelling. is traded for urban consumption. Women have been
In an environment where houses are constructed promoted as managers in such projects. In these com-
close to each other, smoke builds up and remains munity-based projects, men’s and women’s groups,
in the neighborhood. This is aggravated where with assistance from the forest departments, sell fire-
outdoor air pollution level is high, as is often the wood as a source of income. Projects target women as
case with low-income environments of large indus- producers and potential beneficiaries. However, not
trial cities. Reporting on findings in China, Edwards all of the community-based forestry benefits women.
and colleagues noted in 2003 that flues and chim- In a 2001 report, Sarin noted that in Uttra Pradesh,
neys are not much above the height of houses; hence, India, women were worse off after the introduction of
emissions result in elevated neighborhood and village joint forest management because they could
regional pollution that penetrates back to the indoor no longer get jobs as forest guards and had no control
environment. Notably, where the heights of the over decisions relating to forest use.
chimneys are low, the smoke can travel back into The validity of afforestation programs aimed at
the houses through doors and windows. Chimneys providing fuelwood has been challenged. Using data
Women and Energy: Issues in Developing Nations 491

from dry tropical areas of Niger and Mali, Foley in farmers (including women) give low priority to the
2001 raised serious doubts regarding the woodfuel latter. Increased demand for cash necessitates trading
scarcity problem and the solutions proposed, which most farm products, and in communal lands most of
have been mainly planned interventions on use of the forested land has been cleared, so that even if
improved stoves and tree planting. There have been women owned the land, their access to fuelwood
considerable efforts, through projects and programs, might not necessarily improve.
to involve women in tree planting for fuelwood.
Various community-based resource management
projects targeting women, on account of the suffer- 8. WILL ELECTRICITY
ing they encounter in gathering fuelwood, have been HELP WOMEN?
implemented. However, these efforts are not justified
given that communities naturally undertake the Rural electrification is another area that draws
necessary activities without external intervention. attention to energy procurement by women. Elec-
Findings from rural Rajasthan, where 47% of trification has 7been justified on the basis that it
households in the study used fuelwood gathered results in economic progress, but recent thinking has
from their own farms, support this thinking. acknowledged that electricity is an insufficient, albeit
Within the context of afforestation and tree a necessary, catalyst for this. Some, such as Clancy in
management for fuelwood, some works have differ- a 1999 article, have characterized electricity as a
entiated ‘‘men’s trees’’ from ‘‘women’s trees.’’ The basic good necessary to empower women. Cecelski,
former are defined as straight-stemmed species useful in a 2000 report, called for rural electrification on the
for timber and poles, whereas the latter are defined as basis that it would meet women’s needs for labor
trees that yield a broad range of products such as saving, time saving, improved health, security, and
fruit, fodder, and firewood. The aim of such works income. But as noted by various authors, including
has been to influence the choice of trees planted Mehlwana in 1997, ESMAP in 2002, and Wamuko-
under social forestry programs and, hence, to protect nya and Davis in 2001, electricity in rural areas is
women’s interests. Poor access to fuelwood by used mainly for lighting and other light load
women is also blamed on their lack of land tenure, activities such as powering radios. ESMAP’s study
implying that women are reluctant to plant trees of 5048 women in six states in India in 1996
because the trees would be ‘‘hijacked’’ by men. In a concluded that household electrification affects
1995 report, Kelkar stated that a group of men leisure time available to women and provides
invited to jointly plan a community forestry project channels to increase knowledge and awareness
told the foresters that they wanted to plant hard- through facilitating reading and watching television.
wood tree species to make furniture and wood A seemingly contradictory finding from this study
carvings for sale. When women were consulted, they involves the decrease in fuelwood collection times,
indicated a preference for softwood fast-growing even in poor households that reportedly use elec-
species for fuel and fodder. The Regional Wood tricity only for lighting and entertainment.
Energy Development Program (RWEDP) of the FAO, Because the bulk of the time expenditure, drud-
in a 1996 report, also noted that women prefer trees gery, and health impacts related to energy procure-
for fuel, fodder, and fruit, whereas men prefer timber ment by women is in reference to cooking fuels, rural
trees. In addition, the RWEDP noted that women electrification cannot solve these problems unless it is
prefer trees that yield shorter term returns and provided for cooking. Lack of electrical cooking
smaller returns spread over a long period (e.g., fruit appliances and the high cost of power are major
trees rather than timber trees). Women’s unique limiting factors. Even in countries where the govern-
responsibility for day-to-day care of their families ments have made concerted efforts to electrify their
was given as the reason for the different preferences. populations, the electricity consumption for cooking
It has also been claimed that men, as primary remains low. Despite an aggressive electrification
owners of land, have better access to fuelwood and program in South Africa, Mathee and colleagues
are in a better position to dominate decisions about noted in a 2001 report that more than 312 years after
tree species in forestry projects at the expense of provision of electricity, 44% of the households in
women. However, it is worth noting that ownership North Western Province had not acquired electric
of land does not guarantee access to fuelwood given stoves. However, unless electricity production costs
that the competition for land for food and outputs are very low, it is difficult to justify targeting it as a
more beneficial than fuelwood has meant that cooking fuel.
492 Women and Energy: Issues in Developing Nations

Decentralized electrification in rural areas has dissemination of solar home systems. Enersol has
gained favor largely as environmental concerns move been targeting women as users and promoters of solar
to the forefront and the cost of extending the grid to home systems in the Dominican Republic. However,
remote areas with relatively low-load consumption Smith noted in a 2000 report that despite a concerted
patterns becomes prohibitive. This is manifested effort to train and support women, of the 30 active
mainly as mini- and micro-hydro in areas where businesses supported by Enersol, only 2 have women
hydro resources are available, but largely as house- in significant leadership positions and 1 relies on a
hold photovoltaic (PV) systems. In fact, as a response female technician for system installation and main-
to the sustainable development movement, donor tenance. After one of Enersol’s women-only training
agencies abandoned grid extension policies in favor programs, no microenterprise dedicated to marketing
of stand-alone systems based on PV, mini-hydro, or and installation of PV systems emerged from the
biomass. Solar home system projects are proliferating group of 10. This may imply that the main barrier
all over the developing world. Martinot and collea- was not necessarily being women. It is worth noting
gues, in a 2000 report, provided a comprehensive list that Enersol has depended mainly on USAID financial
of some Global Environmental Fund (GEF) solar support to train and support women entrepreneurs.
home system projects, and Martinot and colleagues in
2002 give an overview of this market. However,
capital cost is a major barrier to accessing these
systems, whose promotion has been justified on cost- 9. WILL SAVING TIME HELP
effectiveness. In view of this, governments, with WOMEN TO ENGAGE IN MORE
assistance from donor grants and loans, have PRODUCTIVE ACTIVITIES?
established innovative financing mechanisms to pro-
vide loans to consumers. Despite these, there have It is often argued that the time spent by women and
been concerns that women are unable to access credit children in gathering fuelwood could be employed
for solar home systems, so facilities targeting women for more productive purposes. However, there are
have been established or concerted efforts to reach inadequate empirical data indicating this, and
women have been made within existing frameworks. proxies are normally used to calculate the value of
Enersol, a U.S.-based organization aimed at deploy- this time and labor. It cannot be ascertained that the
ing solar-based technologies for rural electrification, time freed from fuelwood gathering could be used for
has established such a system to enable women to more productive purposes. Interviews with Nami-
acquire its solar home systems. In its microenterprise bian rural women in 1999 revealed that they would
training courses to NGOs, Enersol emphasizes the spend the time freed from fuelwood gathering on
importance of women as borrowers. Although Smith housework and not necessarily on leisure or income-
noted in 2000 that the women use savings from generating activities. The main reasons for not this
energy replaced by the solar system, no information were lack of opportunities and lack of capital.
was provided on volume and type of energy ESMAP reported in 2002 that in India, rural
expenditures prior to and after acquiring the system. electrification has not influenced the time spent by
The extent to which these systems benefit women is women in productive activities.
questionable. Evidence documented in a United It is important to acknowledge that time saved
Nations Environment Program (UNEP) 2001 pub- from procuring energy sources is not automatically
lication shows that typical solar home systems are reallocated to income-generating activities. Only
consumer goods. The solar home system electricity where the other more important factors are available
does improve household welfare with respect to better does this happen. If the objective of an initiative is to
quality lighting, but at a relatively high cost compared save women’s time from fuelwood gathering for use
with conventional electrification systems. Therefore, in income-generating activities, the initiative needs to
women end up getting loans to acquire systems that provide the other complementary factors. A study
provide strictly limited and costly services and that do conducted in Nepal found that only the women who
not address the key energy concerns—cooking and its already were involved in income-generating activities
associated hardships—so that gathering of fuelwood and were using biogas engaged in these activities by
and other biomass fuels continues even after acquisi- using the time saved from fuelwood gathering. In
tion of the solar home systems. more than 80% of the households, social work and
As a measure to facilitate access to electricity, there domestic chores were the main activities that women
have been recommendations to target women in spent more time on (where they did not already have
Women and Energy: Issues in Developing Nations 493

income-generating enterprises). In a study published household and productive activities. Rural women’s
by Rana-Deuba in 2001, it was noted that women energy needs are said to be water pumping,
receiving microenterprise training in Nepal were able agricultural processing, security, work productivity,
to start businesses mainly because the training was and health, and rural men would seem to have the
backed by access to credit. In 2001, Chaieb and same needs. It would be expected that in urban areas
Ounalli reported that in Tunisia, rural electrification as well, there is little real difference between
had increased income-generating opportunities for women’s and men’s energy needs.
women mainly in sewing and hairdressing busi- There are also reports that women tend to see the
nesses, but this was feasible only because state benefit of electricity differently than do men. In a
development programs donated the equipment to synthesis report on micro-hydro power published in
households. After installation of biogas plants in 2000, Khennas and Barnet noted that women in Sri
Pura village, India, to provide electricity for lighting, Lanka saw the benefits largely in terms of reduced
water pumping, and using high-quality fertilizer, workloads, better health, and reduced expenditures,
women were able to earn a small amount of money whereas men saw the benefits in terms of leisure,
transporting fertilizer to the fields of farmers. It must quality of life, and education of children. In a study
be noted that such an activity is supported by the reported in 2000, Cecelski lamented the fact that few
availability of the fertilizer as a by-product, requiring studies have examined the impacts on women from
no extra capital outlay. Only where the environment renewable energy interventions. In a 2002 report,
is conducive to this activity, and where other factors Parikh recommended that energy ministries assign
exist, are time savings used for productive activities. special tasks to their renewable energy divisions to
Fuel switching—from fuelwood to modern energy assist women in evaluating possible energy alter-
carriers—is often advocated as a measure to reduce natives. However, it is again important to note that
women’s drudgery from fuel collection. However, a energy is not important in its own right; rather, it is
shift from fuelwood might not necessarily help the service energy provides that is useful. Therefore,
women and children in this way. A study conducted singling out decentralized or renewable energy
by Britt and Kapoor in 1994 in Nepal, measuring the technologies may be counterproductive if the tech-
increase in women’s leisure time and time spent nologies do not meet the services needed, and they
visiting relatives, found that women without biogas might even contribute to ‘‘locking in’’ the women.
plants actually had more leisure time and more time The focus should be on service rather than on the
to visit relatives than did women with these plants. technology. The technology chosen should be the
Biogas use has been noted for not really reducing least cost option, but the costing should take into
women’s time expenditure on fuelwood procurement account the ability of technology to meet develop-
because women have to collect water for the ment objectives, particularly poverty alleviation.
digesters. The same situation was reported in
reference to Tanzania.
11. ENERGY DECISIONS: ARE THEY
ALL MADE BY MEN?
10. DO WOMEN REALLY HAVE There is a widespread belief that women lack
ENERGY NEEDS DIFFERENT FROM decision-making power. The WEC, in an analysis
THOSE OF MEN? of factors determining energy–women linkages
published in 2000, noted that women, by virtue of
Paying special attention to women is normally their position (or lack thereof), stand disadvantaged
justified on the basis that women’s energy needs are in decision-making processes in their families, com-
different from men’s energy needs. This thinking is munities, and countries as well as in accessing
advanced while promoting certain technologies. productive assets. This thinking is used in designing
Decentralized technologies, particularly renewable women-targeted energy programs and projects.
energy technologies, are increasingly lauded as the Renewable and decentralized energy technologies
‘‘natural solution’’ to women’s energy problems, targeting women are recommended as a measure to
particularly in rural and remote areas. This is often empower women in the decision-making process.
in reference to using these technologies for electricity According to a study by Smith in 2000, decentralized
provision. It is noted that women use electricity energy technologies are particularly relevant to
differently than do men due to the former’s different women because women have direct control of
494 Women and Energy: Issues in Developing Nations

acquisition, design, placement, and consumption radio and television and would rather acquire
decisions, whereas they often exert less control over cooking appliances because they lack the time for
male-dominated, utility-centered grid systems. De- entertainment. Laxmi and colleagues, in a 2003
centralized technologies have also been deemed report, noted that cooking and energy-saving appli-
favorable because they provide more opportunities ances are accorded lower priority than are luxury
for women to be involved in energy system manage- goods (where the luxury goods identified are
ment, decision making, and control than do centra- durables such as pump sets, bullock carts, fans, and
lized grid systems. In addition, such technologies radios/tape recorders) due to little involvement of
provide opportunities for women entrepreneurs. women in decision making. It is worth noting that
However, this involvement is not automatic. In Sri this is a mixed bag of goods given that some of these
Lanka, women were not considered to be decision ‘‘luxury goods’’ are actually vital for the survival of
makers in the Electricity Consumer Societies formed households. It is perhaps worth mentioning that from
in some of the communities with micro-hydro plants, the data presented by these authors, the number of
whereas they were encouraged to participate in households owning kerosene stoves is higher than the
others. Women have been targeted by various pro- number of households with pump sets.
grams as trainees on maintenance and installation of Lack of decision-making power among women in
PV systems, including solar cookers, as a measure to households has been stated as a rationale for
improve their decision-making powers. However, targeting women to facilitate making the appropriate
even the decision to engage in an enterprise is not choice on energy matters. Comparing a nonelectri-
necessarily limited by gender. In a report published in fied village in South Africa with an electrified one,
2000, Balakrishnan stated that after a women’s train- Mathee and de Wet in 2001 noted that women in
ing program in India in 1993, 2 of the 45 women the nonelectrified village indicated that an electrical
started renewable energy businesses, with 1 reported cooking appliance would be the first electri-
as having ‘‘gone a long way’’ into wind farms in cal appliance they would like, whereas women in
Karnataka, and a 3rd woman joined a UN agency as the electrified village indicated that this was among
a consultant. It is difficult to understand what ‘‘a the last appliances bought there. The authors
long way’’ entails because no data were provided on attributed this discrepancy to the dominant econom-
sales or other aspects of business performance. ic decision-making power and the preference of
As noted earlier, there are calls for providing men at the household level. However, this conclusion
finance to women to enable them to adopt renewable is not supported by any empirical evidence on
and other energy technologies, but also specifically decision-making processes. In advocating measu-
for acquiring solar home systems. One of the res to enable women to influence household decisions
justifications for extending loans to women for (e.g., through self-help groups), an article in a World
energy technology procurement is the fact that they Bank newsletter in 2000 noted, in a similar manner,
are rational and would purchase technologies that that ‘‘when it comes to commercial fuels which
are valuable and address their household needs. The are bought for cash, the problem often is that income
usually implicit (but occasionally explicit) counter- decisions are made by the male heads of the
argument is that men are irrational and would spend household, while women have to bear the bur-
money on their own entertainment rather than den of collecting fuelwood and using it for cooking.’’
purchasing technologies that would benefit their In 1997, Dutta remarked that although women
households. It has been noted that men are system- are the potential users of improved cooking stoves
atically biased in favor of their own leisure time and and other cooking innovations and, therefore, are
that this has resulted, for example, in underinvest- in the best position to assess their advantages
ment in devices that save women labor time and fuel. and disadvantages, it is the men who handle house-
Nathan, in a 1996 report on work done on Hani hold cash and make decisions on how it is to be
people in Yunnan, stated that money was spent on spent. The differences in rationality between men
cassette players (for men’s listening pleasure) and not and women where acquisition of household energy
on getting piped water or on improved stoves. If appliances is concerned are contentious and, as noted
these observations are justified, extending loans to earlier, are rarely supported by empirical evidence.
women for the typical solar home systems might also For example, that women from all income classes
be labeled as irrational given the service limitations. would watch television if one were available was one
Along the same lines of thought, it is normally of the findings of the ESMAP study of six Indian
implied that women do not value entertainment from villages.
Women and Energy: Issues in Developing Nations 495

Community-based forest management was initi- Third, because the proportion of women profes-
ally promoted as a measure to restore degraded sionals in the energy sector is relatively low, focusing
forests and to improve access to fuelwood for sale on having women on-board as a prerequisite to
and household consumption. Women were expected addressing women’s concerns may derail the issue, if
to benefit from these initiatives, but their lack of there is indeed an issue, and may reduce opportunities
decision-making power has largely been blamed for for open dialogue to establish what the main concerns
the negative impact that community-based forestry are and how to tackle them. Even where there are
has had on access to fuelwood by women. To revisit affirmative action policies or quotas reserved for
an earlier point, decisions regarding what trees women, it is difficult to get qualified personnel.
should be grown in farm forestry are made by men, Obviously, it will take a while before there can be a
and this prevents households from planting trees for critical mass of women professionals in the energy
fuelwood. Sarin and colleagues in 2003 reported that sector. But as is argued here, energy issues are not so
in a study of four villages in Orrisa, India, women much about women as about poverty. A woman
had decision-making power on forest use in only one professional will be a better candidate than a man in
of the villages. The authors noted the delays in the energy sector only if she can design and implement
relaxing rules on restricting fuelwood collection, and frameworks that use energy to alleviate poverty.
they blame this on domination of men in the relevant A strategy that has also been used to increase the
committees. The same reason was given to explain participation of women, as well as to raise the profile
why rules on timber extraction were elaborated, of gender issues in the energy sector, is the establish-
whereas those on fuelwood were not. Clearly, ment of gender desks in energy and other ministries
controlling fuelwood extraction is rather difficult staffed nearly exclusively with women. Despite a
compared with controlling timber extraction, and shift to gender and development, this is a typical
this may have been the principal reason for the reflection of the women in development approach
delays. There is an underlying assumption that men that found expression in small female-staffed gender
benefited more from timber than did women. cells devoted to women’s projects. These offices are
Some argue that the problem of women’s exclusion meant to integrate gender into policy and action
from energy-related decisions at the household, plans. However, they tend to be isolated and without
community, and national levels is compounded by links to other relevant ministerial or external (e.g.,
their underrepresentation in decision-making pro- utility) stakeholders. Other staff members consider
cesses related to energy policy and planning. The these offices as dealing with ‘‘women’s affairs,’’ that
underlying assumption is that women decision makers is, issues they regard as not relevant to themselves
would address women’s energy needs more effectively. and their work. As such, the energy gender offices
It is reported that engendering of policies is on the remain largely figureheads, with little influence on
increase as a result of advocacy by women’s groups. the energy agenda. If they are to function effectively,
The main indicator of this engendering has mainly there has to be a broadly shared understanding of the
been the number of times ‘‘women’’ appears in the issues and tools to effect change. An important
relevant documents. Whether this is an effective element would be to employ both men and women.
indicator is subject to debate. Advocating for an Most of the energy gender offices lack dedicated
increase in the number of women in decision making budgets to operate, relying instead on mainly donor
certainly has its merits, particularly because it creates funding, the intermittent nature of which makes it
employment opportunities. However, using the num- difficult to have an impact because there is no
ber of women in any given institution as an indicator guarantee of continuity of the necessary projects such
of representation has various drawbacks. First, the as awareness raising.
representation system runs the risk of abuse, where
nepotism and favoritism are used to select women
who are likely to become mere ‘‘rubber stamps.’’ This
would weaken the whole decision-making process to 12. WILL ACCESS TO
the disadvantage of both men and women. Second, ENERGY INCREASE WOMEN’S
women politicians and other decision makers are not INCOME-EARNING POSSIBILITIES?
always able to alter energy decision making to cater
for women’s concerns, due mainly to a general lack of Access to financing for acquiring energy and other
comprehensive understanding of the policy impacts inputs for income generation has been cited as a key
and interference by stakeholders with vested interests. barrier to women’s involvement in entrepreneurship.
496 Women and Energy: Issues in Developing Nations

Lack of collateral and, more important, networks (92%) in South Africa was U.S. $192, from Citi
makes it difficult to obtain loans. A strategic solution Savings and Loans (71%) in Ghana was U.S. $363,
that has been gaining favor is the establishment of from ACEP (30%) in Senegal was U.S. $526, from K-
women-only financial institutions, which are justified rep (58%) in Kenya was U.S. $878, from EBA (12%)
on the basis that women do not receive adequate in Egypt was U.S. $841, and from CERUDEB (27%)
attention in men-dominated institutions. Another in Uganda was U.S. $1110. Most of the credit
justification is the need to end women’s dependence schemes rely on donor funding in a manner that
on loan sharks who demand exploitative interest reflects the original approach during the 1970s, when
rates, keeping women in a vicious poverty cycle. donors and NGOs provided special assistance to
Most of the women-targeting institutions tend to be women in a primarily welfare-oriented approach. As
operated mainly by women. Although this has merit such, these agencies are also quite unsustainable.
so far as increasing employment opportunities for Although there is a rationale for providing small
women is concerned, the women-only approach can loans to the poor, because they are high risk, there is
be detrimental to the overall objective. The institu- the greater danger of entrapping them in this state. In
tions are generally isolated from the conventional addition, this largely limits the choice of enterprises
male-dominated business world, and this limits to just a few.
networking and makes the opportunities to transit The typical enterprises in which women invest are
into normal business cycles difficult. food processing, sewing, basket weaving, and so on,
As a way of facilitating participation of women in with little diversification across loan beneficiaries in a
entrepreneurship, their projects are evaluated less given area. As a result, competition is stiff, particu-
stringently than those of their male counterparts, and larly because most of the entrepreneurs lack access to
projects that might not be financially viable are external markets. Cecelski, in a 2000 report,
funded. For example, the Mpongwe Women’s Bank, advocated increasing access for credits to women to
managed by Credit Management Services Limited in purchase renewable energy technologies for domestic
Zambia, does not undertake a detailed loan appraisal use and microenterprises. However, as noted earlier,
process but rather relies on the assessments and most of the focus has been on solar home systems
character references provided by the women’s clubs that provide limited service and are basically
of which the applicants are members. Many of the consumer goods that do not, by themselves, offer
projects fail because they have not been built on opportunities for income generation.
sound economic principles, leaving the women worse Overall, in most cases, access to credit for energy
off than they might have been if the projects had has not particularly improved women’s poverty
never existed because they have to repay loans from status in any significant way. The microcredit, small
other sources. The failure erodes confidence in player perspective seems to have been picked up by
women as business entrepreneurs, both among the New Partnership for Africa’s Development,
women themselves and among the conventional which identified improving access to credit by
financial institutions. Although it may be important small-scale and women farmers as a strategy for
to make concessions for women, these should be promoting women. Although the idea of extending
done in a manner that makes business sense and in credit to women is commendable, this should be
which women are integrated into the normal busi- done as part of an integrated approach if the goal is
ness world through addressing their weaknesses such to yield sufficiently sustainable benefits and to allow
as business management skills and seeking good households to graduate from poverty.
market outlets. So long as women are operating
enterprises within the conventional environment,
provision of kick-starting financial support is only a
small part of the equation for a successful business. 13. CONCLUSIONS: AREAS FOR
Another particularly important aspect of the loans FURTHER RESEARCH
is their size. Most credit programs established to
serve women provide only small loans that are A review of the literature reveals gaps that exist in
typically insufficient to generate a sustained process the women and energy discourse. As a conclusion to
of capitalization. Credit Management Services gives this article, questions for further research are posed.
maximum loans of U.S. $250 per applicant. In 1999, It is expected that such research would contribute to
the average loan size (with share of women loan identification and implementation of effective activ-
clients in the MFI in parentheses) from Get Ahead ities that result in sustainable development.
Women and Energy: Issues in Developing Nations 497

Although women and children in rural areas have Many developing countries are experiencing en-
been largely dominant in fuelwood procurement for ergy reform where the private sector is expected to
household needs, it seems imperative to question the play a dominant role in energy service provision.
role of settlement pattern (rural vs urban). In the Consequently, a market approach where the focus is
past, more men than women migrated to the cities; profit will be adopted. In such an environment,
hence, the share of women in rural areas has been would women-targeted energy projects be viable and
rather high. This migration is generally triggered by effective in alleviating poverty?
lack of income-generating activities in rural areas.
However, it has had an impact on the division of
labor. Hence, there seems to be a need to determine Acknowledgments
whether women in rural areas suffer energy poverty I am extremely grateful to Margaret Skustch for her concise
because they are women or due to the locality. Is guidance on the article. I also thank Sami Kamel, Ogunlade
access to modern energy not determined more by Davidson, and Lawrence Agbemabiese for their critical comments
density of demand than by gender or sex? and encouragement to publish. I appreciate the support provided
by John Christensen that enabled me to have the space and time to
Poor households in rural and urban areas tend to
develop and document the ideas contained in the article. Lastly, I
consume relatively low quantities of energy. Would cannot forget to thank Tim James for language editing.
provision of modern energy services within close
proximity to poor households improve their energy
and livelihood status? Would the women in such
households cease to suffer from the drudgery SEE ALSO THE
associated with energy procurement? Or, is this FOLLOWING ARTICLES
feasible only when the energy is provided as a service
facilitating income generation? Cultural Evolution and Energy  Development and
So far, the women and energy discourse has Energy, Overview  Economic Growth and Energy 
focused mainly on the household sector. Even when Energy Ladder in Developing Nations  Environ-
the debate moved into income generation, there has mental Injustices of Energy Facilities  Indoor Air
been a tendency to place it in the household context Quality in Developing Nations  Sustainable Devel-
on the basis that women’s income-generating activ- opment: Basic Concepts and Application to Energy 
ities are mainly household based. But to what extent Technology Innovation and Energy  Transitions in
are the referred activities women oriented? Would Energy Use  Wood in Household Energy Use
provision of energy result in income generation for
women? There is evidence that there are more
Further Reading
societal benefits accruing from providing energy in
the public sphere than from providing energy in Ballard-Tremeer, G., and Mathee, A. (2000). Review of interven-
private entities. Would public benefits emanating tions to reduce the exposure of women and young children to
indoor air pollution in developing countries. Paper presented at
from modern energy provision in health care centers, the USAID and WHO Global Consultation, ‘‘Health Impacts of
schools, and growth points not be more effective in Indoor Air Pollution and Household Energy in Developing
facilitating growth than those emanating from countries,’’ Washington, DC.
women-targeted energy projects? Should this ap- Barnes, B., Mathee, A., Shafritz, L.B., and Krieger, L. (2000). ‘‘A
proach not be the main focus, particularly in rural Behavioural Intervention to Reduce the Impact of Indoor Air
Pollution on Child Respiratory Health: Identifying Target
and low-income urban settlements? Behaviours.’’ Medical Research Center of South Africa.
Having women as decision makers in the house- Batliwala, S., and Reddy, A. K. N. (1996). Energy for women and
hold and at the policy level is recommended as a women for energy: A proposal for women’s energy entrepre-
strategy to improve women’s energy status. But has neurship. ENERGIA 1, 8. (International Network on Women
this been verified empirically? Can it be verified? and Energy newsletter).
Boy, E., Bruce, N., and Delgado, H. (2002). Birth weight and
Cultural factors limit understanding of the decision- exposure to kitchen wood smoke during pregnancy in rural
making processes in households. In most cases, out- Guatemala. Environ. Health Persp. 110, 109–114.
siders tend to identify who the decision makers are on Bradley, P. N., and Campbell, B. M. (1998). Who plugged the gap?
the basis of the preconceived expectations of the out- Re-examining the woodfuel crisis in Zimbabwe. Energy
comes. There is insufficient information on whether Environ. 9, 235–255.
Britt, C., Kapoor, S. (1994). ‘‘The Effects of Biogas on Women
women decision makers necessarily make decisions Workloads in Hathilet, Janakpoor Zone, Nepal: An Overview
that are more favorable to women. Even if this turns of Five Studies Conducted for Biogas Support Programme.’’
out to be the case, would it be socially desirable? SNV–Nepal, Kathmandu.
498 Women and Energy: Issues in Developing Nations

Cecelski, E. (2000). ‘‘The Role of Women in Sustainable Energy Mathee, A., Rollin, H., Bruce, N., and Levin, J. (2001). ‘‘Indoor
Development,’’ NREL/SR-550-26889. National Renewable Air Pollution, Household Energy, and Health’’ [feasibility
Energy Laboratory, Golden, CO. study]. Report prepared for the World Health Organization.
Clancy, J. (1999). Policies, projects, and the market empowering Mehlwana, A. M. (1997). The anthropology of fuels: Situational
women? Some initial reactions to developments in the energy analysis and energy use in Urban low-income townships of
sector. Paper presented at the ENERGIA Workshop on South Africa. Energy Sustainable Dev. 3(5), 5–15.
Improving Women’s Access to the Market, ‘‘Policies, Projects, Njenga, B. K. (2001). Upesi rural stoves project: Kenya. In
or Market,’’ University of Twente, The Netherlands. ‘‘Generating Opportunities: Case Studies on Women and
Edwards, R. D., Smith, K. R., Zhang, J., and Ma, Y. (2003). energy’’ (S. Misana and G. K. Karlsson, Eds.), pp. 45–51. UN
Implications of changes in household stoves and fuel use in Development Program, New York.
China. Energy Policy 32, 395–411. Parikh, J. (2002). Mainstreaming gender and energy in South Asia.
Energy Sector Management Assistance Program. (2002). ‘‘Execu- Regional paper prepared for the World Summit on Sustainable
tive Summary: Energy Strategies for Rural India—Evidence Development.
from Six States.’’ ESMAP–World Bank, Washington, DC. Reddy, A. K. N. (2002). The evolution of an energy analyst: Some
Foley, G. (2001). ‘‘Sustainable Woodfuel Supplies from the Dry personal reflections. Annu. Rev. Energy Environ. 27, 23–56.
Tropical Woodlands.’’ Energy Sector Management Assistance Skutsch, M. (1995). ‘‘Gender in Energy: How Some Major Donors
Program, Washington, DC. See It,’’ working paper 71. University of Twente, Netherlands.
Jackson, C. (1993). Doing what comes naturally? Women and Smith, K. R. (2002). Indoor air pollution in developing countries:
environment in development. World Dev. 21, 1947–1963. Recommendations for research. Indoor Air 12, 198–207.
Lang, Q., Chapman, R. S., Schreinemachers, D. M., Tian, L., Sweetman, C. (2001). ‘‘Men’s Involvement in Gender and
and He, X. (2002). Household stove improvement and risk of Development Policy and Practice: Beyond Rhetoric.’’ OXFAM,
lung cancer in Xuanwei, China. J. Natl. Cancer Inst. 94, London.
826–834. United Nations Environment Program. (2001). ‘‘Experience with
Laxmi, V., Parikh, J., Karmakar, S., and Dabrase, P. (2003). PV Systems in Africa: Summaries of Selected Cases’’ (N.
Household energy, women’s hardship, and health impacts in Wamukonya, Ed.). UNEP, New York.
rural Rajasthan, India: Need for sustainable energy solutions. Villavicencio, A. (2001). ‘‘Sustainable Energy Development: The
Energy Sustainable Dev. 7(1), 50–68. Case of Photovoltaic Home Systems,’’ draft UCCEE working
Leach, G., and Gowen, M. (1987). ‘‘Household Energy Hand- paper. UCCEE–Risoe National Laboratory, Denmark.
book: An Interim Guide and Reference Manual.’’ World Bank, Wamukonya, N., and Davis, M. (2001). Socio-economic impacts
Washington, DC. of rural electrification in Namibia: Comparisons between grid,
Mathee, A., and de Wet, T. (2001). Rural electrification in South solar, and unelectrified households. Energy Sustainable Dev. J.
Africa: Implications for the health and quality of life of women. 5(3), 5–13.
ENERGIA 4(4). (International Network on Women and World Energy Council. (2000). ‘‘Energy and the Challenge of
Energy newsletter). Sustainability.’’ WEC–UN Development Program, New York.
Wood Energy, History of
JOHN PERLIN
Rahus Institute
Martinez, California, United States

where heat from fire made these colder climates


1. The Importance of Wood in Human Evolution habitable. Increasing the range of habitat gave
2. The Importance of Wood in the Development of humanity better odds for survival. Light from wood
Civilization fires permitted H. erectus to work after nightfall.
3. The Importance of Wood Appreciated by Hence, the discovery freed humanity from the
Our Antecedents strictures of the diurnal cycle. Wood fires also
4. Examples of Wood Used for Fuel Over the Millennium enhanced humanity’s access to food. With torches,
H. erectus hunted at night. This gave them the
element of surprise in killing diurnal animals and
Glossary added nocturnal animals to their diet. Fire also
widened the types of available food, freeing them
Bronze Age A period between the Stone and Iron Ages from the constraints of the hunt. Vegetable matter
characterized by the manufacture and use of bronze
such as tubers, when cooked over fire, became
tools and weapons. This smelting required huge
eatable. A diet based on local plants promoted
volumes of wood.
Mycenaean Age in Greece (600–1100 bc) A period of high population stability because humans no longer had
cultural achievement, forming the backdrop and basis to follow migrating herds to eat. A wider choice of
for subsequent myths of the heroes. It was named for food also enhanced survival and proliferation
the kingdom of Mycenae and the archaeological site (Fig. 1). Fire also provided humans with greater
where fabulous works in gold were unearthed. The security. They could safely live indoors out of harms
Mycenaean Age was cut short by widespread destruc- way because they had the means of illumination.
tion ushering in the Greek Dark Age. Lighting also warded off nocturnal predators. It
smelting To melt or fuse a metal-bearing ore for the lessened the chance of stepping on venomous snakes
purpose of separating and refining the metal. or tripping over rocks by improving vision at night.
Wood fires changed not only the social evolution of
humanity but also its physical development. Eating
Wood was the primary fuel for the entire world from food softened by cooking led to smaller molars.
the discovery of fire to the age of fossil fuels. It Although many animals, such as chimpanzees and
remains the primary fuel to this day for those living otters, have used tools as aids, no other animal
in much of the developing world. except the human genus beginning with H. erectus
has ever built fires.

1. THE IMPORTANCE OF WOOD IN


HUMAN EVOLUTION
2. THE IMPORTANCE OF WOOD
It may seem bold to assert wood’s crucial place in IN THE DEVELOPMENT
human evolution. However, consider that trees have OF CIVILIZATION
provided the material to make fire, the key to
humanity’s domination over all other animals. It Only by cooking grains over wood-fueled fires do
allowed Homo erectus, from which Homo sapiens grains become edible, thus enabling the agricultural
evolved, to migrate from their warm niche in revolution of the past 10,000 years (Figs 2 and 3). In
equatorial Africa to lands throughout the Old World, charcoal-fueled kilns, potters turned earth into

Encyclopedia of Energy, Volume 6. Text copyright r 2004 Elsevier Inc. All rights reserved.
Figures copyright r John Perlin. 499
500 Wood Energy, History of

FIGURE 1 Native Americans using wood for cooking. From


Perlin Forestry Archives.

FIGURE 3 Wood fires turned grains into eatable bread. From


Perlin Forestry Archives.

3. THE IMPORTANCE OF
WOOD APPRECIATED BY
OUR ANTECEDENTS

Lucretius, probably the most scientifically oriented


thinker of Antiquity, believed that the discovery of
fire made civilization possible. He conjectured that
FIGURE 2 Medieval people carry firewood from the forest to the technique of metallurgy was born when great
their hearths. From Perlin Forestry Archives.
fires ‘‘devoured the high forests and thoroughly
heated the earth,’’ melting metal embedded in rock.
durable ceramics in which goods could be stored and When people saw the hardened metal, ‘‘the thought
shipped. Providing an efficient means of storage then came to them,’’ according to Lucretius, ‘‘that
stimulated trade on land and sea. Charcoal-fueled these pieces could be made liquid by heat and cast
fires also gave humanity the capability to extract into the form and shape of anything, and then by
metal from ore, resulting in tools and weaponry so hammering, could be drawn into the form of blades
revolutionary that historians categorize society’s as sharp and thin as one pleased, so they might equip
evolution according to the dominant metal in use at themselves with tools.’’ Lucretius remarked that
the time. Wood fuel, in fact, is the unsung hero of the tools, in turn, made forestry and carpentry possible,
technological developments that brought us from a enabling humans ‘‘to cut forests, hew timber,
bone and stone culture to the industrial revolution. smooth, and even fashion it with auger, chisel, and
Wood Energy, History of 501

gouge.’’ By this process, in Lucretius’ opinion, pottery works and lime kilns. The cumulative effect
civilization emerged. of deforestation on such a scale must have been felt
Ibn Khaldun, writing in the 14th century ad, quite soon on an island of only 3600 square miles.
discussed the crucial role that wood fuel played in the Cutting trees for fuel apparently made significant
world of Islam. In ‘‘The Muqaddimah,’’ his major changes in the flora of Cyprus during the late Bronze
work, he noted that ‘‘God made all created things Age. Bronze axes found dating to this period suggest
useful for man so as to supply his necessities and that logging was an important occupation. Those
needs. Trees belong among these things. They give wielding the axes cleared the majority of forest along
humanity its fuel to make fires, which it needs to the coast and hillsides near the larger late Bronze Age
survive.’’ sites in Cyprus. As a result, pigs, which thrive in a
The English of the 16th and 17th centuries also moist, woody habitat, could no longer survive, giving
recognized the crucial role of wood fuel in their lives. way to sheep and goat tending, which flourish in a
Gabriel Plattes, writing in 1639, observed that all relatively barren environment.
tools and instruments are made of wood and iron. With the forest cover gone, natural calamities
Upon weighing the relative importance of the two struck. Silting of major harbors and an increase in
materials, he chose wood over iron because without flooding and mudslides in urban areas ensued. The
wood for fuel ‘‘no iron can be provided.’’ Tremithos River, for example, transported tons of
soil from the deforested hills below the Troodos
Massif and deposited them into the Mediterranean.
4. EXAMPLES OF WOOD USED FOR Currents moved these deposits of sediment toward
the important late Bronze Age town of Hala Sultan
FUEL OVER THE MILLENNIUM
Tekke. So much alluvium accumulated near the
mouth of its harbor that during the 12th century
4.1 Bronze Age Greece and Cyprus
bc. Hala Sultan Tekke was sealed off from the sea
Mycenaean Greece attained an unprecedented level and could no longer function as a port.
of material growth during the late Bronze Age. Similarly, excessive amounts of alluvium carried
However, it did not have much copper to make by the Pedieos River, which flowed through Enkomi,
sufficient quantities of bronze, the essential metal of a major Bronze Age city that faced the Near East,
the time. To sustain the booming economy of the formed a delta as it drained into the ocean, changing
Mycenaean states, abundant and reliable sources of Enkomi from a coastal to inland city. The number
copper had to be found. Fortunately, there was one and severity of floods and mudslides also increased as
area close by, Cyprus, that had lots of copper ore and a consequence of deforestation, periodically trans-
plenty of wood with which to smelt and refine it. In forming the streets of the city into raging torrents full
response to this need, the Cypriots smelted as much of mud and other debris.
copper ore as they possibly could for the overseas With wood difficult to come by, interest heigh-
market. However, the growing demand put a great tened in the search for ways to stretch limited
burden on the island’s woods because charcoal was supplies, resulting in technological advances and
the fuel for smelting and refining copper. One recycling. The adoption of hydrometallurgy to
hundred and twenty pine trees were required to prepare copper ore for smelting appears to be one
prepare 6 tons of charcoal needed to produce 1 ingot of the strategies chosen by late Bronze Age Cypriot
of copper, deforesting approximately 4 acres. Under- metalworkers to conserve fuel. The process required
water archaeologists found on board a Bronze Age the exposure of mined ore to the elements so that the
shipwreck 200 ingots of copper that had been mined ambient moisture would leach impurities. The
and smelted in Cyprus. The production of just this leached ore could be directly smelted, circumventing
shipload cost the island approximately 24,000 pine an initial roast and reducing the number of smelts
trees. The lively commerce in ingots during the 14th needed to reduce the ore. Hence, the amount of fuel
and 13th centuries bc surely consisted of many such expended in this phase was decreased by one-third.
shipments and the concomitant deforestation of a In another move to save fuel, metallurgists collected
large expanse of woodlands. The industry’s con- old and broken tools in order to resmelt them.
sumption of wood deforested approximately 4 or 5 Recycling bronze became a major source of the metal
square miles of woods per year. Another 4 or 5 during the period of wood depletion on Cyprus.
square miles of forest was cut to supply fuel for Despite such highly innovative ways to save energy,
heating and cooking and for other industries, such as metallurgists could not sustain the high productivity
502 Wood Energy, History of

of the previous two centuries. Copper production manner drastically reduced the overall output of
peaked in approximately 1200 bc, and the last copper metal on Cyprus and yielded relatively small amounts
furnaces were shut down in 1050 bc. During the same of iron. However, the success metallurgists had in
time period, 90% of the island’s settlements were working with iron at this early stage laid the
abandoned and the population withered away, as did foundation for the coming of the Iron Age in the
the economy and material culture. Mediterranean as well as the rest of Europe.
The depressed state of the Cypriot copper industry
apparently affected the entire eastern Mediterranean
region. Bronze was in such short supply that the 4.2 Classical Greece
smiths throughout the area bought whatever pieces In classical Greece, the silver smelted at Laurion,
they could find, whether virgin ingots, ingots southeast of Athens, near the sea, paid for the
composed of recycled bronze, or scrap. Athenian fleet that defeated the Persians at Salamis,
Often, smiths in southern Europe could obtain turning the tide in the war against the Persians. Coins
only minute quantities of bronze because of copper minted with Laurion’s silver were accepted as the
shortages. Such was the case in Greek Messenia in currency of the Greek world. With its treasury full of
approximately 1200 bc. With so little bronze bullion, the Athenian economy could well afford to
available, everyone suffered. Without metal hoes, spend lavishly. Miners did not recover pure silver at
plowshares, and scythes, farmers were far less Laurion but galena ore. Once mined, metallurgists
productive. Without axes, adzes, and saws, few ships had to heat the ore to very high temperatures to
could be built for commerce or war. Without enough extract the silver. Charcoal was the fuel metallurgists
arrowheads, spearheads, and blades for swords, at Laurion used in the smelting process and trees, or
soldiers were no match for a well-armed foe. course, had to be cut down to produce this charcoal
Taking advantage of Messenia’s vulnerability, a (Fig. 4). To extract the silver from ore at Laurion
group of insurgents overpowered local forces and required the burning of more than 24 million pines
destroyed the palace at its capital, Pylos. After the or more than 52 million oaks. The largest outlays of
catastrophe, the populace did not attempt to rebuild. fuel occurred during the two most active periods of
Events at Messenia presaged trouble that other mining, from 482 to 404 bc and from the second
societies in the eastern Mediterranean would soon decade of the fourth century bc to its end. The
face. Just as bronze gave these civilizations the surrounding areas could supply only a fraction of
material to expand to heights never before attained, Laurion’s fuel, forcing metallurgists to locate their
conversely, the lack of bronze played a major role in furnaces on the coast so they could easily receive fuel
their demise. imported from Thrace by ship.
In this sea of troubles, new hope for future
generations arose. The fuel crisis that had caused
copper production to decline served as the incentive 4.3 Classical Rome
for metallurgists to begin working with iron. Because
Rome financed its growth largely with silver ex-
Bronze Age Cypriots smelted copper ore that
tracted from Spanish ore. Production increased
contained 10 times more iron than copper, metallur-
gists could obtain more useable iron than copper with
the same investment of fuel. Hence, common sense
dictated switching to iron smelting when fuel was at a
premium. Furthermore, the refuse from Cypriot
copper smelting contained significant amounts of
iron. As long as there had been plenty of fuel,
metallurgists smelted virgin ore and ignored the slag
that had accumulated. When fuel became scarce and
forced production cuts, metallurgists began to mine
their industrial garbage. They discovered that the slag
contained a great amount of iron, which could be
removed simply by hammering. Taking iron out of
the slag manually permitted metallurgists to bypass FIGURE 4 Ancient Greek urn depicts a worker stoking a
any processes requiring fuel and still obtain usable metallurgical furnace with charcoal. From Perlin Forestry
metal. The labor-intensive nature of working in this Archives.
Wood Energy, History of 503

considerably during the end of the republic and the coinage, thus reducing the silver content to a mere
first years of the empire. However, this was 50%. Because Roman money was now so badly
accomplished only by great expense to the Iberian debased, Severus instituted the requisitioning of
woodlands since silver smelting consumed more than commodities rather than collecting worthless cur-
500 million trees during the 400 years of operation. rency through taxation. Further debasements forced
Woodsmen had to deforest more than 7000 square the government to search for creative ways of staying
miles to provide fuel for the furnaces. Near the end of afloat. Most of the methods chosen circumscribed
the period of peak production, the need to sustain the freedom of Rome’s citizens. Providing the
high output so strained the area’s fuel supplies that it government with the provisions it needed became
merited intervention by the Roman state. Under the compulsory. The government also established guilds,
reign of the emperor Vespasian, the Roman govern- expecting them to produce according to obligations
ment directed all mining areas of southwestern Spain it set but rewarding members with monopolies in
to prohibit the sale of burnable wood by those who their respective trades.
ran bathhouses in the region (Fig. 5). By the end of the third century ad, Rome’s currency
To produce enough silver to support the habits of a had lost 98% of its silver content, and the public
succession of rulers who spent as extravagantly as placed as little value on it as did the government.
Caligula and Nero, a time had to come when the tree People increasingly took to trading in commodities
supply in Spain would dwindle and production in and services so that by the first part of the fourth
silver would decline accordingly. Conservation laws century ad barter had become institutionalized.
could only temporarily stave off wood shortages To keep those in Rome from becoming too
when silver was spent so wastefully. At approxi- anxious over the declining economy, the rulers of
mately the end of the second century ad, the in- Rome had to constantly find ways to keep the
evitable occurred: Silver production declined. Further population placated. The later emperors were well
output was limited not by the supply of ore, which aware of the Romans’ love of bathing and added
remained abundant, but by the accessibility of fuel. many new baths to the city, eventually bringing the
The decline in silver production offered later total to more than 900. The largest held as many as
emperors two choices: cut expenditures or find 2000 bathers at a time. Bathwater had to be hot if
alternative financing. They unanimously chose the the Romans were to remain happy. Because keeping
latter but differed in methodology. The emperor the Roman populace satisfied was paramount in the
Commodus ‘‘stretched’’ silver money by adding base minds of those in power, the authorities were willing
metal, which comprised 30% of the coin. He also to go to great lengths to ensure a constant flow of
went on a killing spree, enraged that the empire’s fuel to the bathing establishments.
revenues could not meet his expenditures. When he In the third century ad, the emperor Severus
finally calmed down, he decided to auction off Alexander saw to it that entire woods were cut down
whatever he could, offering provincial and adminis- to keep the baths in Rome well heated. When these
trative offices to the highest bidder. forests gave out a century later, the authorities
Septimius Severus, who ruled a few years after founded a guild with 60 ships at its disposal that
Commodus, added 20% more alloy to the silver was solely responsible for supplying the baths with
wood. Sometimes, wood could be obtained as close
to home as the Campania region. Usually, though,
the guild had to make its wood runs primarily to the
forests in North Africa. That Romans would travel
such great distances for fuel indicates just how little
wood was left in its vicinity and how dependent the
Romans had become on foreign supplies.
Interestingly, the rise and decline of fuel supplies
in Rome closely parallel the fortunes of the empire.
The pioneering ecologist George Perkins Marsh
demonstrated the fact by describing the changes in
brick and masonry work in Rome over the centuries.
Bricks in early buildings were extremely thin, well
FIGURE 5 Longshoremen loading a log destined to fuel the fired, and held together by liberally applied quan-
baths of Rome. From Perlin Forestry Archives. tities of lime mortar. In contrast, as the imperial
504 Wood Energy, History of

period progressed, the opposite proved true: Bricks


were very thick, usually poorly fired, and held
together by a minimum of mortar. Marsh hypothe-
sized that the difference was ‘‘due to the abundance
and cheapness of fuel in early times, and its growing
scarceness and dearness in later ages.’’ He elaborated
on his observation:
When wood cost little, constructors could afford to burn
their brick thoroughly and burn and use a great quantity of
lime. As the price of firewood advanced, they were able to
consume less fuel in brick and lime kilns and the quality and
quantity of brick and lime used in building were gradually
reversed in proportion.

4.4 England, 1500s–1700s


At the beginning of the 16th century, England
depended on the Continent for its shot and artillery.
However, Henry VIII’s apostasy resulted in an arms
embargo and a threat of invasion. Self-sufficiency
seemed the only recourse. Henry therefore saw to
the development of a local arms industry in Sussex,
where rich veins of high-phosphorous iron were
particularly advantageous for the casting of guns FIGURE 6 Wood cutters chop off tree limbs to be used as
and where oak and beech would provide ample fuel charcoal. From Perlin Forestry Archives.
for the gun founders. They did not smelt their iron in
simple hearths but used blast furnaces and an
accompanying forge. They chose the blast furnace
and forge over the simpler hearths because the
former could produce approximately 20 times more
iron than the latter. The blast furnace and forge also
consumed much more charcoal (Figures 6 and 7). By
the late 1540s, the new English arms industry
annually consumed approximately 117,000 cords
of wood, causing great destruction of nearby woods.
People living in the vicinity viewed these blast
furnaces and forges as menacing since the wood
they consumed was essential to the locals’ survival,
who used it to heat their homes, cook their meals,
make their tools and fishing boats, and build and
repair their houses. By the 1700s, the iron industry
had deforested such a large area of southeast FIGURE 7 Charcoal fires also fueled English glassworks. From
England that the iron masters had to ration the Perlin Forestry Archives.
amount of iron ore they could smelt. To increase
iron production required learning to smelt ore with 4.5 Madeira, West Indies, and Brazil,
coal without adding its impurities to the finished
1400s–1600s
metal. By discovering how to make coal as close to
charcoal as possible, the English freed themselves Sugar brought great wealth to those who raised the
from the constraints of its dwindling forests and commodity. Hence, when the Portuguese landed on
began the industrial revolution, an age that has the warm, greatly forested, fertile, and well-watered
qualitatively separated people living since the mid- island of Madeira, they immediately started to plant
19th century from those throughout the rest of cane. Once the juice was forced out of the stalks,
history. workers poured the extracted liquid into kettles.
Wood Energy, History of 505

A fire, rarely extinguished, burned underneath each since they had upon arrival more wood fuel with
pot. The wood from linden trees furnished much of which to heat than did most noblemen in England.
the fuel. No doubt cedar was also used, being the Families also used the enormous fireplace around
most common wood on Madeira. Sugar workers which they huddled for lighting. The fireplace was so
aptly called the room in which the cane juice was huge as to require logs of dimensions that could only
boiled the ‘‘sweet inferno.’’ The juice continued be dragged into the house by a horse or oxen.
boiling until judged ready for removal to an area America’s plethora of wood gave rise to a large
where it would solidify into sugar. By the end of and prosperous iron industry. Despite the fact that
the 15th century, the island’s sugar industry re- American woodcutters earned three times more than
quired approximately 60,000 tons of wood just for their counterparts in England and Americans who
boiling the cane. Four of the 16 mills operating on coaled the wood made approximately twice as much
Madeira consumed 80,000 pack animal loads of as those who did the same work in England, because
wood per year. a cord of wood cost 14 times more in England than
Almost immediately after the discovery of the in America, American ironmasters could manufac-
West Indies and South America, Europeans recog- ture pig iron in the Colonies and export it to
nized that the land offered the same ideal conditions England, underselling English iron.
for growing and processing sugar as existed on Iron furnaces and forges first began operating in
Madeira. The Spanish planted sugarcane on Espa- the backwoods of Virginia and Maryland and then
nola soon after Columbus’s first journey to the New spread to Pennsylvania and New Jersey. They not
World. As expected, the cane flourished, and by the only produced iron for the English market but also
end of the 16th century 40 sugar mills were operating produced cast iron goods for local use. The
on the island. It was no different in other parts of the proliferation of home-produced iron goods frigh-
Indies, and sugarcane proliferated and became the tened the English, whose mercantile economy was
area’s main source of revenue. Nor did the Portu- based on buying raw materials from the Colonies at
guese, after their success on Madeira, wait long to bargain prices and selling back finished products at
establish sugar plantations after taking possession of much higher prices. The English therefore passed a
Brazil. Near the end of the 16th century, a visitor law in 1749 that encouraged the importation of pig
reported 70 sugar mills at work in the Pernambuco iron from the American Colonies, because wood
region and 40 in the area of Bahia. Experts in sugar shortages had hindered England’s iron production,
production in the New World estimated that six to while forbidding the Americans from developing
eight slaves had to be constantly employed in cutting forges to turn out finished iron products.
fuel in the forest and transporting it to the mills for The act stirred already growing feelings for
optimum efficiency. Providing fuel for 1 mill stripped independence among many of the colonists. It hardly
approximately 90 acres of forestland each year. seemed fair or rational to Americans that they had to
Such large-scale consumption of wood took its toll send to England the iron they produced in order to
on the forests of the New World. Two hundred and buy it back again as manufactured items, costing
forty years after the Portuguese had found Madeira them almost twice as much compared to if they done
so thickly wooded that they called it ‘‘isola de the entire process at home. The intent of the act
Madeira’’ (island of timber), it had become the island reminded many of the servile conditions forced upon
of wood in name only, so deforested that those the Children of Israel by the Philistines when the
passing it by ship could find absolutely no greenery in Jews were not allowed any smiths of their own. The
view. Likewise, the very thickly forested island of prohibitory nature of the act aroused revolutionary
Espanola had become an open land. The pace of rhetoric among the more radical Americans such as
deforestation on Barbados exceeded that on Espa- James Otis, credited by John Adams as the father of
nola and Madeira. In little more than 20 years, the the idea of independence, and John Dickinson, who
representatives of the planters admitted to having later authored revolutionary America’s ‘‘Declaration
used and destroyed all the timber formerly growing of the Causes of Taking Up Arms.’’ Both feared that
on the island. prohibiting the manufacture of iron goods was the
first step in stopping the construction of any
machinery that would further develop the Colonies’
4.6 American Colonies
economy.
America’s great forests offered the pilgrims a higher Despite the anger the act aroused in America, it
standard of living than that of their peers in England did increase American exports of pig iron to
506 Wood Energy, History of

England. By 1769, approximately half of the pig iron produced during the heyday of the British charcoal-
worked in English forges came from America. By burning irons industry, which dated from the 1640s
1776, as much iron was produced in the Colonies as to the 1780s, is in order. In its most productive years,
in Britain. Even more encouraging to those favoring England’s charcoal-run ironworks produced approxi-
revolution, and frightening to those wishing to hold mately 1 million tons of iron in 60 years.
onto the American Colonies, was the fact that not The steamboat opened the old American west
only did America’s innumerable iron mines and (lands east of the Mississippi River, north of the Ohio
endless forests give it the very sinews of power but River, and west of the Allegheny Mountains) to
also a certain type of iron produced in America, settlement (Fig. 8). How else could farmers in places
called best principio, was judged as good as any in such as Ohio, Indiana, and Illinois expect to move
the world for making shot and cannon. their goods to distant markets except by navigation?
Had farmers had to rely on land transport instead,
they would have needed 5000 miles of good road,
4.7 America after Independence
which did not exist at the time, and 250,000 wagons
Alexander Hamilton, probably the greatest advocate to transport the same amount of goods annually
of industrialization during the early republic, pre- carried by steamboat. Steamboats were lauded by
dicted that America was very fortunate to have vast mid-19th-century pundits as the most important
supplies of iron ore and wood with which to make technological development to have occurred in the
charcoal. Trench Coxe, a colleague of Thomas United States because they contributed more than
Jefferson and James Madison, predicted that Amer- any other single development to advance the prosper-
ica’s rich store of wood fuel would provide invalu- ity of those living in the Mississippi and Ohio River
able to the rise of industry and turn America into the basins.
most powerful country in the world. Great quantities of wood were needed for fuel.
Breweries, distilleries, salt and potash works, and The large steamboat Eclipse’s 15 boilers consumed
casting and steel furnaces all needed heat to produce wood by the carload. Thousands of wood yards were
finished products. Francois Michaux, a French located along the banks of every navigable river
botanist who studied America’s trees at the beginning simply to provide steamers with fuel. Backwoodsmen
of the 18th century, found that the bakers and brick brought the timber they had cut to these depots and
makers of New York, Philadelphia, and Baltimore hacked it into the proper size for the ships’ furnaces.
commonly consumed prodigious quantities of pitch At night, the owners of these wood lots kept gigantic
pine. Hatters of Pittsburgh, on the other hand,
preferred charcoal made from white maple. Boats
sailed along the Erie Canal picking up wood to fuel
the nation’s largest salt works, located in upstate
New York. Boiling rooms, in which the salt water
was evaporated over charcoal fires, produced 2
million bushels of salt per year. The salt went to
Canada, Michigan, Chicago, and all points west.
Farmers were the largest purchasers, using the salt
for preserving meat that they marketed. Steam
engines, which in the 1830s began to replace
factories run on water power, usually burned wood
as their fuel.
Americans could see the Hand of Providence at
work in providing great amounts of wood and iron
next to each other. Wood- and iron-rich western
Pennsylvania, northern Michigan, and southeast
Ohio became the principal producers of iron in
19th-century America. Throughout the nation, char-
coal-burning iron mills produced 19 million tons of
iron between 1830 and 1890. To truly appreciate the
magnitude of the output of America’s wood-fueled FIGURE 8 Hauling timber to fuel steamboats. From Perlin
iron furnaces, comparison to the amount of iron Forestry Archives.
Wood Energy, History of 507

fires blazing so those onboard the boats could see the forestland; today, however, usually approximately
yards and fuel up. 15 people try to supply themselves with firewood
Railroads liberated Americans from their depen- from 1 ha of woods. Such overexploitation will
dence on waterways for shipping freight and surely cause local supplies to quickly diminish,
personal travel. They slashed the cost of and the forcing people to seek wood in more distant forests.
time required to travel. With plenty of timber Demand for wood and charcoal in growing urban
growing along the right-of-way of most railroads, areas of the developing world has introduced a new
or at least close by, locomotives used wood as their and growing problem—the industrialization of ac-
only fuel from when the first tracks were laid in 1830 quiring firewood and charcoal. Instead of individuals
to the beginning of the Civil War. Fuel needs of fanning neighboring woods to cut down trees for
engines owned by the New York Central Line fuel, well-capitalized charcoal dealers search
required the railroad to build 115 woodsheds along throughout the countryside for supplies. Bangkok’s
its track. If the woodsheds were stacked side by side, 5 million citizens obtain a large amount of their
they would have stretched approximately 5 miles. A charcoal in this manner from forests throughout
wood yard for trains at Columbus, Nebraska, was Thailand. There is no question that as the population
half a mile long. in the developing world grows, so too will the
Between 1810 and 1867, approximately 5 billion demand for firewood and charcoal and deforestation
cords of wood was consumed for fuel in fireplaces, will continue to accelerate.
industrial furnaces, steamboats, and for railroads. To
obtain such a quantity of wood meant the destruc-
tion of approximately 200,000 square miles of forest
land, an area nearly equal to all the land that SEE ALSO THE
comprises the states of Illinois, Michigan, Ohio, and FOLLOWING ARTICLES
Wisconsin.
Coal Industry, History of  Depletion and Valuation
of Energy Resources  Early Industrial World,
4.8 Use of Wood for Fuel, the Present
Energy Flow in  Electricity Use, History of  Fire:
Today, half of the wood cut throughout the world is A Socioecological and Historical Survey  Forest
used for fuel. Eighty percent of all wood used for fuel Products and Energy  Hunting and Gathering
is consumed in the developing world. In fact, the Societies, Energy Flows in  Hydropower, History
majority of people in the developing world depend and Technology of  Manufactured Gas, History of 
on wood as their primary energy source. Charcoal Natural Gas, History of  Solar Energy, History of 
and firewood in the Cameroons, for example, Wind Energy, History of
account for 80% of all energy consumption. The
demand for firewood and charcoal is also increasing
as the population increases. In Africa, the amount of Further Reading
wood consumed for energy purposes increased from
Bryant, D., Nielsen, D., and Tangley, L. (1997). ‘‘The Last Frontier
250 million m3 in 1970 to 502 million m3 in 1994. In Forests: Ecosystems and Economies on the Edge.’’ World
Latin America, the vast majority of the rural Resources Institute, Washington, DC.
population uses wood as its primary fuel. The true Myers, N. (1980). The present status and future prospects of
danger to the forests of the developing world is that tropical moist forests. Environ. Conserv. 7(2), 101–114.
growing numbers of people exploit local forests, Perlin, J. (1991). ‘‘A Forest Journey: The Role of Wood in the
Development of Civilization.’’ Harvard Univ. Press, Cambridge,
threatening their viability and forcing people to MA.
travel greater distances for wood fuel. One person Richards, J., and Tucker, R. (eds.). (1988). ‘‘World Deforestation in
can ably supply himself with firewood from 0.5 ha of the Twentieth Century.’’ Duke Univ. Press, Durham, NC.
Wood in Household Energy Use
ROBERT BAILIS
University of California, Berkeley
Berkeley, California, United States

and the interventions that have been attempted over


1. Introduction the past two decades.
2. Wood Burning at the Household Level
3. Alternatives to Wood Burning and Possible Future
Directions for Households in Less Developed Countries 1. INTRODUCTION

1.1 Wood as a Source of


Glossary Household Energy
biomass energy Energy derived from any nonfossil organic
Since the beginning of human history, people have
fuel; sources of biomass energy include wood and wood
by-products (e.g., charcoal) as well as nonwoody relied on wood to provide energy for subsistence. As
materials (e.g., crop residues, human or animal waste). people mastered wood burning, it became a valuable
charcoal A wood product that is made by heating wood in tool for industrial uses as well as basic household
the absence of sufficient air for full combustion to needs. Centuries of technical progress have seen many
occur; heating releases the wood’s volatile compounds, different fuels brought into use that are preferable to
leaving behind a lightweight and cleaner burning fuel wood for a number of reasons. However, widespread
that is 70 to 90% carbon. changes in the industrial sector have not been
cooking stove Any device used for cooking food; a cooking mirrored in the residential sector. Between one-third
stove can range from an open wood-burning fire to a gas and one-half of the world’s population continues to
burner.
use wood and other biomass fuels to meet their
heating value The energy that is released by ideal
energy needs. The use of wood as a household fuel is
combustion per unit mass of fuel; for any fuel, heating
value can be reported in two quantities: higher or lower overwhelmingly concentrated in less developed coun-
heating value. tries where, for a number of reasons that are explored
liquefied petroleum gas (LPG) A gaseous mix of light in this article, alternative fuels such as natural gas,
petroleum distillates (primarily butane and propane) kerosene, liquefied petroleum gas (LPG), and elec-
that is liquefied at high pressure; it is a high heating tricity have not been widely adopted.
value fuel used for cooking. The implications of such widespread wood con-
sumption extend across a range of social and
environmental issues. Household woodfuel con-
Roughly 40% of the world’s population, highly sumption is associated with social and environmental
concentrated in less developed countries, use wood- problems, including health problems associated with
fuels as their principle source of household energy. indoor air pollution (IAP) and environmental change
This prevalence of woodfuel consumption is asso- associated with both greenhouse gas (GHG) emis-
ciated with a number of socioeconomic and environ- sions and the depletion of local forests and wood-
mental issues that relate to poverty and gender, land lands. In addition, woodfuel use creates high labor
use change and deforestation, indoor air pollution demands and potentially hazardous conditions for
and public health, as well as climate change and household members. However, it is important to
greenhouse gas emissions. These factors have been recognize that a direct causal link between woodfuel
the impetus for a wide range of interventions into the consumption and any one of these problems does not
way that people in less developed countries meet always exist. These problems rarely arise as a result
their energy needs. This article discusses these issues of wood consumption alone; rather, they are the

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 509
510 Wood in Household Energy Use

result of complex relationships among wood con- appliances for washing, preserving food, and en-
sumers, the environment in which they live, and the tertaining the family. In some countries, households
larger political economy. Therefore, understanding also use energy for productive activities, including
the problems associated with household woodfuel brewing beer, firing bricks, and cooking or drying
consumption is possible only by considering the food for commercial sale. These activities are not
social, political–economic, and environmental con- usually part of the formal economy, and the energy
texts in which they arise. consumed is often unaccounted for in national
The aim of this chapter is to examine the use of energy balances, but such activities constitute a
wood as a source of household energy, focusing on significant fraction of energy consumption within
the less developed countries where it is most communities where they are practiced.
prevalent. The article discusses some of the larger Globally, the demand for residential energy de-
socioeconomic and environmental issues to which pends on many factors, including climate, locality, the
household energy is linked and explains why wood level of wealth of the household, and the availability
remains one of the most common household fuels for of resources. The fuels and the technology used to
so many people. It closes with an examination of convert the fuels’ energy for use in the household are
some possible improvements and alternatives to equally variable. Even in less developed countries
common wood-burning practices that can help to where the majority of households rely on wood or
mitigate some of the negative impacts associated other biomass fuels, the variety and performance of
with woodfuel consumption. cooking stoves are surprisingly diverse.
Typically, fuels for household use are divided into
modern fuels and traditional fuels. The former
1.2 The Household Energy Sector and
category includes refined liquid and gaseous fuels
Household Fuel Choice
such as natural gas, LPG, and kerosene as well as
Household energy use consists of energy used for electricity. The latter category includes solid fuels
space heating, water heating, and cooking. In such as coal and biomass. Modern and traditional
locations where electricity is available, households fuels are often characterized as commercial and non-
also use energy for running a number of household commercial, respectively. Although this distinction is

100 1000
Percentage of households

80 800

60 Millions of people
600

40 400

20 200

0 0
OECD North Africa Latin East Asia South Asia China Sub-Saharan
and America (except Africa
Middle East China)
Percentage of households in region using biomass fuel Number of people in region using biomass fuel
Per capita GDP (PPP) as percentage of that of OECD

FIGURE 1 Biomass fuel users by world region: 2000. The figure shows estimations of the numbers and fractions of
households cooking or heating with biomass fuels by world region. The fraction of households in each region is indicated by
vertical bars and measured on the left vertical axis. The number of people using solid fuels in each region is indicated by the
dark line with squares and is measured on the right vertical axis. The lighter line with circles indicates the per capita gross
domestic product (GDP) adjusted for purchasing power parity (PPP) for each region relative to the OECD’s per capita GDP,
also measured on the left vertical axis. All data except OECD data are from the International Energy Agency. OECD data are
from a database developed by Lawrence Berkeley National Laboratory in 1999 and are used with permission. This graph is
based on data compiled by the author in collaboration with Prof. Kirk Smith and Sumi Mehta of the University of California’s
School of Public Health originally for their assessment of the impact of solid fuel consumption on the Global Burden of
Disease.
Wood in Household Energy Use 511

1200
Electricity
LPG, natural gas, and kerosene
Coal
1000
Other biomass
Wood and charcoal
Thousands of people using fuel
800

600

400

200

India
OECD

Latin America

China

and Middle East

Asia (except

Sub-Saharan
China and
North Africa

India)

Africa
FIGURE 2 World household fuel choice by region: 1990–2000. The mix of fuels used by households in various regions of
the world is based on a wide range of census and survey data compiled throughout the 1990s regarding households’ primary
cooking fuel. In reality, many households use multiple fuels, but this is difficult to account for at the national or regional level.
Note the ‘‘other biomass’’ includes crop residues and dung.

occasionally useful, it can also be misleading because Within a country or region, there are many
it implies that markets do not exist for solid fuels. On additional factors that contribute to household fuel
the contrary, there are often well-developed markets choice. These include access to fuels and residential
for different types of traditional fuels, and some (e.g., energy technologies, rural–urban settlement patterns
charcoal) are traded internationally. and development policies, household income and
One factor that correlates well with residential gender dynamics of household decision making, and
energy demand and fuel choice is the degree of important sociocultural preferences affecting house-
industrialization in the country. Households in highly hold behavior and cooking practices. Figure 2 shows
industrialized countries rely primarily on commercial the range of household fuel choices in various regions
liquid and gaseous fuels or electricity for their residential of the world.
energy needs, with a few regional pockets where solid
fuels—primarily wood and coal—are used. In contrast,
households in less industrialized countries tend to use 2. WOOD BURNING AT THE
much higher fractions of solid fuels. Figure 1 shows a HOUSEHOLD LEVEL
recent estimate of the number of biomass fuel users in
the world from the International Energy Agency (IEA). Household energy demand includes energy for
The graph also shows regional gross domestic product cooking, water heating, and space heating as well
(GDP) per capita adjusted for purchasing power parity as for some productive end uses. In developing
(PPP) and indexed to the Organization for Economic countries, the primary end use is often cooking,
Cooperation and Development (where OECD ¼ although other applications are also important.
100%). South Asia (India, Pakistan, and Bangladesh) People who rely solely on wood or other solid fuels
has the highest number of users, whereas Sub-Saharan often use the same technology to cook, heat water,
Africa has the highest rate of use. and (in colder regions) heat their homes, in contrast
512 Wood in Household Energy Use

to industrialized countries where most people have stone fire include sinking the combustion zone below
access to a range of specialized energy conversion ground level and constructing a barrier around it to
technologies. Because the stove is the most common shield the fire from drafts. Figure 4 shows a stove
wood-burning tool, this section focuses primarily on from Bangladesh with the combustion zone sunk
cooking stoves and cooking activities with the below the ground, and Fig. 5 shows a makeshift
understanding that the stove is often used for
noncooking tasks.

2.1 Wood-Burning Technologies for


Household Use
One of the oldest methods of cooking with wood, the
‘‘three-stone fire,’’ is still the most prevalent cooking
technology in the world. The three-stone fire consists
of a pot supported a short distance above the ground
by three stones. Figure 3 shows an example of a
three-stone fire from Kenya. This stove is indoors,
although cooking may also be done outside, depend-
ing on local practices. The three-stone fire is favored
by many people because it is free and requires no
special equipment to build. It accommodates a range
of pot shapes and sizes, and it provides heat, light,
and a measure of security for the household.
However, it also produces smoke as a result of
incomplete combustion. This leads to very high
concentrations of IAP that have serious consequences
FIGURE 4 A variation of the three-stone fire from Bangladesh
for the health of household members (discussed in showing the fire sunk beneath ground level. Originally appeared in
more detail later). Stove Images (photo by IFRD/BCSIR, Dhaka, Bangladesh),
Although the basic three-stone fire is very com- reproduced with permission of the author and publisher.
mon, it is also modified in countless ways throughout
the world. Common modifications to the basic three-

FIGURE 5 Variation of a three-stone fire from India with


protection from outside drafts. Originally appeared in Stove
FIGURE 3 Three-stone fire from Kenya. Photo by Majid Images (photo by Dorsi Germann), reproduced with permission of
Ezzati. the author and publisher.
Wood in Household Energy Use 513

stove from India that has been shielded from the areas of less developed countries. Closer scrutiny has
wind. Reducing drafts has the effect of reducing heat shown that other factors, primarily land clearing for
loss and, thus, directing more of the fuel’s energy into cultivation, timber extraction, and woodfuel supply to
the cooking pot. urban markets, dominate the loss of tree cover in most
More extreme adjustments to the open fire involve of the regions that suffer from forest degradation.
fully enclosing the combustion zone, as this allows
for some degree of air control and directs the hot
gases produced by combustion more toward the
cooking pots and less toward the surrounding
environment. Some stoves include a flue or chimney
that directs the exhaust out of the room, whereas
others vent their exhaust past the pot and out into
the room where cooking is taking place. A well-
functioning chimney can reduce the concentration of
pollutants inside the household dramatically by
directing smoke outdoors. It also creates a natural
draft in the stove that can improve combustion,
further reducing pollution. Figures 6 and 7 show
examples of stoves with completely closed combus-
tion chambers from India and Nepal, respectively.
The Indian stove has no flue so that the combustion
emissions are vented into the room, whereas the
Nepalese stove has a flue (built into the wall at the
rear of the stove) so that emissions are vented
outside. Additional modifications include insulating
parts of the stove to reduce heat losses and adding
dampers or secondary air inlets to improve air flow FIGURE 6 Stove from India with closed combustion chamber
and combustion characteristics. More complex de- and no chimney. Photo by Kirk Smith.
signs even preheat incoming air to facilitate combus-
tion. There are hundreds of stove models
incorporating various combinations of these techni-
cal design principles. Moreover, there are many
nontechnical factors that constrain stove design and
adoption (discussed in more detail later).

2.2 Impacts of Household Fuelwood Use


in Less Developed Countries
As discussed previously, there are a number of
problems associated with household fuelwood use
in less developed countries. Deforestation is a
frequently cited example, but the links between
woodfuel consumption and deforestation are, in
most cases, quite weak. Other problems, although
less visible, are more strongly associated with
household energy demands. The remainder of this
section discusses these issues in more detail.

2.2.1 Woodfuel Scarcity and Deforestation


FIGURE 7 Stove from Nepal with closed combustion chamber
Historically, the most frequently cited problem with and chimney to vent emissions outside. Originally appeared in
household woodfuel consumption has been deforesta- Stove Images (photo by Dorsi Germann), reproduced with
tion, which has reached crisis levels in many rural permission of the author and publisher.
514 Wood in Household Energy Use

Household fuelwood rarely comes from mature trees relationships between household fuel choice and
in forests or woodlands; people prefer gathering fallen economic development. The concept of the energy
branches and dead wood. People may also collect ladder model is based on two premises: (1) that a
wood from their own household compounds or from ranking of fuels in order of user preferences
fallow land. However, problems arise when access to correlates roughly to the ease of use, cleanliness,
woodlands is denied or when the woodlands are and energy efficiency of the fuel and (2) that users
cleared en masse for timber extraction or cultivation. move up or down the ladder as household income
The latter is often accompanied by processing of the rises or falls or, more broadly, as economic progress
cleared wood into charcoal or firewood, but that is advances or recedes.
marketed for urban consumption; in either case, the Problems with the energy ladder model arise from
cleared wood is inaccessible to local users. In addition, the simplified way in which the model is applied to
whether land is held in common or is privately owned, policymaking, as this can lead to the mistaken
population and economic pressures can force people conclusion that fuel choice is determined purely by
to shorten fallow periods or expand the areas they economic factors. An increase in household income
cultivate, reducing both the time and the space in will not necessarily be spent on cooking stoves or
which their homegrown wood accumulates. Hence, fuel. A great deal depends on which household
although it is unlikely that energy demand is the member controls expenditure decisions and how that
primary cause of fuelwood scarcity, scarcity still person prioritizes expenditure in relation to other
affects many rural communities and can have a household needs. Moreover, cultural preferences may
significant impact on household welfare. lead people to retain a particular fuel to cook certain
foods or to use on special occasions so that complete
2.2.2 Rural–Urban Energy Issues in Less fuel switching is quite rare. Finally, ease of access and
Developed Countries: The Energy Ladder, consistent availability of fuels both are important
Fuel Substitution, and Charcoal factors that determine the extent and/or permanence
of fuel switching in any household. Some of these
2.2.2.1 Rural–Urban Energy Issues Less devel- dynamics are illustrated by an example from Kenya
oped countries are often marked by a clear distinc- shown in Fig. 8.
tion in the level of development between urban and
rural areas. This distinction is visible in many 2.2.2.3 Charcoal Charcoal is the principal wood-
socioeconomic arenas, including household energy. fuel in urban areas of many less developed countries.
Urban households have a greater range of energy There are a number of reasons why people in dense
options, and most of their fuels are procured through urban settlements favor charcoal over wood. It has a
market transactions. This is in contrast to rural higher energy density, it burns cleaner (reducing
households, where choices are limited but fuel is exposure to harmful pollutants), and it is easier to
often gathered freely by household members. transport, handle, and store. In addition, many people
In places where wood is a common rural fuel, favor charcoal because it is considered a more modern
charcoal is often popular in cities and towns. fuel than wood and is a kind of status symbol.
However, patterns of household fuel use in urban Domestic charcoal use in less developed countries
households depend not only on the supply of wood in is possible only with a thriving charcoal industry.
the country but also on the degree to which other Charcoal production is most prevalent in Africa,
household fuels are available, and the latter itself although it is also common in several other countries
depends on state policies created to develop and/or such as Brazil, India, and Thailand. Table I shows the
regulate fuel markets. In addition to charcoal, other 10 largest charcoal-producing, -importing, and
fuels used in urban areas include coal, kerosene, LPG -exporting countries. Brazil is a bit of an anomaly;
or natural gas, and electricity. Households in rural it produces as much charcoal as do the next five
areas have fewer options because markets do not largest producers, but charcoal is used mainly in the
evolve where transportation is more expensive and iron industry and is not a major household fuel in
household purchasing power is much lower. that country. In contrast, in many African and Asian
countries, charcoal is an important urban household
2.2.2.2 The ‘‘Energy Ladder’’ Household fuels fuel. In addition, a small amount of international
can be ranked by order of user preference in an trade occurs, as the table indicates.
‘‘energy ladder,’’ which is a simple conceptual model Charcoal is often derided as wasteful and destruc-
that has been developed to explain and predict tive to the environment because traditional charcoal
Wood in Household Energy Use 515

100 100

Percentage of households

Mean annual expenditure


(thousands of KSh)
75

50 10

25

0 1
1 2 3 4 5 1 2 3 4 5 Average Average
rural urban
Rural households: Expenditure Urban households: Expenditure
quintile quintile

Firewood Charcoal Gas and kerosene Electricity Expenditures per capita

FIGURE 8 Fuel choice and household expenditure in rural and urban Kenya by expenditure quintiles: 1994. The figure
shows per capita expenditure and primary cooking fuel for Kenyan households disaggregated by rural and urban areas and
grouped by expenditure quintiles. The differences between rural and urban groups are more apparent than the differences
between income groups within either area. The wealthiest 20% of rural households have higher mean annual expenditure than
do 60% of all urban households. However, 85% of the wealthy rural households use wood as their primary cooking fuel. In
contrast, 53% of households in the third urban quintile and 35% of the poorest urban quintile choose gas (LPG) or kerosene.
This may indicate that fuel preferences are different between urban and rural households, or it may reveal that markets for
alternative cooking fuels have failed to penetrate rural areas (the latter is more likely to be the case). From ‘‘World Bank
African Development Indicators: 2000 Database’’ (citing a 1994 Welfare Monitoring Survey conducted by the Kenyan
government in which more than 10,000 households were sampled).

TABLE I
Top 10 Charcoal Producers, Importers, and Exporters: 2000

Percentage of world Top charcoal Top charcoal


Top charcoal producers Tons production importers Tons exporters Tons

1. Brazil 12,063,000 29 Japan 129,000 Indonesia 148,700


2. Nigeria 3,057,000 8 Germany 96,500 China 83,800
3. Ethiopia 2,907,000 7 South Korea 95,000 Malaysia 61,200
4. Kenya 2,475,000 6 China 70,538 South Africa 44,500
5. India 1,654,000 4 Italy 46,000 Argentina 44,000
6. Democratic Republic 1,418,000 3 United 45,000 Poland 40,000
of the Congo Kingdom
7. Thailand 1,222,000 3 Norway 43,000 Mexico 38,100
8. Egypt 1,196,000 3 Saudi Arabia 37,200 Somalia 33,678
9. Tanzania 1,165,000 3 Singapore 28,000 The Philippines 30,000
10. Zambia 1,040,000 3 France 27,746 Nigeria 28,000

World total 40,615,004 100 World total 921,312 World total 851,314

Note. Charcoal data are from the UN Food and Agriculture Organization’s (FAO) online statistical database (http://apps.fao.org/page/
collections? subset ¼ forestry) with the exception of Kenya. Data for Kenya are from a recent domestic survey. This survey, based on
household consumption data, is nearly 300% higher than the numbers given for Kenya in the FAO’s database. Many other discrepancies
exist in national-level charcoal data from other countries. The FAO is currently undertaking an effort to identify and correct these errors.

production methods can be inefficient. In an earth- of wood is needed to make 1 ton of charcoal—a mass-
mound kiln, the most common method of making based conversion efficiency of 10 to 20%. In these
charcoal in Sub-Saharan Africa, between 5 and 10 tons circumstances, between 60 and 80% of the wood’s
516 Wood in Household Energy Use

energy is lost in the production process. The process area underneath the charcoal kiln, usually 2 to 3% of
depends on a number of variables such as scale of the cleared woodland. However, not all ecosystems
production (production can range from o100 kilos up are equally resilient. When trees are cleared from
to 30 tons), moisture content and size of the wood, and moist tropical forests, they might not recover as
time taken for the process (this also depends on the readily as do wooded savannah.
scale of production and can range from 2 to 10 days). Although woodfuel demand in urban areas does
Efficiency varies with the skill of the producers and the not have a dominant influence in the overall loss of a
techniques they employ, which are likely to be a nation’s tree cover, it can have severe impacts on
function of wood scarcity. Producers will adopt labor- specific locations. This is especially true in nations
intensive steps to conserve wood only if they perceive with weak regulatory mechanisms governing the
wood scarcity as a threat to their own livelihood. harvesting of forest resources, where outsiders can
More efficient methods of charcoal production clear large tracts of woodlands on which rural
using special kilns or retorts can reduce energy losses communities rely without offering rank-and-file
to between 30 and 40%. However, this equipment is community members any compensation for their lost
expensive relative to traditional methods. It is not resources. Devolving control to local communities
likely to be widely adopted without outside inter- can ensure that they benefit from the exploitation of
vention, particularly in regions where wood is forest resources, although the benefit stream is very
accessible for little or no financial cost. Nevertheless, sensitive to the structure of institutions that usually
the comparative efficiencies of charcoal and fuel- does not favor local control.
wood should not be based solely on production. The second environmental concern associated
Cooking with charcoal can be more efficient than with charcoal is the emissions of GHGs (discussed
cooking with wood (typical efficiencies for charcoal in more detail later).
stoves are 20–30%, whereas those for three-stone
wood fires are usually 10–15%). If a person cooks a 2.2.3 Energy, Poverty, and Gender
meal using a charcoal stove that is 30% efficient and Recent analyses from the World Bank and other
the charcoal he or she uses was produced at 20% development institutions have introduced the con-
efficiency (based on wood-to-charcoal mass, this is cept of energy poverty to development discourse.
high but has been observed in practice), that person Linking energy to poverty implies that a lack of
uses less wood than does a person cooking the same access to clean and efficient energy services is one
meal with an open wood fire at 10% efficiency (a low factor that contributes to persistent poverty in less
but not uncommon efficiency). This simple compar- developed countries. Energy services include not only
ison indicates that generalizations about the waste- electricity and clean cooking fuels but also the
fulness of charcoal should be scrutinized carefully, activities or end uses that fuels and electricity can
particularly in light of charcoal’s cleaner burn and provide (e.g., lighting, heating, motive power).
other favorable attributes. Access to these services is strongly correlated to the
In addition to the question of energy efficiency, level of development in a particular country or
charcoal production is often considered environmen- region. Figure 9 shows a plot of cross-sectional data
tally destructive for two reasons: deforestation and from 125 countries in seven regions of the world
pollution. The links between charcoal production indicating that well-being, as measured by the UN
and deforestation are stronger than the links between Development Program’s Human Development Index
rural fuelwood consumption and deforestation be- (HDI), is well correlated to the degree of ‘‘modern’’
cause charcoal production involves cutting mature energy services consumed in each country. However,
trees. However, rural land is often cleared for other correlation should not be mistaken for causation.
purposes such as expanding cultivation, and charcoal The relationship between poverty and lack of access
is produced as a secondary activity following land to ‘‘modern’’ energy services is not a simple matter of
clearing. In these situations, the cause of forest loss is cause and effect. High rates of poverty are not likely
not primarily charcoal because the land would have to be eased simply by providing clean cooking fuels
been cleared regardless of whether charcoal was or electricity without addressing the many structural
produced, although charcoal can make the activity factors that contribute to poverty. Furthermore,
more lucrative. Furthermore, when land is cleared although the general trend shown by the linear fit is
specifically for charcoal production and is not an interesting outcome of the figure, it is equally
subsequently used for cultivation or grazing, trees interesting to identify the outliers on the plot—those
can grow back. Permanent damage is limited to the that lie well above or below the general trend—and
Wood in Household Energy Use 517

1
Finland
y = − 0.45x + 0.83
Sri Lanka 2
Sweden Paraguay R = 0.68
0.8

Vietnam
0.6
HDI
Namibia
0.4
Senegal
Yemen

0.2
Ethiopia
Mozambique

0
0 10 20 30 40 50 60 70 80 90 100
Traditional energy as a percentage of total national energy consumption
East Asia and Pacific islands Eastern Europe and the CIS
Latin American and Caribbean island states X Middle Eastern and North African states
OECD member states + South Asian states
Sub-Saharan African states

FIGURE 9 Human Development Index (HDI) and fraction of national energy consumption from biomass. HDI is plotted
against biomass energy consumption for 125 countries. The countries are divided into seven regions, indicated by different
symbols in the figure. HDI is a relative indicator of national development developed by the UN Development Program
(UNDP). Biomass energy consumption is plotted as a percentage of each country’s total energy consumption. This percentage is
a reasonably accurate indicator of access to ‘‘modern’’ energy services, although there are exceptions. For example, in Finland
and Sweden, households have 100% access to modern energy services, but industry and government both use biomass energy
to a much larger extent than do similarly developed nations. Other countries that deviate from the main trend are also labeled
in the figure. Data from UNDP, ‘‘Human Development Report, 2001’’ (www.undp.org); World Resources Institute, ‘‘Earth-
Trends Database’’ (http://earthtrends.wri.org/index.cfm).

to question what sets those countries apart from the taxed significantly more than is kerosene. The figure
rest, for better or worse. shows a range of initial costs and annual operating
Of course, energy is a critical input for any costs for various cooking technologies accessible to
productive activity, whether it is for household needs, consumers in Nairobi, a city of approximately 3
commercial enterprise, or cottage industry. Without million people, many of whom live below the
clean and efficient forms of energy, the possible range poverty line. The results are presented in ranges
of productive activities are limited and even simple rather than point data to show that, realistically,
tasks are time-consuming and physically strenuous consumers face a range of stove costs, lifetimes, and
exercises. Increasing access to improved energy ser- efficiencies as well as variable fuel costs. The fraction
vices will likely lead to improvements in the quality of of urban Kenyans using each stove–fuel combination
life for many people; however, the critical questions is shown in parentheses beneath the label on the x
arise as to how to provide those services and whom to axis. The inputs used in the model are described in
target for increased access. Services that are given Table II. The interesting result of this estimate is that
away for free or heavily subsidized are unlikely to be all stoves show significant overlap in their operating
sustained in the long term as budget priorities shift costs amortized over the lifetimes of the stoves, but
over time and as donors’ interests shift to new types they differ significantly in initial costs. There are few
of projects. Alternatively, services that are provided credit mechanisms to allow consumers to spread out
only through free market mechanisms are unlikely to the costs of the stoves over time, particularly for the
reach the poor households that need them the most. poor. Thus, nearly half of the urban population still
Figure 10 shows the effects of Kenya’s largely burns charcoal in unimproved stoves, the cheapest
unregulated household energy market. Household initial option, despite the likelihood that doing so is
fuels are differentially affected by subsidies and other more expensive than using improved charcoal stoves,
distortions with no clear policy goal; charcoal is kerosene, or even LPG in the long term.
effectively unregulated, kerosene is not directly If free market provision of improved energy
subsidized but is exempt from most of the taxes services is unlikely to reach the poor, subsidies are
levied on other petroleum products, and LPG is one alternative, but they need to be targeted properly
518 Wood in Household Energy Use

Annual operating costs (U.S. dollars)

Initial stove costs (U.S. dollars)


500 100

400 80

300 60

200 40

100 20

0 0
Wood Charcoal — Charcoal — Kerosene Electricity LPG
(7%) regular improved (78%) (24%) (78%)
(43%) (39%)

Annual levelized cost of stove use in U.S. dollars Range of initial costs of stove

FIGURE 10 Operating costs for urban household stoves in Nairobi, Kenya. The figure shows an estimation of operating
costs for commonly used stoves and fuels based on recent price data. Calculations are for an average-sized urban household
(four people) assuming that the household uses one stove–fuel combination and consumes the useful energy equivalent of
1.3 GJ/year (the average urban household cooking energy consumption adjusted for stove efficiency reported in a recent
Ministry of Energy survey). The vertical lines represent a range of operating costs based on several inputs (see Table II). The
open bars represent a range of initial costs for the stove (also explained in Table II). The numbers in parentheses on the x axis
are the percentages of urban households reporting use of the various types of stoves. (The LPG stove costs include the cost of a
small [6-kg] gas tank and regulator.) These numbers add to greater than 100%, indicating that many households use more than
one type of stove. This implies that the figure does not accurately model most Nairobi households, but it is still useful for
comparing relative costs of household energy technologies.

TABLE II
Input Data for Annual Operating Costs of Typical Stove–Fuel Combinations in Nairobi, Kenya, Shown in Fig. 10

Annual
Range of operating
Range of fuel Energy stove Range of Annual fuel cost at 12%
costs per unit content per efficiencies initial stove Stove lifetime consumption per discount rate
Stove type of sale unit of sale (percentage) costs (KSh) (years) household (U.S. dollars)

Charcoal 13–19 KSh/kg 28 MJ/kg 25–35 150–300 1–3 531–743 kg 128–342


(improved)
Charcoal 13–19 KSh/kg 28 MJ/kg 15–25 100–200 2–4 743–1238 kg 128–310
(regular)
Electricity 0.07–0.12 U.S. 3.6 MJ/kWh 50–70 1500–2500 5–10 2063–2889 kWh 92–186
dollars/kWh
Kerosene 33–45.5 KSh/L 35 MJ/L 40–60 450–900 4–6 246–369 L 108–222
LPG 80–83 KSh/kg 48 MJ/kg 45–60 4600–7400 5–10 181–241 kg 156–369
Wood 6–8 KSh/kg 16 MJ/kg 10–20 0–300 1–3 1625–3250 kg 201–275

Notes. Stove efficiencies: Stove efficiency, defined as the fraction of the fuel’s heating value that enters the food, is a compound measure of
two interdependent quantities: combustion efficiency (CE) and heat transfer efficiency (HTE). CE indicates how much heat is released from
the fuel relative to ideal combustion, whereas HTE indicates the fraction of the heat released by combustion that enters the food in the pot.
Typical values for CE range from 80 to 90% for solid fuels and from 98 to 99% for liquid and gaseous fuels. Typically, values for HTE range
from 50 to 60% for solid and liquid stoves and from 10 to 30% for solid fuels. Net efficiency is the product of the CE and HTE.
Fuel prices: Prices for charcoal, kerosene, and LPG were reported by Matthew Owen, an expert on Kenyan energy markets (personal
communication with the author). Wood prices are from a Ministry of Energy survey. Electricity prices are based on the tariff structure
currently used by Kenya’s national power company. The tariff ranges from approximately U.S. $0.07/kWh for consumption of 50 kWh/
month to U.S. $0.12/kWh for consumption of more than 2000 kWh/month. A household cooking purely with electricity would likely be at
the higher end of this range, but the lower prices are included to reflect what the costs would be at the lower tariffs.
Stove prices: Prices are based on the author’s observations reflecting a range of stove types. Kerosene stove prices reflect two sizes of wick
stoves. LPG stoves are one- or two-burner stoves with a small (6-kg) tank and regulator (these retain their value and can be resold but are still
unavoidable costs to the consumer). Electric stove prices reflect tabletop models with either one or two burners.
Wood in Household Energy Use 519

to have their desired effect. Subsidies are particularly Burning wood and other solid fuels within the
important where current practices are associated household leads to very high concentrations of IAP.
with high external costs such as the severe impacts on Exposure to these pollutants, which include carbon
public health associated with the use of wood and monoxide (CO), particulate matter (PM), and
other biomass fuels. These impacts are borne unburned hydrocarbons (HCs), can lead to a number
disproportionately by women and young children of acute and chronic health impacts. The most
as a result of their role in the household. The prevalent of these impacts is acute respiratory
remainder of this section addresses the special role of infection (ARI), caused primarily by exposure to
women in the energy–poverty interaction. smoke or PM. ARI is one of the leading causes of
As international attention was directed to the death in children under 5 years of age worldwide;
fuelwood question due to its perceived environmental roughly 2 million deaths occur each year. In addition
effects, it became apparent that in many less deve- to ARI, exposure to IAP from solid fuel combustion
loped countries the responsibility for the supply of causes chronic obstructive pulmonary disease and
household energy and the impacts of its consumption some types of cancer. Furthermore, exposure to solid
were largely, if not exclusively, the domain of women. fuel combustion emissions is associated with in-
Many early efforts to address fuelwood-related creased incidence of asthma, tuberculosis, and
problems failed because they targeted men, who cataracts and elevated risk of CO poisoning. As a
had little awareness of the work that their mothers, result of these health impacts, the World Health
wives, and daughters were doing. This bias in project Organization estimates that exposure to IAP from
targeting is compounded by cultural norms that solid fuels is the eighth leading cause of illness and
discourage women from interacting with outsiders death in the world. This impact is highly concen-
and vocalizing their opinions within the community. trated in poor developing countries, where IAP is the
Importantly, although it is usually women’s re- fourth leading cause of illness and death.
sponsibility, household energy is not the only house- The effects of IAP are further concentrated within
hold task for which women are responsible. The particular populations. As a result of the division of
division of labor varies across societies and cultures, labor within the household, ARI and other health
but in most rural areas of less developed countries impacts associated with IAP are felt disproportio-
women are responsible for child care, cultivation of nately by women and young children. Moreover, there
staple food crops, water collection, and looking after are a number of health risks associated with fuelwood
the elderly and sick. In many places, as men leave the that are independent of exposure to combustion
home to seek wage labor, more and more women are emissions. Prominent among these are burns (com-
also running small businesses or cultivating cash mon among young children), risk of injury from
crops. Another near universal commonality among gathering and transporting heavy loads of fuel over
rural households is that women often have little say in long distances, and exposure to possible harassment
household expenditure decisions. for girls and women gathering wood far from home.
Hence, energy-related impacts and responsibilities
fall largely on women’s shoulders, but they might not 2.2.5 Woodfuels and Greenhouse Gas Emissions
prioritize energy-related problems, even if they are The same processes of incomplete combustion that
fully cognizant of them, because their responsibilities cause the emissions of health-damaging pollutants also
are so far-reaching. These common factors make it result in the emissions of GHGs. Wood and other
particularly important to be sensitive to female voices forms of biomass are essentially HC fuels with a few
in designing household energy policies and programs trace elements. Perfect biomass combustion should
at all levels, from national legislation to community produce only carbon dioxide (CO2), water vapor,
interventions. Importantly, sensitivity to female voices some trace gases, and ash. Water vapor produced by
does not imply that men should be excluded from the combustion is negligible compared with the natural
process, only that special effort needs to be made to stock of water in the atmosphere, and it has a short
ensure that women’s needs are addressed effectively. atmospheric residence time so that the impact of
anthropogenic water vapor is negligible. CO2 emis-
2.2.4 Indoor Air Pollution and Health sions from wood combustion add to the stock of
Although the direct link between household energy GHGs in the atmosphere, but the effect of this
and deforestation has been largely discredited, wide- additional CO2 can be effectively ‘‘cancelled out’’ if
spread fuelwood consumption does have another the wood that is consumed is ‘‘replaced’’ by an
significant, albeit much less visible, global impact. equivalent stock of wood because photosynthesis
520 Wood in Household Energy Use

removes CO2 from the atmosphere. Hence, wood- trogenous compounds such as N2O and NOx.
burning stoves can, in theory, be GHG neutral if two Fuelwood typically has less than 0.5% nitrogen,
conditions are satisfied: (1) if wood undergoes com- but bark, leaves, and other types of biomass consist
plete combustion and (2) if an equivalent amount of of up to 1 or 2% nitrogen. Thus, small quantities of
wood is grown to replace the wood that was burned. nitrogen compounds are present in wood combustion
For household stoves burning solid fuels, the first emissions.
condition (complete combustion) is never attained. GHGs trap heat in the atmosphere in a process
The second condition (sustainable harvesting of fuel) called radiative forcing. The impact of GHGs on the
is related to the question of deforestation. This earth’s climate is a product of radiative forcing and
condition may be satisfied, but in reality it is difficult the length of time it takes a portion of gas released
to verify for a large number of people because into the atmosphere to be removed. From these two
woodfuel consumers obtain their fuel from many quantities, a global warming potential (GWP) is
different sources and harvest trees for many different defined, indicating the time-dependent warming
end uses. The remainder of this section explains the effect of a mass or volume of gas released relative
consequences of the failure to meet the first condition to the effect of CO2, the most prevalent anthropo-
in more detail. genic GHG. Wood combustion releases GHGs that
Small-scale household stoves cannot achieve have large GWPs; thus, even if wood is used
complete combustion. (Even stoves that burn liquid sustainably such that all of the CO2 released during
and gaseous fuels do not reach that ideal, although combustion is absorbed by future photosynthesis,
they come closer than do most solid fuel stoves.) The wood burning has an impact on the climate.
physical design of these stoves is such that the Only CO2, CH4, and N2O are subject to control
fuel cannot vaporize and mix sufficiently with air at by the UN Framework Convention on Climate
high temperatures, which are the conditions requi- Change (UNFCCC). However, CO, NMHCs, and
red for complete combustion. When fuels do not PM can also have an effect, although their influence
fully combust, pollutants such as CO, methane is less certain. Table III indicates the GWPs for
(CH4), and nonmethane hydrocarbons (NMHCs) as biomass combustion emissions.
well as PM are released. If nitrogen is present in the For each pollutant, emissions from wood and
fuel or if temperatures are high enough to oxidize charcoal stoves can be described by an emission
atmospheric nitrogen, combustion also creates ni- factor indicating the mass of pollutant released per

TABLE III
GWPs of Greenhouse Gases Commonly Emitted from Biomass Combustion on a Molar Basis

Compound 20-year GWP 100-year GWP 500-year GWP Comment

CO2 1 1 1 CO2 GWP is 1 by definition for all time horizons.


CO 2.0–6.0 0.6–2.0 0.2–0.6 Range of values is reported by IPCC: lower values
consider CO effect on OH radicals; higher values
also consider ozone production.
CH4 22.5 8.4 2.5 From IPCC’s third assessment report.
NMHCa 12 4.1 2.3 From IPCC’s 1990 report; subsequent reports do
not offer values for NMHCs due to the high
degree of uncertainty.
N2O 275 296 156 N2O was not measured in this study and is included
here for comparison only.

Source. Adapted from Smith et al. (2000).


Note. GWP, global warming potential; IPCC, Intergovernmental Panel on Climate Change; PM, particulate matter. The time-dependent
behavior of the GWP arises from the atmospheric lifetimes of the compounds and their decay products. There is no single GWP for PM,
although estimations exist for the net effect of PM on radiative forcing. There are two types of PM from combustion, and each has a different
effect on climate. Black carbon particles can contribute to climate warming, whereas organic carbon particles can contribute to cooling, but
the level of scientific understanding of both effects remains low.
a
The molecular weight of NMHCs is assumed to be 18 g/mol C. The molar GWP of NMHCs effectively counts moles of C, rather than
moles of a mix of compounds that generally have more than one C atom per molecule. This facilities comparison with single-carbon
compounds such as CO and CH4.
Wood in Household Energy Use 521

g C CO2 equivalent per MJ delivered


350
300
250
200
150
100
50
0 LPG

Kerosene
wick stove

Acacia in
improved ceramic
stove with flue

Acacia in
traditional metal stove

Crop residues in
improved ceramic
stove with flue

three-stone fire

Charcoal
in an improved
charcoal stove

traditional metal
stove
Acacia in

Crop residues in
CO2 CO CH4 TNMOC N2O Total GWP Total non-CO2 GWP

FIGURE 11 Emission factors of GHGs from common Indian household stoves and fuels weighted by 20-year GWPs. The
emission factors were measured in a study of Indian cooking stoves using a variety of fuels and were calculated with respect to
energy delivered to the cooking pot. The vertical bars indicate the emission factors for each individual pollutant. The lines
indicate the sum of emission factors from each stove-fuel combination both with CO2 (open circles) and without CO2 (open
squares). Including CO2 in the total warming effect accounts for the impact of unsustainable harvesting, while omitting CO2
from the calculation shows the net warming effect when the fuels are harvested sustainably so that stocks of trees or other
biomass are allowed to regenerate (of course, this ‘‘sustainable’’ option is not possible for LPG or kerosene). Created by the
author based on a selection of data from Smith et al. (2000). ‘‘Greenhouse Gases from Small-Scale Combustion Devices in
Developing Countries Phase IIa: Household Stoves in India,’’ EPA-600/R-00-052. U.S. Environmental Protection Agency,
Washington, DC.

unit of fuel or energy consumed. Emission factors 3. ALTERNATIVES TO WOOD


vary depending on the physical characteristics of BURNING AND POSSIBLE FUTURE
the stove, the condition of the fuel, and the behavior
DIRECTIONS FOR HOUSEHOLDS IN
of the stove user. Figure 11 compares the emission
factors of some common Indian cooking stoves LESS DEVELOPED COUNTRIES
weighted by GWPs. The graph shows that as a result
of poor combustion processes, biomass stoves result There have been many attempts to solve the
in higher GHG emissions than do fossil fuels, even problems associated with household woodfuel con-
when the biomass fuels are harvested sustainably sumption, ranging in scope from national-level
so that CO2 is not included. However, this result policies to community-based interventions. Across
includes only end uses. A fair comparison of emis- these scales, interventions fall into two general
sions from fossil fuel- and biomass-based cooking categories: increasing supply of woodfuel through
technologies must account for the emissions from silvicultural methods and decreasing consumption by
production and transportation. Accounting for char- promoting improved cooking stoves, promoting
coal production effectively doubles the emission alternative fuels, and even prohibiting tree cutting
factors for charcoal shown in the figure, where- and/or wood collection. Many projects try to address
as ‘‘production’’ of fuelwood is essentially emissions both approaches, but the methods required to
free. A full life cycle analysis of GHG emissions increase supply are significantly different from those
from household fuels commonly used in developing that seek to reduce consumption.
countries has yet to be performed. But even with Both approaches can lead to many benefits for the
out a full comparison, the problems arising from communities involved, including decreased house-
poor combustion of wood and other biomass fuels hold labor requirements and lower energy expendi-
should be apparent from the results illustrated in ture as well as a range of environmental benefits
Fig. 11 as well as on the previous discussion on associated with increased tree cover. In addition,
health impacts. there are significant health benefits associated with
522 Wood in Household Energy Use

reducing IAP by using more efficient stoves or that must be considered when wood scarcity is
alternative cooking fuels. Linkages among household identified as a local problem and tree planting is
energy, public health, and community development proposed as a solution.
have become the focus of significant effort among When wood scarcity is identified as a problem and
researchers and policymakers since the mid-1980s. increasing supply is the favored response instead of,
However, improvement in one or all of these areas or in conjunction with, demand reduction, there are
is not guaranteed simply by introducing an interven- two broad categories of practices that are generally
tion. The extent of any changes in welfare that result attempted: centralized tree management through
will depend on many factors, some of which are not state- or community-run forestry and individual tree
directly related to household energy. These factors management through farm- or household-level for-
include agricultural production, labor markets, local estry.
gender dynamics and power relations, and the State forestry institutions are often antagonistic
community’s past experiences with outside interven- toward local communities, restricting or prohibiting
tion that directly affects the feasibility of future access to state-owned forests. Despite this general
projects. It is also important to recognize that trend, some governments have successfully estab-
changes in household energy technologies and con- lished woodlots or managed forests specifically for
sumption patterns can occur without any outside community wood production. However, establishing
intervention. The remainder of this section explores tree plantations is expensive, particularly when state
some of the ways in which changes in woodfuel bureaucracies are involved, and centralized state
supply, demand, and cooking practices have been forestry is not an economical way in which to
initiated or attempted in various parts the world and mitigate woodfuel scarcity. On the other hand, if
closes with a discussion of some possible directions state-owned forests are already established (e.g., as a
that household energy provision in less developed timber reserve), the state can ease wood scarcity by
countries may take in the future. allowing local communities to have access to dead
wood, fallen trees, and pruned branches or by allo-
cating a section of the forest for community access.
3.1 Supply-Side Interventions: State
In contrast to state forestry, community forestry
Forestry, Social Forestry, and Agroforestry
places forest management directly in community
To outsiders, the immediate response to woodfuel hands. The managed trees may be a section of
scarcity is to plant trees. In some cases, this response natural forest, a plantation, or a woodlot. It may lie
coincides with local needs. Indeed, communities may on land held in common by the community, or it may
have the desire to reforest their landscapes but may lie on state-owned land with management responsi-
lack access to seeds or land on which to plant. bilities vested in the community. Fuelwood provision
However, planting and maintaining trees can be a is one of many possible dimensions of community
time-consuming, labor-intensive process for local forestry, and fuel collection is likely to be one of
communities. People are unlikely to plant trees for many rights that members of the community claim
fuelwood if there are alternative sources of fuel or if on the trees and land under their control. Other
the land can be put to more lucrative uses. Tree claims include the right to graze livestock, fish, hunt,
planting as a response to wood scarcity is compli- and extract a variety of forest products such as food,
cated by local property institutions that can be quite medicine, leaves, and thatch. To preserve the
different from Western notions of private property. resource, fuel gathering may be limited to dead
In many countries, the property rights in trees and wood and fallen or pruned branches, commercial
their products are different from, as well as separable sale of wood may be prohibited, and extraction may
from, the property rights for the land on which the be limited to head loading only, with carts or animal
trees grow. In addition, in many postcolonial loading also prohibited. Alternatively, community
societies, there is a long history of land appropria- forestry may be practiced specifically for timber
tions and forced evictions. Interventions initiated by production.
environmental crises were one mechanism through Local wood scarcity can also be mitigated by tree
which the government gained control of the land. planting at the household level. For example, much
Thus, these types of interventions may be justifiably of the fuelwood consumed in Sub-Saharan Africa
viewed with suspicion by local communities and are does not come from forests or woodlands; rather, it is
often ignored or resisted. These are not arguments cut or gathered from boundaries and fences, crop-
against tree planting; rather, they are simply points land, private woodlots, and roadsides as well as from
Wood in Household Energy Use 523

neighboring farms. Rural farmers throughout the TABLE IV


developing world maintain significant numbers of Improved Cooking Stove Dissemination through the 1990s
naturally occurring and cultivated trees on their own
land. Many do this without assistance from out- Number
siders, although outside intervention can help to Country distributed Years of dissemination
provide seeds and technical advice. China 185,000,000 1982–1998
As with community forestry, trees on farms are India 4,100,000 1985–present (number
rarely grown solely for fuelwood; rather, they are given is stoves
grown for a wide range of uses. Agroforestry disseminated by mid-
techniques, which integrate trees with cultivation 1990s)
and livestock systems, are particularly effective for Kenya 1,450,000 1983–present
maintaining trees on the homestead. These techni- Thailand 300,000 1985–present (number
given is stoves
ques use favorable characteristics of specific tree
disseminated by mid-
species and can bring a wide range of benefits to 1993)
farms. For example, farmers who plant nitrogen- Burkina Faso 200,000 1983–present
fixing trees in their fallow fields for several years Niger 200,000 1984–present
before replanting food crops can experience yields Uganda 52,000 1985–present
that are several times higher than those from Central America 9,000 1990–present (projects are
unfertilized plots, that is, yields that are equal to in different countries,
plots fertilized with costly commercial fertilizers. In and number of stoves
addition, farmers can harvest the young trees for fuel disseminated is valid as
of 1995)
when the fields are ready to be sown. In a typical area
of the subhumid tropics, a 1-ha plot can yield
Source. African countries are from Karekezi, S. (2002).
roughly 5 tons of fuelwood for each year of fallow, Renewables in Africa: Meeting the energy needs of the poor,
and this can satisfy a family’s fuel needs for a year. Energy Policy 30, 1059–1069. Latin America, India, and Thailand
are from Westhoff, B., and Germann, D. (1995). Stove Images.
Apsel Verlag, Frankfurt, Germany. China data are from the UN
3.2 Demand-Side Interventions Development Program’s World Energy Assessment, 2002.

Attempts to reduce woodfuel consumption fall into


two broad categories: improved woodfuel stoves and people working in cooking stove design and dis-
substitution of woodfuel for other fuels. semination. Some of the more common lessons
learned are discussed in what follows.
3.2.1 Improved Stoves
In addition to tree-planting measures, the early 3.2.1.1 ‘‘Improved’’ Is a Subjective Measure of
connections between fuelwood consumption and Newly Introduced Stoves Not all new stoves lead to
deforestation led to the development and dissemina- improvements over ‘‘traditional’’ cooking practices.
tion of fuel-conserving cooking stoves. Critics of the As in all development interventions, the priorities of
three-stone fire and other traditional cooking stoves the beneficiaries might not agree with the priorities of
pointed to their low efficiencies and assumed that the implementers and/or donors. A well-designed
they could improve on them through the application stove using sound engineering principles will be
of basic engineering principles. Improved cooking adopted only if consumers perceive fuelwood as
stove programs have been implemented throughout scarce or costly to obtain and if substitute fuels are
the world with mixed degrees of success. Projects also costly to obtain. Even if fuelwood scarcity is an
vary by scale, type of stove, and target population. acute issue within the community, an ‘‘improved’’
Some projects target individual households, whereas stove will be adopted only if it is easy to use and well
others target stove producers or marketers. Table IV matched to local cooking practices. Contrary to
shows the number of stoves disseminated in some of some stereotypes that portray them as rigid and
the more prominent programs. traditional, people in less developed countries are
As discussed earlier, there are hundreds of varia- willing to change their behavior; however, like
tions of cooking stoves. Technical considerations people in industrialized countries, they are more
weigh equally with many other factors in determin- likely to choose convenience over conservation. A
ing the design of the stoves. With the benefit of two fuel-saving stove that requires constant attention or
decades of hindsight, much has become apparent to fine-tuning is not likely to be widely adopted.
524 Wood in Household Energy Use

Moreover, improved stoves that fully enclose the fire


and remove harmful pollutants through a chimney
do not provide the other benefits that an open fire
offers: primarily warmth and light but also a degree
of cultural value that is difficult to replace.

3.2.1.2 Although It Is Possible to Improve the


Efficiency of Traditional Wood- and Charcoal-Burn-
ing Stoves, It Is Also Possible to Perform Far Worse
than Traditional Stoves In the hands of an experi-
enced user who is consciously trying to conserve fuel,
a three-stone fire can be more than 15% efficient.
Many ‘‘improved’’ stoves do no better. For example,
one common method in constructing improved
stoves encloses the fire in an earthen combustion
chamber in an attempt to insulate the fire and
minimize heat losses. Although the fire appears to be
insulated because the outside of the stove remains
cool to the touch, most of these stoves actually use
more wood for a given cooking task than do many FIGURE 12 High mass earthen stove from Nicaragua.
traditional stoves. The exterior of the stove remains Originally appeared in Stove Images (photo by Beatrix Westhoff ),
cool to the touch because it is made of hundreds of reproduced with permission of the author and publisher.
kilos of rock and soil and also has very high thermal
mass but relatively poor insulating qualities in the that the two quantities can work in opposite
combustion zone. Rather than insulate the fire, the directions. For example, moving the pot closer to
high mass draws heat from it and dissipates it the stove improves the flow of heat into the food, but
throughout the massive structure. Stoves of this type the pot is ‘‘cold’’ (B1001C) in relation to the burning
may have efficiencies of much less than 10% and wood and quenches the hot combustion gases,
may have very high emissions due to relatively cool reducing CE and causing higher emissions. The
combustion temperatures. However, if the stove has trade-off between CE and HTE is difficult to quantify;
a chimney, the pollutants will be removed from the it is dependent on the type of stove and fuel, and it is
kitchen, resulting in indoor concentrations of CO sensitive to user behavior. Even when it is quantifi-
and PM that are lower than those in a household able, deciding on the ‘‘correct’’ combination requires
using a more fuel-efficient open fire. Figure 12 shows a trade-off between fuel savings (which are linked to
an example of a high mass earthen stove from local resources and household labor) and emissions
Nicaragua. Note that the stove has no chimney and (which are linked to health impacts and GHGs). An
that the walls are blackened from years of exposure informed decision about this trade-off requires
to smoke. Drawing on these lessons, some stove making value judgments that are not easy to make.
designers now employ insulating materials, such as
ash and pumice, around the combustion zone to 3.2.1.4 Users Usually Know What Works Best -
maintain high temperatures and minimize heat loss People who cook with woodfuels every day have
to the body of the stove. Figure 13 shows a sequence valuable knowledge about stoves, fuels, and cooking
of pictures of an insulated stove with a chimney practices more generally. Outside ‘‘experts’’ also have
designed for use in Central America. A technician is valuable knowledge but are often less equipped to
filling the stove body with vermiculite, which is a design a stove for local use than are the users
cheap mineral with very good insulating properties. themselves. Users need to be involved in all steps of
the design process, including design, testing, and
3.2.1.3 Improving the Efficiency of Heat Transfer dissemination. However, stove users might not be
from the Stove to the Pot Can Save Wood but Lead to aware of some of the less visible impacts of woodfuel
Higher Emissions of Harmful Pollutants The dis- consumption, particularly health-related problems.
cussion of stove efficiency in the note to Table II This is where outside expertise becomes especially
defined combustion efficiency (CE) and heat transfer important and can be used to reinforce local knowl-
efficiency (HTE). The relation between them is such edge so as to develop a safe and appropriate stove.
Wood in Household Energy Use 525

FIGURE 13 Improved stove with insulated combustion chamber. The sequence of photographs shows Brad van Appel of
the Aprovecho Institute putting vermiculite insulation into an improved wood-burning stove. (A) Photo shows the brick body
of the stove. This type of stove can be made from any durable material such as cement, clay, soil, or sheet metal. (B) The
insulation is filled around the combustion chamber. In this stove, the combustion chamber is made from clay tiles placed
together to form a hollow elbow. (C) A shallow channel is left on the surface of the insulation to force the flames and hot gases
very close to the metal cooking surface before exiting through the chimney at the rear of the stove. (D) The metal cooking
surface (called a plancha in Spanish) is installed over the insulation. Variations of this type of stove are being disseminated in
parts of Central America, where many people prefer a flat metal surface for cooking. Photos by Dean Still (Aprovecho
Institute).

3.2.2 Alternative Stoves and Fuels can be facilitated by the dissemination of specialized
Fuel switching, discussed earlier in the context of the stoves made to burn alternative biomass fuels. In
energy ladder, is another way in which to mitigate communities where wood scarcity is not a serious
the problems associated with household wood issue, better off households may decide that charcoal
consumption. As the energy ladder model suggests, is preferable to wood, a fuel switch that may increase
people may switch from wood to cleaner burning their net wood consumption due to inefficiencies in
fuels as a result of increasing income. Alternatively, charcoal production. This switch also changes their
they may substitute fuels due to shifting household patterns of exposure to harmful pollutants. Charcoal
preferences or changing patterns of fuel availability burning emits fewer particulates than does wood
that occur independent of changes in income. burning, reducing the risk of ARI, but charcoal also
Although these factors can evolve without interven- emits more CO, raising the risk of CO poisoning.
tion, there are also policies and programs that Even more substantial decreases in exposure to
influence these changes. For example, education harmful pollutants result from fuel switching to
campaigns about the health-damaging effects of kerosene, LPG, or other gaseous fuels. Rural house-
woodfuel emissions can change household prefer- holds rarely have the option of buying these fuels,
ences, leading people to prioritize clean cooking fuels but urban households do have that range of choices
over other expenditures, whereas tax breaks for (see Fig. 8 for an example of this from Kenya).
clean cooking fuels or subsidies for stoves encourage However, poor households do not have the same
market expansion, making alternative fuels available opportunity to switch to cleaner fuels due to the high
to a wider range of consumers. initial costs of the stove relative to wood and
Substitution of wood for other fuels can go ‘‘up’’ charcoal stoves. Well-targeted subsidies, favorable
or ‘‘down’’ the energy ladder. In rural communities credit mechanisms, and/or microfinance schemes can
where wood is scarce, households may switch to reduce the initial costs or spread them out over
burning crop residues, dung, or processed briquettes several years so that the initial costs are affordable by
made from wood waste, paper, or agricultural the poor (see Fig. 10).
wastes. These fuels generally do not burn as well as In addition to kerosene and LPG, other clean
does wood in conventional stoves, but fuel switching alternatives to wood and charcoal exist, although
526 Wood in Household Energy Use

they are less common. These include biogas, a Products and Energy  Indoor Air Quality in
methane-rich gas produced by the anaerobic break- Developing Nations  Rural Energy in China  Rural
down or digestion of human and/or animal waste, Energy in India  Solar Cookers  Women and
and producer gas, a low heating value gas derived Energy: Issues in Developing Nations
from the thermochemical breakdown of biomass or
coal. Both biogas and producer gas are used to some
extent in India and China. Alcohol-based fuels are a Further Reading
third possibility for fuel switching. These can be
Agarwal, B. (1986). ‘‘Cold Hearths and Barren Slopes: The
derived from either woody or nonwoody biomass Woodfuel Crisis in the Third World.’’ Zed Books, London.
and are very clean burning; however, alcohol-based Baldwin, S. F. (1986). ‘‘Biomass Stoves: Engineering Design,
fuels need to be mass produced to take advantage of Development, and Dissemination.’’ Center for Energy and
economies of scale. Thus, alcohol is very rarely used Environmental Studies, Princeton, NJ.
for cooking in less developed countries, although Bradley, P. N., and Huby, M. (1991). ‘‘Woodfuel, Women, and
Woodlots.’’ Macmillan Education, Basingstoke, UK.
some projects have been attempted (e.g., an ethanol- Ezzati, M., and Kammen, D. (2002). Evaluating the health benefits
based ‘‘gel fuel’’ is currently being promoted in parts of transitions in household energy technology in Kenya. Energy
of Southern Africa where ethanol production facil- Policy 30(10), 815–826.
ities have existed for some time). In any less Ezzati, M., and Kammen, D. (2002). Household energy, indoor air
developed country, alcohol would need to be cost- pollution, and health in developing countries: Knowledge base
for effective interventions. Annu. Rev. Energy Environ. 27,
competitive with kerosene, a cheap and relatively 233–270.
clean-burning fuel that is often subsidized. Hosier, R. (1993). Energy policy: Special Issue. Urban Energy
Ultimately, the policies and programs designed to Environ. Africa 21, 435–639.
influence fuel choice at the household level should International Energy Agency. (2002). Energy and poverty. In
‘‘World Energy Outlook 2002,’’ p. 49. IEA, Paris.
reflect both community and national priorities.
Intergovernmental Panel on Climate Change. (2001). ‘‘Climate
Household energy in less developed countries sits at Change 2001: The Scientific Basis.’’ Cambridge University
the intersection of many important policy questions: Press, Cambridge, UK.
forest conservation, public health, GHG emissions, Kammen, D. (1995). Cookstoves for the developing world. Sci.
and fossil fuel dependency. Weighing these issues Am. 273, 72–75.
together with more specific local needs so as to Leach, G., and Mearns, R. (eds.) (1988). ‘‘Beyond the Woodfuel
Crises: People, Land, and Trees in Africa.’’ Earthscan, London.
decrease the impacts of household energy consump- Smith, K. (1993). Fuel combustion, air pollution, and health: The
tion and increase the quality of life for people who Situation in developing countries. Annu. Rev. Energy Environ.
are still reliant on wood for their energy needs 18, 529–566.
remains an unmet challenge in most communities Smith, K. R. (1987). Biofuels, Air Pollution, and Health: A Global
throughout the developing world. Review. Plenum Press, New York.
Smith, K. R., Zhang, J., Uma, R., Kishore, V. V. N., Joshi, V., and
Khalil, M. A. K. (2000). Greenhouse implications of household
fuels: An Analysis of India. Annu. Rev. Energy Environ. 25,
SEE ALSO THE 741–763.
FOLLOWING ARTICLES Westhoff, B., and Germann, D. (1995). ‘‘Stove Images.’’ Apsel
Verlag, Frankfurt, Germany.
World Health Organization. (2002). ‘‘World Health Report:
Energy Ladder in Developing Nations  Fire: A Reducing Risks, Promoting Healthy Life.’’ WHO, Geneva,
Socioecological and Historical Survey  Forest Switzerland.
Work, Power, and Energy
M. KOSTIC
Northern Illinois University
DeKalb, Illinois, United States

heating and loss of work potential into thermal energy of


1. Basic Concepts the reaction products, like during combustion.
heat Inevitable (spontaneous) energy transfer due to
2. Forms, Classifications, and Conservation of Energy
temperature differences, to a larger or smaller degree,
3. Work of Conservative and Nonconservative Forces: without control (dissipative) via chaotic displacement/
Work–Energy Principle motion of system molecules and related microstructure
4. Energy, Work, and Power of Rotating Systems (in all directions, nonpurposeful), as opposed to
5. Energy Sources, Conversion to Work, and Efficiency controlled (purposeful and directional) energy transfer
6. Energy Reserves and Outlook referred to as work.
heat engine Device undergoing thermomechanical cycle
with mechanical expansion and compression net work
Glossary obtained as difference between heat transferred to the
engine from a high-temperature heat reservoir and
energy A fundamental property of a system referring to its rejected to a low-temperature reservoir, thereby con-
potential to influence changes to other systems by verting part of thermal energy into mechanical work.
imparting work (forced directional displacement) or nonrenewable energy sources Energy sources created and
heat (chaotic displacement/motion of system micro- accumulated over a very long period in the past, such as
structure); energy exists in many forms—electromag- fossil and nuclear fuels, whose creation rate is many
netic, electrical, nuclear, chemical, thermal, and orders of magnitude smaller than the consumption rate,
mechanical, where electromechanical energy may be so that they will be depleted in a finite time period at the
kinetic or potential—and thermal energy represents current rate of consumption.
overall chaotic motion energy of molecules and related power The energy rate per unit of time.
microstructure. renewable energy sources The continuously or frequently
energy conservation May refer to the fundamental law of available (renewed daily or at least annually) energy
nature that energy and mass are conserved, that is, sources, such as solar energy, wind, water flows, ocean
cannot be created or destroyed but only transferred and tidal waves, and biomass, that are expected to be
from one form or one system to another; another available forever for all practical purposes.
meaning of energy conservation is improvement of work A type of controlled energy transfer when one
efficiency of energy processes so that they could be system is exerting force in a specific direction and, thus,
accomplished with minimal use of energy sources and is making a purposeful change (displacement) of the
minimal impact on the environment. other systems; it is inevitably (spontaneously) accom-
energy conversion A process of transformation of one panied, to a larger or smaller degree, by dissipative
form of energy to another, for example, conversion of (without control) energy transfer referred to as heat.
chemical to thermal energy during combustion of fuels
or conversion of thermal to mechanical energy using
heat engines. A global overview and general concept of energy, its
energy efficiency Ratio between useful energy of a process forms and classifications, and its manifestation as
and energy used to accomplish that process; energy, as
work and heat transfer is presented in this article with
per the conservation law, cannot be lost (destroyed), but
part of energy input that is not converted into ‘‘useful
an objective to preserve the completeness and exact-
energy’’ is customarily referred to as energy loss. ness of the fundamental concepts. The emphasis is
fuel cell Device undergoing electrochemical cycle where given to work as the most useful energy transfer.
electrical work is obtained during ionization of fuel and However, because most work currently is obtained
oxidant molecules, reacting into product molecules at from fossil fuels using heat engines, and because all
constant pressure and temperature, thereby avoiding work is ultimately dissipated via heat to thermal

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 527
528 Work, Power, and Energy

energy, they are presented in the article, along with fuel W = F .d = (F .cosα ). d = F . (d .cos α )
cells, as promising devices to convert chemical fuel Fd = force dF = displacement
energy directly into electrical work without degrada- in d−direction in F−direction
tion of energy as in the combustion processes. The
d
efficiencies of diverse energy-to-work conversion
processes are provided. Finally, the latest developments F
α
and worldwide energy production and consumption
data are effectively summarized, and diverse energy α
sources, reserves, and a future outlook are given. d . cosα
F . cos α

FIGURE 1 Work, force, and displacement.


1. BASIC CONCEPTS
Energy is the ‘‘building block’’ and fundamental r2
property of matter and space and, thus, the funda- W12 = ∫F . ds = ∫F . dr
S12 r1
mental property of existence. Energy exchanges or
2
transfers are associated with all processes (or changes)
and, thus, are indivisible from time. It is no wonder S r2
that energy is often defined as the ability to perform F
work, that is, as a potential for energy transfer in a ds = dr
specific direction (displacement in force direction) to
achieve a purposeful process, as opposed to a
dissipative (less purposeful) energy transfer in the r + dr
form of heat. This definition of energy could be r
generalized as the ability to perform change. r1
Work is a mode of energy transfer from one acting 1
body (or system) to another resisting body (or
system), with an acting force (or its component) in 0
the direction of motion, along a path or displace-
FIGURE 2 Work along arbitrary path.
ment. A body that is acting (forcing) in motion
direction in time is doing work on another body that
is resisting the motion (displacement rate) by an 1.1 Power
equal resistance force, including inertial force, in the
Energy transfer in the form of work or heat is taking
opposite direction of motion. The acting body is
place in time, at a finite rate, and cannot be
imparting (transferring away) its energy to the
instantaneous. The energy transfer per unit of time,
resisting body, and the amount of energy transfer is
or energy rate, is called power, usually in form of the
the work done by the acting onto the resisting body,
work rate, although it may also be heating power,
equal to the product of the force component in the
that is,
motion direction multiplied by the corresponding
displacement or vice versa (force multiplied by the ! Z t2
’ dW ~ F  ds ~ ’  dt:
displacement component in the force direction) W¼ ¼ ¼ F  v ; or W12 ¼
~ W
dt dt t1
(Fig. 1). If the force (~F ) and displacement vectors
! ! ð1Þ
(ds ¼ dr) are not constant, integration of differential
work transfers from initial state 1 to final state 2, Therefore, energy (as a body or system property) and
defined by corresponding position vectors ~ r ; will be work and heat (as energy in transfer from one system
necessary (Fig. 2). to another) are interrelated. All have the same
The work is a directional energy transfer; how- dimension (Force  Length), and related different
ever, it is a scalar quantity like energy, and it is units could be converted to each other (Table I).
distinctive from another energy transfer in the form Work transfer cannot occur without the existence
of heat due to random motion (chaotic, in all of a resisting body or system, nor can it occur
directions) and collisions of bodies’ molecules and without finite displacement in the force direction.
their components. This might not always be obvious. For example, if
Work, Power, and Energy 529

TABLE I
Energy Units with Conversion Factors and Energy Equivalents

Energy unit J kWh Btu

1 joule (J) 1 2.78  107 9.49  104


6
1 kilowatt-hour (kWh) 3.6  10 1 3.412  103
3
1 kilocalorie (kcal ¼ Cal ¼ 1000 cal) 4187 1.19  10 3.968
1 British thermal unit (Btu) 1055 2.93  104 1
1 pound-force foot (lbf  ft) 1.36 3.78  107 1.29  103
19 26
1 electron volt (eV) 1.6  10 4.45  10 1.52  1022
4
1 horsepower  second (HP  sec) 745.7 2.071  10 0.707

Energy equivalent J kWh Btu


9
1 barrel (42 gallons) of crude petroleum 6.12  10 1700 5.80  106
10
1 ton (2000 lb) of bituminous coal 2.81  10 7800 2.66  107
9
1000 cubic feet of natural gas 1.09  10 303 1.035  106
1 gallon of gasoline 1.32  108 36.6 1.25  105
1 gram of uranium-235 8.28  1010 2.30  104 7.84  107
11 4
1 gram of deuterium 2.38  10 6.60  10 2.25  108
6
2000 dietary food calories (2000 kcal) 8.374  10 2.326 7.937  103
2 6
1 solar constant  (cm)  minute 8.374 2.326  10 7.937  103

one is holding a heavy weight or pushing hard as well as corresponding units in other systems of
against a stationary wall, there will be no work done units, for example, Btu/h. The horsepower is defined
against the weight or wall (neglecting its small as 1 hp ¼ 550 lbf  ft/s ¼ 745.7 W. Other common
deformations). However, one will be doing work units for energy, work, and heat, and for energy
internally due to contraction and expansion of one’s equivalents for typical fuels and processes, are given
muscles (force with displacement) and that way will in Table I.
be converting (spending) a lot of chemical energy via
muscle work and then dissipating it into thermal
energy and heat transfer (sweating and getting tired).
2. FORMS, CLASSIFICATIONS, AND
1.2 Energy, Power, Work and Heat Units, CONSERVATION OF ENERGY
and Energy Equivalents
As stated in the previous section, energy is a
Energy is manifested via work and heat transfer, with fundamental concept indivisible from matter and
the corresponding Force  Length dimension for space, and energy exchanges or transfers are asso-
work (N  m, kgf  m, and lbf  ft in SI, metric, and ciated with all processes (or changes) and, thus, are
English systems of units, respectively), and the indivisible from time. Energy transfer is needed to
caloric units in kilocalories (kcal) or British thermal produce a process to change other system properties.
units (Btu), as heat needed to increase a unit mass of Among all properties, the energy is the only one that
water (at a specified pressure and temperature) for 11 could be converted to mass and vice versa, that is,
of temperature, so that the water-specific heat is E ¼ mc2 (known in some literature as mass energy,
1 kcal/(kg 1C) ¼ 1 Btu/(lb 1F) by definition, in the the c is the speed of light in a vacuum); thus, the two
metric and English systems of units, respectively. It are interrelated.
was demonstrated by Joule that 4187 N  m of work, Any and all changes (happening in time) are
when dissipated in heat, is equivalent to 1 kcal. In caused by energy exchanges or transfers from one
Joule’s honor, 1 N  m of work is named after him as body or substance (system or subsystem) to another.
1 joule or 1 J, the SI energy unit, also equal to A part of a system may be considered as a subsystem
electrical work of 1 W  s ¼ 1 V A  s. The SI unit for if energy transfer within a system is taking place;
power, or the work rate, is the watt (i.e., 1 J/s ¼ 1 W) conversely, a group of interacting systems may be
530 Work, Power, and Energy

considered as a larger isolating system if they do not thermal energy). Liquids are also held by latent
interact with the rest of the surroundings. intermolecular forces (evaporation when kinetic
There are many forms and classifications of energy energy of molecules is further increased by heat-
(Table II) all of which could be classified as ing—latent thermal energy again). Sensible thermal
microscopic (internal within a system microstruc- energy represents energy of molecular motion and is
ture) and/or macroscopic (external as related to the related to temperature of a system. ‘‘Holding’’
system mass as a whole with reference to other potential forces may be ‘‘broken’’ by energy transfer
systems). Furthermore, energy may be quasi-poten- (e.g., heating, high-energy particle collisions). States
tial (associated with a system equilibrium state and and potentials are often stable or ‘‘hooked’ and, thus,
structure, i.e., system property) or quasi-kinetic need to be unhooked or broken to overcome the
(energy in transfer from one system or structure to existing ‘‘threshold’’ or equilibrium, as in igniting
another in the form of work or heat). combustion or starting a nuclear reaction. Energy
Every system in an equilibrium is defined by its can be directional (purposeful or organized) or
state potential, where the system structure is ‘‘held’’ chaotic (dissipative or disorganized). For example,
by forces (i.e., the forces ‘‘define’’ the system mass-in-motion (mechanical kinetic energy) and
potential and state, and vice versa—action and electricity-in-motion (electrical kinetic energy) are
reaction); otherwise, a system will undergo dynamic organized kinetic energies, whereas thermal energy is
change (in time), with quasi-kinetic energy exchange disorganized chaotic energy of motion of molecules
toward another equilibrium. Atoms (mass) are held and atoms. System energy may be defined with
by atomic and gravity forces; otherwise, mass would reference to position in a vector force field such as
disintegrate (‘‘evaporate’’ into energy) as it does elastic potential (stress) energy, gravitational poten-
partly in nuclear reactions (nuclear energy). Mole- tial energy, or electromagnetic field energy.
cules are held by electrochemical bonding (valence) Energy transfer may be in organized form (work
forces (chemical reactions—chemical energy). Solids transfer due to force action) or in chaotic disorga-
are held by ‘‘firm’’ intermolecular forces (melting of nized form (heat transfer due to temperature differ-
solids when energy is increased by heating—latent ence). Energy transfer into a system builds up energy

TABLE II
Energy Forms and Classifications

Type Transfer (release)

Scale Kinetic (motion) Quasi-kinetic (motion)

Macro/external Micro/internal Potential Chaotic Work Heat


(mass based) (structure based) Form (state or field) Directionala dissipative directionala dissipative

Mechanical
X  Kinetic X X
X  Gravitationalb X X
X  Elastic X X
Thermal
X  Sensible X X
X  Latent X X
X Chemical X X
X Nuclear X X
Electrical
X  Electrokinetic X X
X  Electrostatic X X
Xc Electromagnetic Xc X

a
Electromechanical kinetic energy type (directional/organized, the highest energy quality) is preferable because it may be converted to any
other energy form/type with high efficiency.
b
Due to mass position in a gravitational field.
c
Electromagnetic form of energy is the smallest known scale of energy.
Work, Power, and Energy 531

potential (called simply potential for short, e.g., potential energy (EPs) as a function of spring
pressure, temperature, voltage) over energy displace- deformation displacement (x), gravitational potential
ment (e.g., volume, entropy). Conversely, if energy is energy (EPg) as a function of gravitational elevation
transferred from a system, its energy potential is (z), and sensible thermal energy (EU) as a function of
decreased. That is why energy is transferred from system temperature (T):
higher to lower energy potential only.
1   1  
All organized kinetic energy will, in part or in DEK ¼ m v2f  v2i ; DEPs ¼ k x2f  x2i
whole (and ultimately in whole), disorganize/dissi- 2 2
pate within the microstructure of a system (over its DEPg ¼ mgðzf  zi Þ; DEU ¼ mcv ðTf  Ti Þ: ð2Þ
mass and space and in time) into disorganized If the reference energy values are taken to be zero
thermal energy. Entropy, as an energy displacement when the initial (i) variables are zero, these equations
system property, represents the measure of energy will represent the energy values for the final values (f)
disorganization. Contrary to energy and mass, which of the corresponding variables. If the corresponding
are conserved in the universe, the entropy is parameters, spring constant k, gravity g, and
continuously generated (increased) due to continuous constant-volume specific heat cv, are not constant,
disorganization of energy in transfer (‘‘spreading’’ of integration of differential energy changes from initial
energy toward and over lower potentials in time) to final states will be necessary.
and, thus, degradation of quality of energy. Energy transfer via work W and heat transfer Q
Often, one wants to extract energy from one may be expressed as the product of related energy
system to purposefully change another system, that potentials (pressure P or temperature T) and
is, to transfer energy in organized form (as work). corresponding energy displacements (change of
That is why energy is often defined as the ability to volume V and entropy S, respectively), that is,
perform work, and a special quantity exergy is 2 3
defined as the maximum possible work that may be
6 7
obtained from a system by bringing it, in a process, F ~
W12 ¼ ~ d ¼ 4ðP  A~nÞ  ~ d 5 ¼ P  DV12 jPaconst
|fflfflfflffl{zfflfflfflffl}
to equilibrium with reference surroundings. The DV
maximum possible work will be obtained if one Z V2
prevents energy disorganization or dissipation, that ¼ P  dV ð3Þ
is, within so-called reversible processes. Because the V1
energy and mass are conserved during any process, Z S2
only in ideal reversible processes will the entropy Q12 ¼ T  DS12 jTaconst ¼ T  dS: ð4Þ
(measure of energy disorganization) and exergy S1
(maximum possible work with reference to the Note that in Eq. (3), force cannot act at a point but is
surroundings) be conserved, whereas in the real distributed as pressure P over some area A (with
irreversible processes, the entropy will be generated orthogonal unit vector ~ n ), which when displaced will
and exergy will be partly (or even fully given enough cause the volume change DV.
time) destroyed. Therefore, heat transfer and thermal In the absence of a nuclear reaction (no conver-
energy are universal manifestations of all natural and sion of mass into energy, E ¼ mc2), mass and energy
artificial (manmade) processes, whereas all organized are conserved separately for an isolated system, a
potentials and/or quasi-kinetic energies are disorga- group of isolated systems, or the universe. For
nized or dissipated in the form of thermal energy in example, for a given process (energy exchange)
irreversible and spontaneous processes. between two systems, isolated from the surround-
As stated previously, there are many different ings, during time period Dt, the energy conservation
energy forms and types (Table II). One is usually not law may be expressed as
interested in (absolute) energy level; instead, one is X X
E1;i ðt þ DtÞ þ E2;j ðt þ DtÞ
usually interested in the change of energy (during a
i j
process) from an initial state (i) to a final state (f), so X X
that zero reference values for different energy forms ¼ E1;m ðtÞ þ E2;n ðtÞ; ð5Þ
m n
are irrelevant and are often taken arbitrarily for P
convenience. The following are basic correlations for where i E1;i ðtÞ is the sum of all existing energy
energy changes of several typical energy forms often forms i of system 1 at time (t) and of system 2 and/or
encountered in practice: motion kinetic energy (EK) at time t þ Dt. Then, from Eq. (5), energy transfer
as a function of system velocity (v), spring elastic from system 1 to system 2 for period Dt may be in the
532 Work, Power, and Energy

form of work W and/or heat Q, that is, At z = z0, νz0 = 0


W12 þ Q12 ¼ W1-2 þ Q1-2
X X
¼ E1;i ðt þ DtÞ  E1;m ðtÞ EK

Free bounce
During free fall
and free bounce, g
i m
" # mass m EPg
X X is weightless

Free fall
¼ E2;j ðt þ DtÞ  E2;n ðtÞ EK+Pg
j n ν>0 ν
¼  ðW21 þ Q21 Þ ¼ ðW2-1 þ Q2-1 Þ:
ν(z) = ± 2g(z0 −z) m
ð6Þ
Note that for nonexistent terms in these equations, ν<0
νmax_bounce
their values should be zero, and if the energy z
transfers (work and heat) are negative, they are
actually in the opposite direction than was specified.
νz = 0 = νmax = ±√2gz0
Correlations are similar for mass conservations.
ν , EK, EPg, EK+ Pg
Furthermore, the power is defined as energy transfer
rate per unit of time; conversely, energy transfer is FIGURE 3 Energy and work due to conservative gravity force.
equal to the product of power and time or the
integral of power over a time period, see Eq. (1). When work of nonconservative forces Wnc is ex-
changed among N isolated systems, from an initial
state i to a final state f, the total mechanical energy of
3. WORK OF CONSERVATIVE AND all systems is reduced by that work amount, that is,
NONCONSERVATIVE FORCES: ! !
XN XN
WORK–ENERGY PRINCIPLE Wnc;i-f ¼ Emech;j  Emech;j : ð8Þ
j¼1 i j¼1 f
Work against conservative (also known as internal, This correlation is known as the work–energy
volumetric, or space potential field) and/or inertial principle.
forces is path independent, and the mechanical energy Regardless of the traveled path (or displacement),
is conserved during such a process. However, work of the work against conservative forces (e.g., gravity or
nonconservative dissipative forces is path dependent, elastic spring in the preceding cases) in the absence of
and part of the mechanical energy is converted any dissipative forces will depend on the final and
(dissipated) to the thermal energy. The nonconserva- initial positions (or states) only. However, the work
tive forces are also external or surface forces. of nonconservative dissipative forces Wnc will
For example, during a free gravity fall (or free depend on the traveled path because the energy is
bounce) without air friction, the potential energy is dissipated during the force displacement, and me-
being converted to kinetic energy of the falling body chanical energy will not be conserved but rather
(or vice versa for free bounce), and at any time the partly converted (via dissipation and heat transfer)
total mechanical energy (sum of kinetic and potential into the thermal energy (see Eq. 8). This should not
mechanical energies) is conserved, that is, stays the be confused with total energy conservation, which is
same (Fig. 3). The mechanical energy is also con- always the case, and it must include both work and
served if a mass freely vibrates on an ideally elastic heat transfer (see Eqs. 5 and 6).
spring or if a pendulum oscillates around its pivot,
both in the absence of dissipative effects such as
friction and nonelastic deformation. In general, for 4. ENERGY, WORK, AND POWER OF
work of conservative forces only, the mechanical
ROTATING SYSTEMS
energy (Emech) for N isolated systems is conserved
because there is no dissipative conversion in thermal
Motors and engines are important energy devices
energy and, thus, no heat transfer, that is,
that convert other energy forms into their rotating
Emech ¼ EK þ EPg þ EPs shaft motion with a twisting action and, thus, into
XN   the mechanical work and kinetic energy. Also, many
1 2
¼ mv þ mgz þ kx ¼ const: ð7Þ other devices, including parts of diverse machineries
j¼1
2 j involving energy transfers in the form of work, are
Work, Power, and Energy 533

mounted on rotating shafts or rotating bearings or efficient for conversion into any other useful energy
pins (e.g., disks, gears, wheels, levers). Because shafts form. Because energy consumption needs are time and
and bearings restrict motion to rotation around their location dependent, energy conversion rate, energy
axes, any mass at distance r from the axis of rotation, density (per unit mass, volume, area, etc.), transporta-
its circumferential velocity v, and the related twisting tion (transmission), and storage are important.
circumferential force F are related to the correspond- There are many sources of energy (Table III) for
ing angular rotational speed o and torque T with the diverse needs of human activities and society in
simple correlations v ¼ or and T ¼ rF (written in general. Energy consumption may be classified into
scalar form because rotational motion and twisting four general sectors (see Table VI): (1) residential: for
force action are restricted in a single, around-the-axis appliances and lighting, space heating, water heating,
direction only). Then, the kinetic energy EK and air conditioning, and so on; (2) commercial: for
work rate dW/dt, or the power transfer of a rotating lighting, space heating, office equipment, water
system, can be expressed as seen in Fig. 4, where J is heating, air conditioning, ventilation, refrigeration,
the mass moment of inertia for a rotating system. For and so on; (3) industrial: for water and steam boilers,
a cylinder (or disk) of radius R and mass m, or of direct process energy, machine drive, and so on; and
density r and thickness b, the mass moment of inertia (4) transportation: for personal automobiles, light
around its axis is J ¼ mR2/2 ¼ (p/2)rbR4. and heavy trucks, air transport, water transport, pipe
transport, rail transport, and so on. In all four sectors,
in addition to primary energy sources, electrical
5. ENERGY SOURCES, energy, as a secondary energy source produced from
CONVERSION TO WORK, primary energy sources, is used extensively.
AND EFFICIENCY The primary energy sources for the world in the
year 2000 and for the United States in the year 2001
Energy sources are those systems (substances or are presented in Table IV. The primary energy
natural phenomena) that allow for abundant, con- sources for the production of electricity are presented
venient, and efficient (and thus economical) conver- in Table V. In addition, the U.S. energy supply by
sion of their energy into useful energy forms (for consumption sector, including electricity production,
consumption needs), usually thermal for heating or is given in Table VI. The world and U.S. populations,
mechanical and electrical for work, with the latter energy production, and energy consumption are
also being very convenient for transmission and very summarized in Table IV as well. The total energy
production, including losses, import, and export, is
1
EK = − ω 2 ∫r 2 dm = −12 ω 2 . J
available as energy supply for consumption and
2 m storage. Also, most of the world’s electricity (B64%
J vs B70% in the United States) is produced from
ν = ω .r T=r.F
fossil fuels, with an overall conversion efficiency of
only approximately 30%. The conversion efficiency
F is similar in nuclear power plants, which contribute
approximately 17% of world electricity production
dm
and approximately 21% of U.S. electricity produc-
r tion. When the global energy supply is given together
ν ω with fossil fuels and is expressed in British thermal
units, all electrical energy (including hydro, wind,
0 etc.) is given in equivalent British thermal units,
accounting for the conversion efficiency (the U.S.
Energy Information Agency uses 31%). When
electrical energy is accounted for separately, the
actual electrical output is given in kilowatt-hours, as
seen in Tables V and VI. Because of different forms
and conversion efficiencies of primary energy
sources, and because of complexities of energy
. production and losses, transportation and storage,
W = F . r .ω = T . ω
and import and export, it is virtually impossible to
FIGURE 4 Energy and power of rotating system. account correctly for all energy paths and forms in
534 Work, Power, and Energy

TABLE III the same units; therefore, the total figures (and
Primary Energy Sources and Conversion to Work percentages) usually do not add up exactly.
Fossil fuels share more than 85% of the total world
Primary energy source Conversion and U.S. energy consumption (Table IV). Nearly 40%
of the total world and U.S. energy is used for
Nonrenewable
electricity production (Tables IV, V, and VI), mainly
Fossil fuels Coal Combustion (heat
and heat engine in thermal and nuclear power plants (480% in the
H/HE/Wa) world and 490% in the United States), using heat
Peat engines undergoing thermomechanical conversion
Oil/Crude petroleum processes with relatively low conversion efficiencies
Natural gas (Table VII). The overall conversion efficiencies from
Nuclear Uranium Fission (H/HE/W) chemical or nuclear fuel energy to thermal energy of
Thorium combustion gases or steam, and to mechanical and
Deuterium Fusionb (H/HE/W) electrical energy, is only approximately 30 to 35%.
c
Renewable
Geothermald Hot steam/water H/HE/W 5.1 Heat Engines
Ground soil/rock
heat Heat engines are devices undergoing thermomecha-
Volcanic, etcb nical cycles, similar to the one in Fig. 5, with a
Ocean– Tidal–ocean wave Direct to work mechanical expansion and compression net work
gravitational (W ¼ QhQc), obtained as the difference between the
Solar related heat transferred to the engine from a high-tempera-
Ocean Ocean thermal H/HE/W ture heat reservoir (at Th) and rejected to a low-
Ocean currents Direct to work temperature heat reservoir (at Tc), thereby converting
Ocean wave part of thermal energy into mechanical work. The
Biomass Wood Combustion combustion process itself is an irreversible one, where
(H/HE/W) chemical energy (electrochemical energy binding
Vegetation, etce reactants’ molecules) is chaotically released during
Direct solar Solar–thermal H/HE/W combustion (i.e., converted in random thermal
Photoelectric Direct to work energy of products’ molecules) and cannot be fully
Photochemical transferred into directional work energy. The second
Electrostatic Lightning, etcb law of thermodynamics limits the maximum amount
Wind Wind–air streams of work that could be obtained from thermal energy
Hydro River/Accumulation between two thermal reservoirs at different tempera-
Muscular Human and animals tures, hot Th and cold Tc, by using the ideal reversible
Carnot cycle (Fig. 5) with thermal efficiency:
Note. Secondary energy sources (e.g., electrical, synthetic fuels,
hydrogen) with energy storage and distribution completes the W Q  Qc
energy supply domain, which with energy needs, consumption, Zth;C ad ¼ ¼ h
Qh Qh
and efficiency completes the global energy realm. 
Energy related processes: Electromagnetic radiation; Photo- Tc 
¼1  
synthesis cycle in nature; Biosyntheses cycle in nature; Electrical Th Th ¼Tad ¼2273 K; Tc ¼293 K
processes: electrodynamic, electromagnetic, electrochemical; Nu-
clear reactions: fission, fusion, radioactive radiation; Chemical 293
¼1  ¼ 87:1%; ð9Þ
reactions: combustion, oxidation, etc.; Heat transfer and frictional 2273
dissipative processes; Thermomechanical expansion and compres-
sion; Natural air streams driven by solar dissipation, gravitation, where W ¼ WTWC is the net work of expansion,
and buoyancy (evaporation, precipitations, water streams); Nat-
usually turbine WT , and compression WC. The
ural water streams (rivers and ocean streams); Mechanical
expansion and compression. maximum efficiency is achieved if heat is supplied
a
H/HE/W, conversion to heat and via heat engine to work. at the highest possible temperature Th and released at
b
Not commercialized yet. the lowest possible temperature Tc. However, both
c
All renewable sources, except tidal and geothermal, are due to temperatures are limited by the fact that a fuel
solar radiation.
d combustion is performed using oxygen with ambient
Usually renewable but may be nonrenewable.
e
Includes many types as well as waste/garbage. air, resulting in maximum so-called adiabatic,
stoichiometric combustion temperature Tad, which
Work, Power, and Energy 535

TABLE IV
World and U.S. Total Energy Supply by Source

World, 2000 United States, 2001

Source Quadrillion Btu Percentage Quadrillion Btu Percentage

Coal 92.51 23.3 21.93 22.6


Petroleum 155.25 39.1 38.23 39.5
Natural gas 90.83 22.9 23.22 24.0
Fossil fuels 338.59 85.3 83.38 86.0
Nuclear electric 25.51 6.4 8.03 8.3
Hydroelectric 27.46 6.9 2.38 2.5
Renewables/Others 5.36 1.4 3.11 3.2
Total 396.92 100 96.90 100
World and U.S. Population and Energy Comparisons
World, 2000 United States, 2000
Quadrillion Btu Percentage Quadrillion Btu Percentage
Population (millions) 6080.1 100 281.4 4.6
Energy production 397 100 71.06 17.9
Energy consumption 398 100 99.32 25.0

Source. Energy Information Administration. (2003). ‘‘Annual Energy Review 2001.’’ U.S. Department of Energy, Washington, DC.

TABLE V
World and U.S. Electric Energy Supply by Source

World, 2000 United States, 2001

Source Billion kWh Percentage Billion kWh Percentage

Coal 1878.54 51.4


Petroleum 127.79 3.5
Natural gas 563.99 15.4
Fossil fuels 9374.6 63.8 2570.32 70.4
Nuclear electric 2434.2 16.6 758.79 20.8
Hydroelectric 2646 18.0 201.23 5.5
Renewables/Others 241.9 1.6 123.06 3.4
Total 14697 100 3653.40 100

Source. Energy Information Administration. (2003). ‘‘Annual Energy Review 2001.’’ U.S. Department of Energy, Washington, DC.

for most fuels is approximately 20001C or ThoTad, only fraction (TadTh)/(TadTc) of the fuel
Tad ¼ 2273 K. A part of the heat supplied at hot heating value will be used, resulting in a reduced
temperature Th must be released to the surroundings Carnot efficiency:
at a cold temperature of approximately Tc ¼ 201C ¼   
293 K, resulting in a Carnot efficiency of 87.1% (see Tc Tad  Th 
Zth;C ¼ 1
Eq. 9 and Fig. 5). However, the fuel heating value Th Tad  Tc max for Th ¼pffiffiffiffiffiffiffiffiffi
Tad Tc
energy (QHV ¼ Qad var) is not available entirely at the pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 
Tad =Tc  1 
adiabatic temperature of the products but rather is ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi  ¼ 47:2%: ð10Þ
distributed over their variable temperature range, Tad =Tc þ 1 Tad ¼2273 K; Tc ¼293 K
from initial surrounding temperature before combus-
tion Tc to final adiabatic temperature Tad (Fig. 6). If a The efficiency may be increased further by
single Carnot cycle is used at constant temperature employing a large number (infinite in limit) of ideal
536 Work, Power, and Energy

TABLE VI
U.S. Energy Consumption by Sector, 2001

Primary Electric Total

Sector Quadrillion Btu Percentage Quadrillion Btu Percentage Quadrillion Btu Percentage

Residential 6.9 7.1 13.3 35.5 20.2 20.8


Commercial 4.2 4.3 13.2 35.2 17.4 18.0
Industrial 21.6 22.3 11 29.3 32.6 33.6
Transportation 26.7 27.6 0 0.0 26.7 27.6
Electric 37.5 38.7
Total 96.9 100.0 37.5 100 96.9 100

Source. Energy Information Administration. (2003). ‘‘Annual Energy Review 2001.’’ U.S. Department of Energy, Washington, DC.

TABLE VII Th
Energy-to-Work Conversion Efficiencies T
Qh
Engine/Process Efficiency Percentage

Otto (gasoline) engine 25–30


WC WT
Diesel engine 30–40
Gas turbine 30–40
Steam turbine 30–40 Qc
Nuclear, steam turbine 30–35
Combined gas/steam turbines 40–55 þ
Fuel cell (hydrogen, etc.) 40–60 þ Tc
Photovoltaic cell 10–20
Windmill 30–40 (59% limit)
W WT − WC
Hydro turbine 80–85 ηth,C = =
Qh Qh
Electromechanical motor/generator 80–95
Qh − Qc Tc
= = 1−
Note. Thermal-to-mechanical work conversion is limited by Qh Th
stoichiometric combustion temperature and the Carnot cycle
efficiency. Fuel cell efficiency is limited by Gibbs free energy
values for process reactants and products and may be close to
100%. Because of material property limitations and process
irreversibilities (dissipation of energy), practical efficiencies are S
much lower and there is room for substantial improvements. For
FIGURE 5 Heat engine, ideal Carnot cycle.
example, existing hybrid cars have 80% improved efficiency (and
mileage) over the same classical cars, from 25 to 45%, by using
electromechanical engines/storage hybrid systems. Because of engine material property limitations
and other unavoidable irreversibilities, it is impos-
Carnot engines operating at various temperatures sible to reach the ideal Carnot efficiency. Different
(with dW ¼ dQ) or with variable hot temperature actual heat engines undergo similar but different
heat exchange (Fig. 6). Assuming constant specific cycles, depending on the system design. For example,
heat of combustion products, and after integration, internal combustion engines undergo the Otto cycle
the variable hot temperature Carnot cycle yields the with gasoline fuel and the Diesel cycle with diesel
maximum possible combustion products-to-work fuel, whereas steam and gas turbine power plants
conversion efficiency: undergo the Rankine and Brayton cycles, respec-
tively. However, with improvements in material
  properties, effective component cooling, and com-
lnðTad =Tc Þ 
Zth;C var max ¼ 1 bining gas and steam turbine systems, more than
ðTad =Tc Þ  1 Tad ¼2273 K; Tc ¼293 K
50% efficiencies are being achieved, a substantial
¼ 69:7%: ð11Þ improvement over current ones of approximately
Work, Power, and Energy 537

electrical work, departed by the electrons that move


T in the cell’s external circuit. This is in contrast to
Tad conversion of the same energy during combustion to
Qad_var chaotic thermal motion (i.e., heating of combustion
Qh products’ molecules), accompanied by substantial
irreversibility and loss of work potential. The
Th
maximum efficiency and work from a fuel cell is
limited, according to the second law of thermody-
Wh = Qh− Qc namics, to the decrease of the Gibbs free energy
Tc
(F ¼ HTS) of the reactants (re) as they form
products (pr) in the electrochemical reaction (i.e.,
Wmax ¼ FreFpr), where H ¼ EU þ PV is a system
dW=dQ and/or component enthalpy and EU, P, V, T, and S
Qc
are internal thermal energy, pressure, volume,
temperature, and entropy, respectively. The differ-
ence between reactants’ and products’ Gibbs free
energies is very close to the fuel heating value QHV,
so that the fuel cell theoretical energy conversion
efficiency, Zmax ¼ Wmax/QHV, is close to 100% if the
process is conducted at constant pressure and
S temperature and without dissipative heating of the
FIGURE 6 Heat engine, constant and variable temperature, products. In practice, with finite reaction rates
ideal Carnot cycle. accompanied by dissipative heating and the need
for cooling to maintain reaction at as constant a
35% (see Table VII). The ideal Carnot cycle is an temperature as possible, the efficiency is lower than
important reference to guide researchers and engi- the maximum possible but more than 40% or even
neers to better understand limits and possibilities for 50%, which is still higher than the heat engine
new concepts and performance improvements of real efficiencies given in Table VII along with efficiencies
heat engines. of other energy conversion processes to mechanical
or electrical work.
5.2 Fuel Cells
It is possible to convert fuel chemical energy to 6. ENERGY RESERVES
electrical work directly, without heating the reaction AND OUTLOOK
products as is done during combustion, by using an
electrochemical cell, also known as a fuel cell. It is a Currently, most of the world’s energy consumption is
very simple device, similar to a fueled battery. It supplied by fossil fuels (B85%). However, proven
consists of two porous metal electrodes with an fossil fuel reserves are limited, and it is estimated that
electrolyte in between. The fuel (e.g., hydrogen), if they continue to be used at the current rates (as
after diffusing through one electrode, will dissociate used under current conditions), coal will be depleted
into positive ionic components by releasing electrons in approximately 250 years, oil will be depleted in 60
to that electrode. In the process, the positive fuel ions years, and natural gas will be depleted in 80 years.
are transferred to another electrode that is in contact One must keep in perspective the fact that ‘‘proven
with oxygen. If an external load is connected to the reserves’’ refers to the customary and economical
electrodes, an electric current (and electrons) will be ‘‘mining’’ and use of fuels, whereas new reserves and
flowing and electrical work will be departed to the more efficient technologies are being discovered and
load, while hydrogen fuel’s positive ions will be make new fuel reserves economical. Currently, a
diffusing through the electrolyte and at another substantial amount of the world’s electricity is
electrode will be reacting with oxygen, forming obtained from nuclear and hydro energy (B17 and
water as the reaction product. The high efficiency 18%, respectively), use of other renewable energy
of the fuel cell results from the electrochemical resources is increasing (e.g., geothermal, wind,
process, whereby the energy of binding reactants’ biomass, solar), and alternative synthetic fuels (e.g.,
electrons, is converted directly into directional hydrogen fuel cells) are being developed. It is worth
538 Work, Power, and Energy

noting that some countries produce most or nearly 7500 Btu/h per capita or 2.2 kW per capita (or
all of their electricity from hydro energy (e.g., 11.8 kW per capita in the United States). (The total
Norway, Brazil, New Zealand, Austria, Switzerland), energy rate in kilowatts needs to be scaled by 31%
whereas France produces most of its electricity from efficiency to be compared with the electrical energy
nuclear fuel (76%). The nuclear fuel reserves are rate in kilowatts.) The corresponding per capita
orders of magnitude higher than fossil fuel reserves, electricity consumption rates are 0.275 and 1.48 kW
and nuclear fuel does not contribute to CO2 and in the world and in the United States, respectively.
greenhouse gas pollution. Therefore, the outlook for future energy needs is
Furthermore, advances in energy conversion and encouraging. There are many diverse and abundant
utilization technologies as well as increases in energy sources with promising future potentials, so
efficiency, including computerized control and man- that humankind should be able to enhance its
agement, contribute to energy conservation, in- activities, standard of living, and quality of living
creases in safety, and reduction of related by diversifying energy sources and by improving
environmental pollution. Actually, per capita energy energy conversion and utilization efficiencies while at
use in the United States and other developed the same time increasing safety and reducing
countries has decreased during recent years. How- environmental pollution.
ever, the increase in world population and the
development of many underdeveloped and highly
populated countries, such as China and India, will
continue to increase the world’s energy consumption.
SEE ALSO THE
As an ultimate energy source for virtually all FOLLOWING ARTICLES
natural processes, solar energy is available for direct
‘‘harvest’’ if needed and is absorbed by vegetation Complex Systems and Energy  Conservation of
and water surfaces on Earth. Thus, it is the driving Energy Concept, History of  Energy in the History
force for natural photosynthesis, and in turn for and Philosophy of Science  Forms and Measurement
biosynthesis processes as well as natural water cycle of Energy  Heat Transfer  Physics and Economics
and all atmospheric processes (see the solar-related of Energy, Conceptual Overview  Thermodynamic
renewable energy sources in Table III). The solar Sciences, History of
radiation power density incident to Earth’s atmo-
sphere, known as the solar constant, is 2 cal/min/
Further Reading
(cm)2 or 1.4 kW/m2, which after taking into account
average day/night time (50%), varying incident angle Cengel, Y. A., and Boles, M. A. (2002). ‘‘Thermodynamics: An
(50%), and atmospheric/cloud scatter and absorp- Engineering Approach.’’ 4th ed. WCB McGraw–Hill, Boston.
Energy Information Administration. (2003). ‘‘Annual Energy
tion (53%), reduces to only 0.5  0.5  0.47 ¼ 11.7% Review 2001.’’ U.S. Department of Energy, Washington, DC.
of the solar constant, or approximately 165 W/m2 at www.eia.doe.gov/aer.
the Earth’s surface, as an all-time average. This solar Ferris, T. (ed.). (1991). ‘‘Physics, Astronomy, and Mathematics.’’
power per square meter corresponds to human Little, Brown, Boston.
Kostic, M. (2003). ‘‘The Quest and Nature of Energy and Entropy,
metabolic energy consumption of 3400 kcal/day.
Reversibility, and Irreversibility.’’ Unpublished manuscript,
The dietary energy reference value of 2000 kcal/day Northern Illinois University.
is equivalent to 97 W or 331 Btu/h. Furthermore, the Zemansky, M. W., and Dittman, R. H. (1982). ‘‘Heat and
world’s total energy consumption is approximately Thermodynamics.’’ McGraw–Hill, New York.
World Environment Summits:
The Role of Energy
ADIL NAJAM
Tufts University
Boston, Massachusetts, United States
CUTLER J. CLEVELAND
Boston University
Boston, Massachusetts, United States

1992. By far this was this largest and most prominent


1. Energy and Sustainable Development: global environmental summit.
Conceptual Connections United Nations Conference on the Human Environment
(UNCHE) Held in Stockholm, Sweden, from June 5 to
2. The United Nations Conference on the
16, 1972, this was the first meeting to seek global policy
Human Environment
consensus on issues related to the environment.
3. The United Nations Conference on Environment
World Summit on Sustainable Development (WSSD) Held
and Development in Johannesburg, South Africa, from August 26 to
4. The World Summit on Sustainable September 4, 2002, this was the third major global
Development (WSSD) environmental summit sponsored by the United Nations.
5. An Evolving Agenda
6. Conclusions

Glossary Energy is related to sustainable development as a


source of environmental stress, as a principal motor
human development The process of enlarging people’s of macroeconomic growth, and as a prerequisite for
choices by expanding human capabilities and function- meeting basic human needs. These three dimensions
ings. The three essential capabilities for human devel-
correspond to the three dimensions of the often-used
opment are for people to lead long and healthy lives, to
triangle of sustainable development: environmental,
be knowledgeable, and to have a decent standard of
living. economic, and social factors. Using this framework,
Millennium Development Goals Proposed by the United this article traces how successive environmental
Nations Millennium Declaration of 2002. The declara- summits at Stockholm, Rio de Janeiro, and Johan-
tion, adopted by 147 heads of state and 189 states of the nesburg have dealt with energy issues. It identifies a
United Nations, mainstreams eight mutually reinforcing slow, surprising, and important evolution of how
development goals and 18 related targets into the global energy issues have been treated at these global
development agenda. discussions. Energy has received increasing promi-
sustainable development Development that meets the nence at these meetings and it has become more
needs of the present without compromising the ability firmly rooted in the framework of sustainable
of future generations to meet their own needs.
development. Stockholm was primarily concerned
Type II agreements Partnerships between a combination of
governments, nongovernmental organizations (NGOs),
with the environmental dimension, Rio de Janeiro
and the private sector for the implementation of focused on both the environmental and economic
sustainable development. dimensions, and the major headway made in
United Nations Conference on Environment and Develop- Johannesburg was the meaningful addition of the
ment (UNCED) Also know as the Earth Summit, this social dimension and the linking of energy issues to
was held at Rio de Janeiro, Brazil, from June 2 to 14, the United Nations’ Millennium Development Goals.

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 539
540 World Environment Summits: The Role of Energy

1. ENERGY AND able development, let us now examine how the issue of
SUSTAINABLE DEVELOPMENT: energy has been dealt with at the three major global
environmental conferences held at Stockholm (1972),
CONCEPTUAL CONNECTIONS Rio de Janeiro (1992), and Johannesburg (2002). While
these are not the only events of importance to have
The efficient use of energy and supplies that are
taken place in this period, they are the three most
reliable, affordable, and less-polluting are widely
important policy conferences that have been attended by
acknowledged as indispensable components of sus-
government representatives at the highest level and that
tainable development. Although perennial debates
have focused on a wide range of issues related to what
linger about precise definitions of sustainable devel-
has come to be known as sustainable development. For
opment, there is increasing agreement among scho-
this reason, we have not focused on a host of energy-
lars and practitioners that sustainable development
specific conferences that have been held over this period
policy relates to three critical elements that need to
or specific policy negotiations on energy-related issues
be treated together: economic, social, and environ-
such as global climate change. Our goal is not as much
mental factors. Energy is central to any discussion of
to focus on the development of energy policy but to
sustainable development because it is central to all
concentrate on the development of sustainable develop-
three dimensions. In terms of the economic dimen-
ment policy to highlight how energy issues have featured
sion of sustainable development, energy is clearly an
within these discussions. Our purpose is to chart the
important motor of macroeconomic growth. In terms
evolution of the policy response and, in particular, to
of the environmental dimension, conventional energy
examine whether a perceptible trend of moving from a
sources are major sources of environmental stress at
purely environmental focus to a broader sustainable
global as well as local levels. In terms of the social
development focus is evident in how these summits have
dimension, energy is a prerequisite for the fulfillment
dealt with energy issues. We will do so by examining the
of many basic human needs and services, and
key documents negotiated at each of the three summits
inequities in energy provision and quality often
in terms of the three dimensions of energy-sustainable
manifest themselves as issues of social justice.
development linkages as defined here.
Figure 1 presents the now-familiar triangular dia-
gram depicting the three essential elements of
sustainable development, modified to show how the
energy dimension maps on to each of these elements. 2. THE UNITED NATIONS
The remainder of this section elaborates upon the CONFERENCE ON THE
conceptual linkages between energy and each of the HUMAN ENVIRONMENT
three dimensions of sustainable development.
Having briefly defined a framework for examining The United Nations Conference on the Human
the conceptual relationship between energy and sustain- Environment (UNCHE), held in Stockholm, Sweden,

Environmental
(energy use is a major source of
environmental stress)

Economic Social
(energy is a key motor of (energy is a principal prerequisite for
macroeconomic growth) basic human needs)
FIGURE 1 Energy and sustainable development: Deep linkages.
World Environment Summits: The Role of Energy 541

from June 5 to 16, 1972, was a first in many respects: documents at www.unep.org). The conference de-
it was the first meeting that brought the nations of claration, which was the major political document
the world (113 countries participated) together to emerging from Stockholm, has no direct reference to
discuss the environmental future of the planet; it was the energy issue. Of the 26 principles laid out in the
the first United Nations conference on a single global declaration, the one that can be construed to be of
issue; it was the first global meeting that saw a large most relevance to energy issues is Principle 5, which
presence and influence of nonstate actors, including states: ‘‘The non-renewable resources of the earth
nongovernmental organizations and scholars; and it must be employed in such a way as to guard against
was the first meeting to seek global policy consensus the danger of their future exhaustion and to ensure
on issues related to the environment. that benefits from such employment are shared by all
Triggered by increasing scientific evidence of mankind.’’ A little more than one year later, energy
human-induced environmental degradation and a was thrust on to the international agenda when the
concurrent wave of growing environmental aware- oil crisis nearly doubled real energy prices and
ness in the industrialized nations of North America plunged many national economies into recession.
and Western Europe, the conference was an attempt The Stockholm Action Plan on the Human
to turn the environment into a more global issue, Environment is a more comprehensive document
particularly by more meaningfully incorporating the that includes a Framework for International Action
developing countries of the South into the emerging accompanied by a list of 69 specific recommenda-
global environmental discourse. The conference tions, three of which do, in fact, deal with energy
turned out to be unexpectedly contentious—with (emphasis added):
most Soviet bloc countries boycotting it due to the
 Recommendation 57 called upon the UN
exclusion of then East Germany and with developing
Secretary-General to ‘‘take steps to ensure proper
countries apprehensive of the North’s newfound
collection, measurement and analysis of data relating
environmental concern. However, despite the intense
to the environmental effects of energy use and
North-South differences, and possibly because of
production.’’
them, the conference stumbled toward a more
 Recommendation 58 called for better exchange
authentic global agenda: one that sought to merge
of information on energy. The recommendation is
the North’s growing concern about environmental
motivated by the need for ‘‘the rationalization and
quality and the South’s long-held interest in human
integration of resource management for energy’’ and
development. Eventually, but much later, the desire
seeks mechanisms (such as exchange of national
to formulate the two interests into a single composite
experiences, studies, seminars, meetings, and a
framework would lead to the concept of sustainable
‘‘continually updated register of research’’) for
development.
accessing existing information and data, particularly
The major institutional legacy of the conference
on ‘‘the environmental consequences of different
was the creation of the United Nations Environ-
energy systems.’’
mental Programme (UNEP). This was accompanied
 Recommendation 59 called for a ‘‘comprehen-
by two declaratory documents—The Stockholm
sive study to be promptly undertaken with the aim of
Declaration and the Stockholm Action Plan—ideas
submitting a first report, at the latest in 1975, on
from which have been carried forth by subsequent
available energy sources, new technology, and con-
summits, including at Rio de Janeiro and Johannes-
sumption trends, in order to assist in providing a
burg. In addition to these, a few more ritualistic
basis for the most effective development of the
declarations were also adopted: one calling for a
world’s energy resources, with due regard to the
second UN Conference on the Human Environment
environmental effects of energy production and use.’’
(which was never actually held), another establishing
an annual World Environment Day (which is now Even at Stockholm itself, none of these recom-
observed in most countries each June), and one mendations was particularly inspiring in its scope or
calling for a stop to nuclear testing, particularly aspiration. They are even less so with the hindsight
atmospheric nuclear testing (in fact, this was the we now enjoy. Indeed, between them they call merely
single most hotly debated issue at the conference and for better data collection and analysis, and the
inspired by the global politics of the time). mechanisms envisaged for doing so are not particu-
Surprisingly little was said or discussed at the larly innovative or exciting. More important, even
conference or in any of its formal products regarding the minimal level of action that the Action Plan en-
issues related to energy (see full text of Stockholm visaged on the energy issue never really materialized.
542 World Environment Summits: The Role of Energy

For example, the official documents make no try as a genre. Held at Rio de Janeiro, Brazil from
mention of Stockholm’s implementation of the June 2 to 14, 1992, it brought together more than
comprehensive study that was sought by 1975 100 heads of state and government, 150 nations,
(Recommendation 59). The one issue related to more than 1400 nongovernmental organizations
energy that did gain wide political and policy (NGOs), 8000 journalists, and nearly 35,000 parti-
prominence at Stockholm was atmospheric nuclear cipants. More than that, it caught the public
testing. This was a subject of great and heated debate imagination like no conference before or since. Some
at the conference, became the subject of a separate consider the summit to have failed its potential, if not
resolution, and made the International Atomic its mandate in terms of the content of its substantive
Energy Agency a frequently mentioned organization agreements. But most commentators and experts
within the Stockholm Action Plan. This discussion consider this summit to have been a success in terms
was very much an artifact of the Cold War politics of of elevating the global profile of environmental issues
the time and was at its root far more concerned with and raising awareness regarding sustainable devel-
nuclear weapons than with energy and its role in the opment.
economy and as an agent of environmental change. Held to mark the 20th anniversary of the Stock-
The lack of imagination or urgency on the energy holm conference, the Rio Earth Summit became
issue should not be entirely surprising. Held in mid- everything that an earlier ‘‘Stockholm plus ten’’
1972, the Stockholm conference came before the conference, held in Nairobi in 1982, could not.
great oil shock of the 1970s. State delegates Indeed, it became more than even its proponents had
attending Stockholm still lived in a relatively calm hoped for. Instead of being the second United
world of declining real oil prices, and the possibility Nations Conference on the Human Environment,
of spiraling energy prices or oil scarcity could not Rio was the United Nations Conference on Environ-
have been high on their mental maps. Similarly, ment and Development; putting those two terms
global climate concerns had not yet taken root in together, which had been so much at odds at
1972 and environmentalists were more focused on Stockholm, might itself have been Rio’s most
the pollution outputs of industrialization than the important achievement. In particular, it broadened
energy inputs for economic production. While those the scope of global environmental diplomacy by
attending UNCHE were well aware of the many adopting the notion of sustainable development,
environmental implications of energy issues, these which had been advocated 5 years earlier in by the
were not their most pressing priorities at that time. World Commission on Environment and Develop-
What is clear from the recommendations, how- ment as one of its key policy frameworks.
ever, is that to the extent that energy was considered The world at Rio was, of course, very different
an issue of any importance, that importance derived from the world at Stockholm. In the intervening two
directly from the environmental effects of energy decades, the Cold War (which was the defining
extraction, processing, and consumption. While the political framework at UNCHE) had disappeared,
recommendations slightly hint at the importance of the level of public interest in the environment was
energy as a motor of economic growth, their greatly increased, environmental issues such as
principal preoccupation is with the potential for stratospheric ozone depletion and global climate
environmental stress from the chain of energy supply change were now squarely on the global policy map,
and use. The dimension of energy as a prerequisite and energy had become a major concern for
for meeting basic human needs does not figure into economic security in the aftermath of the oil price
the equation at this juncture. shocks of 1973–1974 and 1980–1981.
The products coming out of UNCED included a
political Declaration enunciating 27 principles of
environment and development, a 700-page action
3. THE UNITED NATIONS program called Agenda 21, a nonbinding set of
CONFERENCE ON ENVIRONMENT principles for sustainable forest management, and
AND DEVELOPMENT specific conventions on climate change and biodiver-
sity. The institutional innovation resulting from the
The United Nations Conference on Environment and conference included an agreement on the operating
Development (UNCED), popularly know as the rules for the Global Environmental Facility (GEF)
Earth Summit, was the crowning moment not only and the establishment of a Commission on Sustain-
of environmental summitry but of UN mega-summi- able Development (CSD) on the basis of an Agenda
World Environment Summits: The Role of Energy 543

21 recommendation. Technically, the official pro- total of 40 chapters) does not have a chapter on
ducts of UNCED were only the Rio Declaration on energy. However, Chapter 9 of Agenda 21, which
Environment and Development, the Authoritative deals with protecting the atmosphere, serves as a
Statement of Forest Principles, and Agenda 21, all of de facto energy chapter since it focused on global
which were adopted by consensus (without vote) by climate change and related issues of fossil fuel use. In
the conference. The conventions on climate change addition, the chapters on changing consumption
and biodiversity were products of independent, but patterns (Chapter 4), promoting sustainable human
concurrent, negotiating processes that were opened settlements (Chapter 7), and promoting sustainable
for signatures at UNCED. agriculture and rural development (Chapter 14) also
The Rio Declaration on Environment and Devel- have significant discussions on the energy issue.
opment, like its predecessor at Stockholm, had The vast bulk of this discussion is contextualized in
nothing specific to say about energy. Indeed, the the need to balance the environmental and economic
clause about the depletion of natural resources nodes of the sustainable development triangle.
contained within the Stockholm Declaration was What is carried over from Stockholm is a clear
dropped. While a number of the principles articu- emphasis on the environmental impacts of energy
lated in the Declaration could be construed to have production and use (especially in terms of global
bearing on energy, none deals with the issue directly. climate change). New additions are the prescriptions
Although the climate and biodiversity conventions contained in these various chapters—or the energy
were not direct products of the Rio process, the message of Agenda 21—which fall into familiar
former is of direct relevance to the energy issue. categories: decrease energy consumption (see Agenda
Indeed, the United Nations Framework Convention 21 sections 4.24, 7.5), increase energy efficiency
on Climate Change (UNFCCC) is the nearest thing (see Agenda 21 sections 4.18, 7.49), and develop
we have to a global convention dealing directly with cleaner sources of energy (see Agenda 21 sections
energy concerns. Since energy production and con- 9.12, 9.18).
sumption is the biggest source of anthropogenic The third dimension of the sustainable develop-
greenhouse emissions, climate policy in the ment triangle dealing with social concerns such as the
UNFCCC, and subsequently in the 1997 Kyoto role of energy as a human need do not figure as
protocol, has been discussed mostly through the lens prominently in Agenda 21 as the environmental and
of energy policy in a wide variety of ways. Two economic dimensions. However, glimpses of such
examples, among many, of how climate policy concerns do occasionally surface in the document.
becomes energy policy are the intense policy debates For example, the chapter on human settlements
about the variable ability and responsibilities of (Chapter 7) mentions energy as a human need at par
different nations to change their energy consumption with other needs such as water (see Agenda 21
and production patterns and the role of energy sections 7.27, 7.40). Section 9.9 goes the furthest by
taxation as a means of emissions control. defining energy as an essential component of
These debates during and after Rio have been economic as well as social development and as a
defined principally by compulsions that lie at two prerequisite for an improved quality of life. Although
distinct corners of the sustainable development these references are quite general and made in
triangle: the environmental compulsion emanating passing, with very little prescriptive policy content,
from the ecological stresses associated with specific they do signify an important evolution from the
energy production and consumption choices, and the Stockholm texts where these issues were conspicuous
economic compulsion derived from the central role only by their absence.
of energy in economic growth. The saliency that the Overall, then, one finds that UNCED did treat the
climate issue had assumed by 1992 meant that the energy issue very differently from UNCHE. At
discussion on energy at Rio was not only more Stockholm, energy was discussed in the most general,
intense than it had been at Stockholm but also even cursory, fashion, and only in terms of its
broader. Whereas UNCHE had been principally environmental impacts. In the years between Stock-
concerned with the role of energy as a source of holm and Rio, concerns about the environmental
environmental stress, Rio’s energy concerns related stress imposed by energy production and use be-
to both economic and environmental dimensions. came more precise with the mounting evidence of
This evolution of the energy focus was quite global climate change. As a result, Rio was relatively
evident in Agenda 21, the most comprehensive of the more precise and prescriptive in terms of energy
Rio documents. Interesting, Agenda 21 (which has a policy in that it went beyond simply calling for more
544 World Environment Summits: The Role of Energy

information collection and dissemination to high- rhetorically, the fact remained that it had also
lighting the need for decreasing consumption, in- become a political necessity. For those who believed
creasing efficiency and transitioning to cleaner in the concept, this was a chance to put meaning into
sources. In doing so, Rio broadened the focus from it. At best, Johannesburg was viewed as a chance to
merely environmental concerns to the balance advance the agenda that had been set by Rio; at
between environmental and economic concerns. the very least, it was an attempt to keep the Rio
However, the third node of the sustainable develop- agenda alive.
ment triangle, the social dimension signified by It became clear fairly early on in the Johannesburg
energy as a human need, still remained in the process that WSSD would not be able to match the
shadows and peeped through the Rio documents ambition or scope of UNCED, certainly not in terms
only infrequently and rather unimpressively. of its products. Like Stockholm and Rio before it, the
Johannesburg summit also sought a political declara-
tion as its principal output. In addition, it also sough
a plan of implementation; one that was much less
4. THE WORLD SUMMIT ambitious in scope or scale than Agenda 21 but more
ON SUSTAINABLE extensive than the Stockholm plan of action. The
DEVELOPMENT (WSSD) major innovation at Johannesburg were the so-called
Type 2 agreements. These were informal agreements
Few expected the 2002 World Summit on Sustainable involving nonstate parties, sometimes among them-
Development (WSSD) to be as impressive as selves and sometimes with individual governments.
UNCED. Held to mark the 10th anniversary of the On the one hand, Type 2 agreements were a
Rio Earth Summit and to take stock of progress on reflection of the massive change in landscape that
Agenda 21 in those 10 years, the run-up to had occurred over the previous 10 years, with NGOs
Johannesburg was singularly dismal and uninspiring. and business taking a far more important role in
The world had, once again, changed. The high hopes international environmental affairs. At the same
of a new era of global environmental cooperation time, however, they were a reflection of the WSSD
that had been ignited by Rio soon proved false. The organizer’s desperation and desire to get something
industrialized countries of the North had remained memorable out of the summit. According to the
unwilling to provide the developing countries of the rough count by the summit organizers, more than
South with the resources or support that had been 220 Type 2 agreements were reached at Johannes-
implied at Rio, meanwhile the promise of a post-Rio burg, signifying around US$235 million in pledged
harvest of global environmental treaties and imple- resources; 32 of these Type 2 agreements relate to
mentation proved unfounded as key states, particu- energy, accounting for US$26 million in resources;
larly but not solely the United States, dragged their the vast majority of these are programs of technical
feet on key issues such as climate change. As a result, cooperation in energy generation and conservation
a malaise had set in well in advance of WSSD, which (www.johannesburgsummit.org). It should be noted
was only made worse by events at the geopolitical that a systematic accounting of these agreements has
level, where the global mood had gone sour after the not yet been accomplished, and it is not yet clear how
tragic terrorist attack on the United States and a many of these agreements and how much of these
growing sense of insecurity and violence around the resources are, in fact, new and unique. The other
world. Held in Johannesburg, South Africa, from innovation at Johannesburg, in comparison to
August 26 to September 4, 2002, WSSD was previous summits, relates to the fact that the
different from both Stockholm and Rio in that it Johannesburg plan of Implementation sought agree-
was not born within the optimism and high hopes ment on actual targets and timetables rather than
that had accompanied earlier summits. simple statements of intent. While it is true that in
In terms of sustainable development, WSSD had many cases (including renewable energy) such targets
the distinction of actually having those two magic and timetables were not forthcoming and in others
words in its very title. However little had been they were merely restatements of targets that had
achieved in the 10 years since Rio on other counts, already been set (such as in access to clean water), it
Johannesburg was testimony to the fact that the term is also true that in a few areas (such as sanitation)
sustainable development had gained policy meaningful headway was made in terms of reaching
acceptance. Even though some argued that the term agreement on targets and timetables where there had
had lost its edge and was mostly being used previously been none.
World Environment Summits: The Role of Energy 545

Looking carefully at the various products it does call for removing market distortions including the
seem that amidst the many disappointments of restructuring of taxes and the phasing out of harmful
Johannesburg, energy might be one of these few subsidies (subclause p) and the call to support efforts
areas where progress was made. First, and quite to improve the functioning, transparency, and
strikingly, the Johannesburg declaration is different information about energy markets with respect to
from its predecessors from Stockholm and Rio in both supply and demand (subclause o). One area in
that it actually does have a direct reference to energy. which Johannesburg tried, but failed, to make new
More important, the declaration (clause 18) clearly headway within the environmental-economic axis
identifies energy as a human need at a par with needs relates to renewable energy. WSSD saw heated
such as clean water, sanitation, shelter, health care, debates about setting up quantifiable targets and
food security, and biodiversity. Although this is a timetables for renewable energy use. These discus-
declaratory clause with no enforceability, it does sions eventually failed to yield actual timetables and
signify a demonstrable shift from the previous targets (principally because of U.S. opposition to
summits. It clearly defines energy as a basic human them), but they did succeed in introducing more
need, thereby evoking the social dimension of the detailed language regarding energy issues than had
sustainable development triangle more clearly than been present in Agenda 21. The subclause (e) of
either Stockholm or Rio had done. article 19 is, therefore, crafted in general language
The Johannesburg plan of implementation breaks and calls for diversifying energy supply and substan-
similar new ground in terms of how it deals with the tially increasing the global share of renewable energy
energy issue. While the focus on the environmental sources.
stress-economic growth axis that had emerged at Rio What is new and quite intense in the Johannesburg
is not at all lost, the Johannesburg plan is strikingly plan on implementation are the repeated references
different from its predecessors in two distinct and to energy and sustainable development. Here,
important ways. First, it clearly deals with energy as the document goes beyond Agenda 21 by focusing
an issue in its own distinct right rather than as a facet more on the social dimension of energy and
of other issues. Second, it firmly adds the social sustainable development and by concentrating on
dimension to the existing environmental and eco- the role energy plays as a prerequisite for
nomic dimensions to begin dealing with the entirety basic human needs including those defined in the
of the sustainable development triangle for the very United Nations’ Millennium Development Goals
first time. (MDGs). The most significant of these references is
The concerns about energy in terms of environ- made in article 8 of the plan of Implementa-
mental stress and economic growth show up tion, which falls within the section on poverty
similarly to how they had surfaced at Rio. The eradication. New ground is covered here when
principal arena for these concerns remains climate the Johannesburg plan clearly and unambiguously
change and the need for a balanced approach is once calls for
again reiterated, as are the preferred mechanisms for
access to reliable and affordable energy services for
achieving such balance: decrease energy consump- sustainable development sufficient to facilitate the achieve-
tion, increase energy efficiency, and transition to ment of the millennium development goals, including the
cleaner energy systems. This discussion is most clear goal of halving the proportion of people in poverty by
in article 19 of the Johannesburg plan whose 23 2015, and as a means to generate other important services
subclauses relate to various environmental and that mitigate poverty, bearing in mind that access to energy
facilitates the eradication of poverty.
economic aspects of energy in relation to sustainable
development. The environmental dimension of sus- This is not only interesting but groundbreaking,
tainable development is most clearly and persistently because the original Millennium Development
manifest in the many references to the need for Goals—a set of quantitative targets proposed by
enhanced energy efficiency, in particular the call for the UN Secretary General to the 2000 Millennium
establishing domestic programs for energy efficiency Summit as the foundation of the United Nations’
(subclause h), the need to accelerate the development work program from the next decades and as a
and dissemination of energy efficiency and energy framework for measuring development progress (see
conservation technologies (subclause i), and the call www.developmentgoals.org)—do not mention en-
to promote and invest in research and development ergy at all. The case for energy as a prerequisite for
of such technologies (subclause k). The economic basic human needs is made, instead, by the Johannes-
dimension is also strong in article 19, parts of which burg plan of implementation. Indeed, it is made
546 World Environment Summits: The Role of Energy

rather convincingly. Subclause (a) of article 8, for growth, but also in terms of social justice and
example, calls for improving especially in terms of how it affects the poorest and
the most vulnerable.
access to reliable, affordable, economically viable, socially
acceptable and environmentally sound energy services and
resources, taking into account national specificities and
circumstances, through various means, such as enhanced 5. AN EVOLVING AGENDA
rural electrification and decentralized energy systems,
increased use of renewables, cleaner liquid and gaseous
fuels and enhanced energy efficiency, by intensifying The process of evolution that seems to have taken
regional and international cooperation in support of place between the 1972, 1992, and 2002 environ-
national efforts, including through capacity-building, finan- mental summits is depicted in Fig. 2, which builds on
cial and technological assistance and innovative financing the three dimensions of sustainable development to
mechanisms, including at the micro and meso levels, illustrate how the documents emerging from each
recognizing the specific factors for providing access to the
poor. successive conference have dealt with energy issues.
Figure 2 suggests that a rather neat evolution of the
Subclause (g) of the same article, elaborates the agenda has happened with the Stockholm summit of
case further by calling for 1972 dealing with energy issues principally as a
access of the poor to reliable, affordable, economically
source of environmental stress, the 1992 Rio summit
viable, socially acceptable and environmentally sound added a clear economic focus to its treatment of the
energy services, taking into account the instrumental role subject, while the 2002 Johannesburg conference
of developing national policies on energy for sustainable built on the existing environmental and economic
development, bearing in mind that in developing countries focus and added the element of energy as a requisite
sharp increases in energy services are required to improve
the standards of living of their populations and that energy for basic human needs to the equation for the first
services have positive impacts on poverty eradication and time. Of course, the fact that these summits have
improve standards of living. dealt with energy in a particular way does not imply
that global energy policy has moved in that direction
Here, then, is an example of all three dimensions
automatically. The purpose of such summits is
of the sustainable development triangle being in-
principally declaratory. However, the value of these
voked together and in a way that was not seen in any
declaratory proclamations must not be underesti-
of the Stockholm or Rio documents. Although this is
mated. They serve not only to advance the conceptual
still preliminary, it is nonetheless a novel and
agenda but also tend to eventually influence the
welcome attempt to deal with energy fully in the
actual policies, although usually with some time lag.
context of sustainable development by seeking policy
In terms of general conclusions, a number of
that responds to the environmental, economic as well
surprises can be highlighted:
as the social impulses of the concept. Policy made
under the guidelines set here would need to be 1. Although conventional wisdom maintains that
evaluated not only in terms of the environmental Johannesburg is a pale comparison to conferences
stresses being imposed, or effects on economic before it, on the specific issue of energy it has actually

Environmental Economic Social


(energy as a source of (energy as a motor of (energy as a requisite
environmental stress) macroeconomic for basic human
growth) needs)
Main focus on
Stockholm (1972) environmental
effects of energy

Main focus on balancing the


Rio de Janeiro
environmental-economic aspects of
(1992)
energy supply and use

Focus expands to include all three dimensions; energy is


Johannesburg (2002) linked directly to the Millennium Development Goals and
poverty eradication; the need to consider the needs
of the poorest becomes the added social compulsion

FIGURE 2 Energy and sustainable development: An evolving agenda.


World Environment Summits: The Role of Energy 547

made major conceptual headway by incorporating this transition as yet, these summits have given a
the energy issue more fully into a sustainable clear signal to national and international policy-
development framework. While the conference as a makers to align energy policy more firmly to
whole may not have been inspiring, on this one issue sustainable development, and to do so in more
it has traversed into new and important territory. intricate ways.
2. It is rather surprising that the UN Millennium In terms of evaluating the impact of the Johannes-
Development Goals fail to identify energy as a key burg Earth Summit on the energy and sustainable
human development and human needs theme. How- development agenda, it seems that the one summit
ever, the Johannesburg plan of implementation that had started with the worst prospects might well
has partially filled that gap and made the argument have achieved the most important advance in terms
that would have better come from the Millennium of conceptualizing energy policy within a framework
Development Goals. That energy is a prerequisite rooted in all dimensions of sustainable development.
for many human needs and for poverty allevia- Both the Johannesburg declaration and the Johan-
tion merits explicit inclusion in the Millennium nesburg plan of implementation are remarkable in
Development Goals. Because of Johannesburg, this that they highlight the human need aspect of energy,
notion now has the endorsement of the comity of in addition to the environmental and economic
nations, and there seems to be a strong case for dimensions that had already been incorporated at
incorporating energy issues explicitly within MDG Stockholm and Rio.
programs.
3. There is a need for the practice of energy policy
as well and the scholarship on energy policy to catch
SEE ALSO THE
up with the realization imbedded in the Johannes-
burg plan on implementation regarding the impor-
FOLLOWING ARTICLES
tance of energy as a prerequisite for basic human
European Union Energy Policy  Geopolitics of
needs.
Energy  Green Accounting and Energy  Interna-
4. A broader argument can now be made that
tional Energy Law and Policy  National Energy
megaconferences can advance global agendas in
Policy: Brazil  National Energy Policy: China 
significant ways, as they have done with energy.
National Energy Policy: India  National Energy
The energy gives cause for more optimism than
Policy: Japan  National Energy Policy: United States
many scholars invest in these conferences. However,
 National Security and Energy  United Nations
a corollary to be investigated further would be
whether such impact is more likely to be noticeable Energy Agreements
on specific issues rather than on the general agenda
as a whole. Further Reading
Banuri, T., and Najam, A. (2002). ‘‘Civic Entrepreneurship: A
Civil Society Perspective on Sustainable Development.’’ Gand-
hara Academy Press, Islamabad.
Cleveland, C. J., Costanza, R., Hall, C. A. S., and Kaufmann, R.
6. CONCLUSIONS (1984). Energy and the U.S. economy: a biophysical perspec-
tive. Science 255, 890–897.
Hass, P. M., Levy, M. A., and Parson, E. A. (1992). Appraising the
In focusing on the actual text of the documents Earth Summit: How should we judge UNCED’s success?
negotiated at various global environmental summits Environment 34(8), 12–36.
and using a framework of how energy policy relates Johnson, S. P. (1993). ‘‘The Earth Summit: The United Nations
to various aspects or dimensions of sustainable Conference on Environment and Development (UNCED).’’
development, this article finds that there has been a Graham & Trotman/Martinus Nijhoff, London.
Munasinghe, M., (1992). ‘‘Environmental Economics and Sustain-
slow but demonstrable evolution in how these able Development’’ (originally presented at the United Nations
conferences have dealt with energy. Not only has Conference on Environment and Development, Rio de Janeiro,
energy assumed a successively more prominent role Brazil). World Bank, Washington, DC.
in these global summits, but a noticeable evolution Najam, A. (1995). An environmental negotiation strategy for the
has occurred in the dimensions of energy policy that south. International Environmental Affairs 7(3), 249–287.
Najam, A., Poling, J. M., Yamagishi, N., Straub, D. G., Sarno, J.,
have been addressed. Moreover, this evolution has DeRitter, S. M., and Kim, E. M. (2002). From rio to
been along the trajectory of sustainable development. Johannesburg: Progress and Prospects. Environment 44(7),
Although energy policy per se might not have made 26–38.
548 World Environment Summits: The Role of Energy

Reddy, A. K. N. (2002). Energy technologies and policies for Susskind, L. E. (1994). ‘‘Environmental Diplomacy: Negotiating
rural development. In ‘‘Energy for Sustainable Development: A more effective global agreements.’’ Oxford University Press,
Policy Agenda’’ (T. B. Johansson and J. Goldemberg, Eds.), New York.
pp. 115–136. United Nations Development Program, United Nations Development Program (UNDP) (2003). ‘‘Human
New York. Development Report 2003.’’ United Nations Development
Suarez, C. E. (1995). Energy needs for sustainable development: Program and Oxford University Press, New York.
energy as an instrument for socio-economic development. In World Commission on Environment and Development (WCED)
‘‘Energy for Sustainable Development: A Policy Agenda’’ (T. B. (1987). ‘‘Our Common Future: Report of the World Commis-
Johansson and J. Goldemberg, Eds.), pp. 18–27. United Nations sion on Environment and Development.’’ Oxford University
Development Program, New York. Press, New York.
World History and Energy
VACLAV SMIL
University of Manitoba
Winnipeg, Manitoba, Canada

history. But no energetic perspective can explain why


1. A Deterministic View of History complex entities such as cultures and civilizations
2. The Earliest Energy Eras arise and no thermodynamic interpretation can
3. Medieval and Early Modern Advances reveal the reasons for either their remarkable history
4. Transitions to Modernity or their astounding diversity of beliefs, habits, and
5. High-Energy Civilization and Its Attributes attitudes from which their actions spring. This article
examines both of these contrasting views of energy
6. Limits of Energetic Determinism
and world history.

Glossary
antiquity The era of ancient (from the Western perspective, 1. A DETERMINISTIC VIEW
mostly the Middle Eastern and Mediterranean) civiliza- OF HISTORY
tions extant between prehistory and the Middle Ages.
determinism A doctrine claiming that human actions are Countless energy imperatives––ranging from the
determined by external factors; its prominent varieties solar flux reaching the earth to minimum tempera-
include environmental and geographic determinism.
tures required for the functioning of thousands of
early modern world The period immediately following the
enzymes––have always shaped life on Earth by
Middle Ages, variously dated as 1493–1800, 1550–
1850, or the 16th to 18th centuries. controlling the environment and by setting the limits
energy transition A period of passing from one configura- on the performance of organisms. Deterministic
tion of prime movers and dominant fuels to a new interpretations of energy’s role in world history
setup. seems to be a natural proposition, with history seen
middle ages The period between antiquity and the modern as a quest for increased complexity made possible by
era, often circumscribed by the years 500–1500 CE. mastering higher energy flows. Periodization of this
prehistory The period of human evolution predating quest on the basis of prevailing prime movers and
recorded history. dominant sources of heat is another obvious propo-
sition. This approach divides the evolution of the
human species into distinct energy eras and brings
A strict thermodynamic perspective must see en- out the importance of energy transitions that usher in
ergy––its overall use, quality, intensity, and conver- more powerful, and more flexible, prime movers and
sion efficiency––as the key factor in the history of the more efficient ways of energy conversion. Perhaps
human species. Energy flows and conversions sustain the most intriguing conclusion arising from this
and delimit the lives of all organisms and hence also grand view of history is the shrinking duration of
of superorganisms such as societies and civilizations. successive energy eras and the accelerating pace of
No action––be it a better crop harvest that ends a grand energy transitions.
famine or the defeat of an aggressive neighbor––can The first energy era started more than 300,000
take place without harnessing and transforming years ago when the human species, Homo sapiens,
energies through management, innovation, or daring. became differentiated from Homo erectus, and the
Inevitably, the availability and quality of particular era continued until the beginning of settled societies
prime movers and sources of heat and the modes of some 10,000 years ago. Throughout prehistory, all
their conversions must have left deep imprints on efforts to control greater energy flows were capped

Encyclopedia of Energy, Volume 6. r 2004 Elsevier Inc. All rights reserved. 549
550 World History and Energy

by the limited power of human metabolism and by accomplishments that were achieved through inge-
the inefficient use of fire. Domestication of draft nuity and better organization are noted.
animals and harnessing of fire for producing metals
and other durable materials constituted the first great
energy transition: reliance on these extrasomatic 2. THE EARLIEST ENERGY ERAS
energies had raised energy throughput of preindus-
trial societies by more than an order of magnitude. During the long span of prehistory, the human
The second transition got under way only several species relied only on its somatic energy, using
millennia later; it was not as universal as the first one muscles to secure a basic food supply and then to
and its effects made a profound, and relatively early, improve shelters and acquire meager material pos-
difference only in some places: it came as some sessions. Organismic imperatives (above all, the
traditional societies substituted large shares of their basal metabolism scaling as the body mass raised to
muscular exertions by waterwheels and windmills, 0.75 power) and the mechanical efficiency of muscles
simple but ingenious inanimate prime movers that (able to convert no more than 20–25% of ingested
were designed to convert the two common renewable food to kinetic energy) governed these exertions:
energy flows with increasing power and efficiency. healthy adults of smaller statures cannot sustain
The third great energy transition––substitution of useful work at rates of more than 50–90 W and can
animate prime movers by engines and of biomass develop power of 102 W only during brief spells of
energies by fossil fuels––began only several centuries concentrated exertion. The former performance
ago in a few European countries and it was sufficed for all but a few extreme forms of food
accomplished by all industrialized nations during gathering and the latter exertions were called on for
the 20th century. That transition is yet to run its some forms of hunting. Simple tools made some
course in most low-income economies, particularly foraging and processing tasks more efficient and
in Africa. The latest energy transition has been under extended the reach of human muscles.
way since 1882 when the world’s first electricity- Energy returns in foraging (energy in food/energy
generating stations were commissioned in London spent in collecting and hunting) ranged from barely
and New York (both Edison’s coal-fired plants) and positive (particularly for some types of hunting) to
in Appleton, Wisconsin (the first hydroelectric seasonally fairly high (up to 40-fold for digging up
station). Since that time, all modernizing economies tubers). The choice of the collected plants was
have been consuming increasing shares of their fossil determined above all by their accessibility, nutri-
fuels indirectly as electricity and introducing new tional density, and palatability, with grasslands
modes of primary electricity generation––nuclear offering generally a better selection of such species
fission starting in the mid-1950s, and later also wind than did dense forests. Collective hunting of large
turbines and photovoltaic cells––to boost the overall mammals brought the highest net energy returns
output of this most flexible and most convenient (because of their high fat content) and it also
form of energy. The second key attribute of this contributed to the emergence of social complexity.
transition has been a steady relative retreat of coal Only a few coastal societies collecting and hunting
mirrored by the rise of hydrocarbons, first crude oil marine species had sufficiently high and secure
and later natural gas. energy returns (due to seasonal migrations of fish
Improving the quality of life has been the principal or whales) such that they were able to live in
individual benefit of this quest for higher energy use permanent settlements and devote surplus energy to
that has brought increased food harvests, greater elaborate rituals and impressive artistic creations (for
accumulation of personal possessions, abundance of example, the tall ornate wooden totems of the Indian
educational and leisure opportunities, and vastly tribes of the Pacific Northwest).
enhanced personal mobility. The growth of the The only extrasomatic energy conversion mas-
world’s population, the rising economic might of tered by prehistoric societies was the use of fire for
nations, the extension of empires and military warmth and cooking, which can be indisputably
capabilities, the expansion of world trade, and the dated to approximately 250,000 years ago. Eventual
globalization of human affairs have been the key shifts from foraging to shifting cultivation and then
collective consequences of the quest. These advances to sedentary farming were gradual processes driven
are discussed in this article and the limits of prime by a number of energy-related, nutritional, and social
movers and heat sources that were available during factors: there was no short and sharp agricultural
the successive eras of energy use and the major revolution. These changes were accompanied by
World History and Energy 551

declining net energy returns in food production, but harvests were barely adequate to provide subsistence
these declines had a rewarding corollary as the higher diets. Those agroecosystems where grazing land was
investment of metabolic energy in clearing land and also limited (the rice regions of Asia) could support
in planting, weeding, fertilizing, harvesting, and only relatively small numbers of draft animals.
processing crops, as well as storing grains or tubers, Limited unit power of muscles could be overcome
made it possible to support much higher population by massing people, or draft animals, and the
densities. Whereas the most affluent coastal foraging combination of tools and organized deployment of
societies had densities less than 1 person/km2 (and massed labor made it possible to build impressive
most foraging societies had carrying capacities well structures solely with human labor. Massed forces of
below 0.1 person/km2), shifting agricultures would 20–100 adults could deliver sustained power of 1.5–
easily support 20–30 people/km2 and even the earliest 8 kW and could support brief exertions of up to
extensive forms of settled farming (ancient Meso- 100 kW, enough to transport and erect (with the help
potamia, Egypt and China’s Huanghe Valley) could of simple devices) megaliths and to build impressive
feed 100–200 people/km2, that is, 1–2 people/ha of stone structures on all continents except Australia. In
cultivated land (Fig. 1). contrast to this massed deployment of human labor
The increasing size of fields could not be managed in construction, no Old High culture took steps to a
by slow and laborious hoeing but plowing is either truly large-scale manufacture of goods and the
exceedingly taxing or, in heavy soils, outright atomization of production remained the norm. In
impossible without draft animals. Farming intensifi- addition, violent conflict powered solely by an
cation thus led to harnessing the first important individual’s muscles could take place only as hand-
extrasomatic source of mechanical energy by domes- to-hand combat or by an attack with an arrow
ticating draft animals throughout the Old World (the launched from less than a couple hundred meters
pre-Colombian Americas had only pack animals). away, a limit ordained by the maximum distance
Continuous energy investment was then needed for between one extended and one flexed arm when
animal breeding and feeding, as well as for producing drawing a bow. Eventually catapults, tensioned by
more complex implements. many hands, increased the mass of projectiles, but
Small bovines would rate less than 200 W, did not substantially lengthen the maximum distance
stronger animals could sustain more than 300 W, of attack.
and the best oxen and good early draft horses could Shifting agriculturalists extended the use of fire to
surpass 500 W, equal to the labor of 6–8 adult men the regular removal of vegetation, and early settled
(Fig. 2). Draft animals thus speeded up field, societies also adopted fire to produce bricks and
transportation, and crop processing tasks and containers and to smelt metals, beginning with
boosted agricultural productivity. Their numbers copper (before 4000 BCE) and progressing to iron
were governed by an obvious energetic imperative: (common in some parts of the Old World after
no society could afford to cultivate feed crops where 1400 BCE). Charcoaling was used to convert wood
to a fuel of higher energy density (29 MJ/kg
compared to no more than 20 MJ/kg for wood and
less than 15 MJ/kg for crop residues) and superior
Modern farming
quality (essentially smokeless and hence suitable for
burning indoors in fixed or portable hearths). But
Traditional farming
open fireplaces and braziers converted less than 10%
of the supplied energy into useful heat and tradi-
Shifting farming tional charcoaling turned less than one-fifth of the
charged wood energy into the smokeless fuel. Pri-
Pastoralism mitive furnaces used for metal smelting were also
very inefficient, requiring as much as 8–10 units of
Foraging charcoal for a unit of pig iron. The resulting high
demand for wood was a leading cause of extensive
0.0001 0.001 0.01 0.1 1 10 deforestation, but a nearly complete disappearance
Population density (people/ha) of forests from parts of the Mediterranean (Spain,
FIGURE 1 Successive stages of sedentary agricultures have Cyprus, and Syria) and the Near East (Iran,
required higher energy inputs but have been able to support 103 to Afghanistan) was caused by smelting copper rather
104 more people per unit of land than did foraging. than iron.
552 World History and Energy

A 1010

Power of the largest prime movers (W)


109
Steam turbines
108

107
Water turbines
106

105 Steam engines

104 Water wheels

103 Horses

102

101

1000 500 0 500 1000 1500 2000


BCE CE

B 105 C 1010

109
Water wheels Steam turbines

104 108
Windmills
107 Water turbines
Power (W)
Power (W)

103 106
Steam
Horses engines
105 Gas
turbines

102 Human labor 104


Water
wheels
103

101 102
1000 500 0 500 1000 1500 2000 1700 1750 1800 1850 1900 1950 2000
BCE CE CE
FIGURE 2 The maximum power of prime movers shown as the sequence of the highest capacity converters for the span of
the past 3000 years (A) and shown in detail for the periods 1000 BCE to 1700 CE and 1700 CE to 2000 CE (B and C).

Small-scale and highly energy-intensive metal- the same land, but a pair of well-fed horses
lurgy meant that no early societies could smelt would have accomplished the same task in less than
enough metal to make it the dominant material in one-half the time required by oxen. And the
daily use and simple machines, farming implements, combination of weak animals, inefficient harnessing,
and household utensils of the antiquity remained and poor (unpaved) roads greatly restricted the
overwhelmingly wooden. This changed radically size of maximum loads and the greatest distance of
only when coke-based smelting began producing daily travel.
inexpensive iron after 1750. Similarly, the inherently European antiquity also saw the first uses of
limited power of oxen, the most affordable draft water-driven prime movers. Their origins are ob-
animals, which were rarely fed any concentrates, scure, with the first reference to their existence, by
meant a ponderous pace of field operations: plowing Antipater of Thessalonica during the first century
a hectare of a loamy field with a pair of these BCE, describing their use in grain milling. The
animals was easily four times faster than hoeing earliest wheels were horizontal, with water directed
World History and Energy 553

through a sloping wooden trough onto wooden Some medieval societies began to rely on inani-
paddles fitted to a shaft that was directly attached to mate prime movers for a number of demanding tasks
a millstone above. More efficient vertical water including grain milling, oil pressing, wood sawing,
wheels, first mentioned by Vitruvius in 27 BCE, powering of furnace bellows and forge hammers, and
turned the millstones by right–angle gears and the mechanization of manufacturing processes ran-
operated with overhead, breast, or undershot flows. ging from wire pulling to tile glazing. Waterwheels
Although there were some multiple installations of were the first machines to spread widely and the
Roman water wheels––perhaps most notably the set famous Domesday Book attests how common they
of 16 wheels at Barbegal near Arles amounting to were in England of the late 11th century: it lists 5624
over 30 kW of capacity––cheap slave labor clearly water mills in southern and eastern England, one for
limited the adoption of these machines. every 350 people. A subsequent increase in the
highest capacities of waterwheels was slow: it took
nearly 800 years to boost the performance by an
order of magnitude. Early modern Europe developed
3. MEDIEVAL AND EARLY some relatively very large water-driven wheels, and
MODERN ADVANCES although typical unit capacities of these wooden
machines remained limited (by 1700 they averaged
The dominance of animate prime movers extended less than 4 kW), they were the most powerful prime
throughout the Middle Ages but their efficiency had movers of the early modern era (Fig. 2).
improved and they were increasingly joined by Ships with simple square sails were used by the
gradually more powerful converters of flowing water earliest Old World civilizations, but the first written
and wind. Human statures did not show any notable record of wind-driven machines comes only approxi-
growth during the medieval era but better designs of mately 1000 years after the first mention of water
some man-powered machines were able to harness wheels. In 947 CE, al-Masudi’s report described their
muscle power more efficiently. Man- and animal- use to raise water for irrigating gardens in what is
powered tread-wheels were deployed in the con- now eastern Iran, and the first European record dates
struction of tall buildings and in loading and only from the closing decades of the 12th century.
unloading ship cargoes. The combination of breed- Subsequently, inefficient windmills continued to be
ing, better feeds, more efficient harnessing, and used infrequently throughout the Mediterranean and
shoeing eventually raised the performance of the the Middle East, and even less so in India and in East
best draft animals as much as 50% above the Asia, and they had undergone a great deal of
capacities that prevailed during antiquity. development in only a small number of European
The collar harness, optimizing the deployment of regions. The earliest European windmills pivoted on
powerful breast and shoulder muscles, had its origins a massive central post that was supported usually by
in China of the 5th century of the CE and its four diagonal quarter-bars, had to be turned to face
improved version became common in Europe five the wind, and were unstable in high winds and their
centuries later. Iron horseshoes, preventing excessive low height limited their efficiency.
wear of hooves and improving traction, became However, they were widely used in grain milling
common at approximately the same time. But it took and water pumping (the Dutch drainage mills being
centuries before the intensification of cropping, with the best known example), as well as in some
more widespread rotation of food and feed (particu- industrial operations. Post mills were gradually
larly leguminous) species, increased the availability replaced by tower mills and smock mills, and during
of concentrate feeds and allowed for harder working the early 17th century the Dutch millers introduced
draft animals. During the 18th century, a good horse first relatively efficient blade designs (however, true
was considered to be equivalent to 10 men, or at least airfoils, aerodynamically contoured blades with thick
700 W, and the best horses would eventually surpass leading edges, originated only just before the end of
power equivalent to 1 kW. Whereas a pair of early the 19th century), and after 1745 the English
medieval oxen could sustain no more than 600 W, a invention of using a fantail to power a winding gear
pair of good horses in early modern Europe delivered turned the sails into the wind automatically. Even
1.2 kW and large horse teams (up to 40 animals) with these innovations, the average power of the 18th
deployed in the United States after 1870 to pull gang century windmills remained below 5 kW.
plows or the first grain combines had draft power of The Late Middle Ages and the early modern era
at least 8 kW and up to 30 kW. were also the time when wind energy was harnessed
554 World History and Energy

more effectively for Europe’s great seafaring voyages. of coppicing hardwoods, a circle with a radius of
The rise of the West clearly owes a great deal to an 2.5 km, were needed for perpetual operation. Na-
unprecedented combination of harnessing two dif- tionwide (with nearly 20,000 tons of pig iron
ferent kinds of energy: better, and larger, sailships produced annually during the 1720s), this translated
equipped with newly developed heavy guns. Once (together with charcoal needed for forges) to at least
the medieval ships became rigged with a larger 1100 km2 of coppiced growth. To produce 1 million
number of loftier and better adjustable sails, in- tons with the same process would have required
creased in size, and acquired stern-post rudders and putting at least one-quarter of the British Isles under
magnetic compasses (both invented in China), they coppiced wood, an obvious impossibility. Yet start-
became much more efficient, and much more ing in the mid-1830s, Great Britain began smelting
dirigible, converters of wind energy. These ships more than 1 million tons of iron per year and yet
carried first the Portuguese and then other European some the country’s forests began regrowing; coke and
sailors on increasingly more audacious voyages. The steam engines made that possible.
equator was crossed in 1472, Columbus led three
Spanish ships to the Caribbean in 1492, Vasco da
Gama rounded the Cape of Good Hope and crossed 4. TRANSITIONS TO MODERNITY
the Indian Ocean to India in 1497, and in 1519
Magellan’s Victoria completed the first circumnavi- Millennia of dependence on animate power and
gation of the earth. The inexorable trend of globali- biomass fuels came to an end only gradually and the
zation was launched with these sailings. great transition to fossil fuels and fuel-consuming
Gunpowder was another Chinese invention (during engines had highly country-specific onsets and
the 11th century) that was better exploited by the durations. Differences in accessibility and afford-
Europeans. The Chinese cast their first guns before the ability explain why traditional energy sources were
end of the 13th century, but Europeans were only a used for so long after the introduction of new fuels
few decades behind. Within a century, superior and prime movers. For example, four kinds of
European gun designs transformed the medieval art distinct prime movers, in addition to human labor,
of war on land and gave an offensive superiority to coexisted in parts of Europe for more than 150 years
large sailships. Better gun-making was obviously predi- between the late 18th and the mid-20th centuries
cated on major medieval advances in ore-mining and before internal combustion engines and electric
metal-smelting techniques that are exhaustively de- motors became totally dominant: draft animals (both
scribed in such classics as Biringuccio’s and Agricola’s in agriculture and in city traffic), water wheels (and,
volumes from 1540 and 1556, respectively. since the 1830s, water turbines), windmills, and
These innovations reduced the need for energy steam engines. In the wood-rich United States, coal
inputs, particularly in the iron-making blast furnaces surpassed fuelwood combustion and coke became
that appeared first in the lower Rhine valley before more important than charcoal only during the 1880s.
the end of the 15th century. As these furnaces grew in Moreover, the epochal energy transition from
volume, charcoal’s fragility limited their height and animate to inanimate prime movers and from
the annual volume of individual smelting operations. biomass to fossil fuels has yet to run its global
Larger operations also required the use of water- course. By 1900, several European countries were
power (for blasting and subsequent metal forging) almost completely energized by coal––but energy use
and this demand restricted the location to mountai- in rural China during the last year of the Qing
nous areas. But the main challenge was to keep them dynasty (1911) differed little from the state that
supplied with charcoal, and the English predicament prevailed in the Chinese countryside 100 or 500 years
is the best illustration. earlier. Even in the early 1950s, more than one-half of
By the early 18th century, a typical English China’s total primary energy supply was derived from
furnace produced only approximately 300 tons of woody biomass and crop residues. The share of these
pig iron per year, but with at least 8 kg of charcoal fuels had been reduced to 15% of China’s total
per kilogram of iron and 5 kg of wood per kilogram energy use by the year 2000, but it remains above
of charcoal, its annual demand was approximately 70%, or even 80%, for most of the countries of sub-
12,000 tons of wood. With nearly all natural forests Saharan Africa (in the year 2000, India’s share of
gone, the wood was cut in 10- to 20-year rotations traditional biomass fuels was approximately 30%
from coppicing hardwoods yielding between 5 and and that of Brazil was approximately 25%), and
10 tons/ha. This means that approximately 2000 ha globally it still accounts for nearly 10%.
World History and Energy 555

Industrialization of the British Isles is, of course, the 10,000


best known case of an early transition from wood to
coal and England was the first country to accomplish 1000 Airplanes

Speed (Km/h)
the shift from wood to coal during the 16th and 17th
centuries. Much less known is the fact that the Dutch Trains
Republic completed a transition from wood to peat 100
during its Golden Age of the 17th century when it also Steamships

replaced a large share of its mechanical energy needs 10 Coaches

by sailships, which moved goods through inland


Walking
canals and on the high seas, and by windmills. In
1
England and Wales, the process started as a straight-
1700 1750 1800 1850 1900 1950 2000
forward fuel substitution in a society where the
Year
combined demand for charcoaling, ship- and house-
building, heating, and cooking led to extensive FIGURE 3 Maximum speeds of transportation during the years
deforestation. The use of coal as the fuel for a new 1700–2000.
mechanical prime mover began only after 1700 with
Newcomen’s inefficient steam engine. James Watt’s Europe and in North America, by water power rather
separate condenser and other improvements (patented than by coal combustion. Innovations to meet this
in 1769) transformed the existing engine from a demand included Benoit Fourneyron’s reaction water
machine of limited utility (mostly water pumping in turbine (in 1832) and an inward–flow turbine of
coal mines) into a prime mover of unprecedented James B. Francis (in 1847). Before the century’s end,
power suitable for many different tasks. Francis’ turbines and also Pelton machines (jet–driven
Watt’s improved machines still had low conver- turbines introduced in 1889) helped to launch
sion efficiency (less than 5%) but his engines modern water-powered electricity generation (only
averaged approximately 20 kW, more than 5 times Viktor Kaplan’s axial flow turbines are a 20th century
that of the typical contemporary watermills, nearly 3 innovation). As for the Industrial Revolution, the
times that of windmills, and 25 times the perfor- author sides with those historians who see it much
mance of a good horse. One hundred years later, the more as a complex, multifaceted, and protracted
largest stationary steam engines were 10 times as process rather than as a clearly definable, intensive
efficient as Watt’s machines and rated E1 MW. After transformation powered by coal and coal-generated
the expiration of Watt’s patent, the development of steam. After all, in 1850, England still had more
high-pressure steam engines progressed rapidly, shoemakers than coal miners and more blacksmiths
radically transforming both land and maritime than ironworkers, and in the United States, coal
travel. For centuries, horse-drawn carriages averaged began providing more energy than wood only during
less than 10 km/h, but by 1900, trains (the first the early 1880s.
scheduled services began during the 1830s) could go Another little appreciated fact is that the harnes-
easily 10 times faster and carry passengers in much sing of wind energy reached its peak at the same time
greater comfort (Fig. 3). Railways had also drasti- that the steam engine did. America’s westward
cally lowered the cost of moving voluminous loads in territorial progression across the windy Great Plains
areas where inexpensive canal transport was not created a demand for windmills to pump water for
possible. Steamships cut the length of intercontinen- steam locomotives, households, and cattle. These
tal travel and greatly expanded and speeded long- machines were made generally of large numbers of
distance trade. For example, trans-Atlantic crossing, fairly narrow slats that were fastened to solid or
which took more than 1 week with the sailships of sectional wheels and usually equipped with either the
the 1830s, was cut to less than 6 days by 1890. centrifugal or the side–vane governor and indepen-
Steam engines will be always seen as the quintes- dent rudders. Total sales of these relatively small (less
sential energizers of the Industrial Revolution, that than 1 kW) machines amounted to millions of units
great divide between the traditional and the modern after 1860, whereas the capacity of approximately
world. But this notion is far from correct, and so is 30,000 larger windmills in countries around the
the very idea of the Industrial Revolution. Coal did North Sea peaked at approximately 100 MW by the
power the expansion of iron-making, but the textile year 1900.
industry, the key component of that productive From the vantage point of the early 21st century, it
transformation, was commonly energized, both in is clear that it was the next energy transition––the
556 World History and Energy

process of electrification and the rising global II that electricity began powering the new computer
dependence on hydrocarbons––that has left the age with its immense flow of information and enter-
greatest mark on individual lives as well as on the tainment options.
fortunes of economies and nations during the 20th Electricity has been also the principal means of
century. The invention of a commercially viable easing the burden of female household labor as a
system of electricity generation, transmission, and growing variety of machines and gadgets took over
use (beginning only with incandescent lighting) common chores. Another great change brought
by Thomas A. Edison and his associates was about by inexpensive electricity has been the global
compressed into a remarkably short period during spread of air conditioning (first patented by William
the early 1880s. This was followed by a no less Carrier in 1902). Its availability opened up the
intensive period of innovation with fundamental American Sunbelt to mass migration from the
contributions by George Westinghouse [who cor- Snowbelt, and since the 1980s, room units have also
rectly insisted on alternate current (AC) for transmis- spread rapidly among more affluent households of
sion], Charles Parsons (who patented the first steam subtropical and tropical countries.
turbine in 1884), William Stanley (who introduced The age of crude oil was launched during the same
an efficient transformer in 1885), and Nikola Tesla decade as that of electricity, and the three key
(who invented the electric motor in 1888). ingredients of a modern automobile––Gottlieb
As a result, by the late 1890s, the entire electric Daimler’s gasoline-fueled engine, Karl Benz’s elec-
system was basically perfected and standardized in trical ignition, and Wilhelm Maybach’s float-feed
the form that is still relied on today; the challenge carburetor––came together during the 1890s when
ahead was to keep enlarging its unit sizes and Rudolf Diesel also introduced a different type of
improving efficiencies and this challenge has been internal combustion engine. Subsequent decades
met in many impressive ways. Since 1900, the have seen a great deal of improvement but no
maximum sizes of turbogenerators grew from 10 to fundamental change of the prime mover’s essentials.
E1.5 GW, AC transmission voltages rose from less Only in the United States and Canada did car
than 30 kV to more than 700 kV, and in 2003, the ownership reach high levels before World War II;
best efficiencies of thermal generation surpassed Western Europe and Japan became nearly saturated
40% (and with cogeneration 60%), compared to as only during the 1980s. By 1904, the Wright brothers
little as 5% in 1900. An inexpensive and reliable built their own four-cylinder engine with an alumi-
supply of electricity transformed every aspect of num body and a steel crankshaft to power the first
everyday activities by bringing bright and affordable flight of a machine heavier than air, and the first 50
light to both interiors and streets, by powering a still- years of commercial and military flight were domi-
growing array of time-saving and leisure-enhancing nated by airplanes powered by reciprocating engines.
gadgets, and by energizing urban and intercity trains. Jet engines powered the first warplanes by 1944; the
But the most revolutionary consequence of elec- age of commercial jet flights began during the 1950s
trification was in industrial production. The recipro- and was elevated to a new level by the Boeing 747,
cating motion of steam engines had to be transmitted introduced in 1969.
by rotating shafts and belts, resulting in friction and Transportation has been the principal reason for
a great deal of lost time with accidents and allowing the higher demand for crude oil, but liquid fuels, and
only limited control of power at individual work- later natural gas, also became very important for
places. Inexpensive electric motors of all sizes heating, and both hydrocarbons are excellent feed-
changed all that: no shafts and belts, no noise and stocks for many chemical syntheses. By 1950, crude
dangerous accidents, only precise and flexible in- oil and natural gas claimed approximately 35% of
dividual power controls. American manufacturing the world’s primary energy supply, and by 2000,
was the first to make the transition in just three their combined share was just over 60% compared to
decades: by 1929, the capacities of industrial coal’s approximately 25% (Fig. 4). Fossil fuels thus
electrical motors accounted for over 80% of all provided approximately 90% of all commercial
installed mechanical power. Highly productive as- primary energy supply, with the rest coming from
sembly lines (Ford pioneered them in 1913) were an primary (hydro and nuclear) electricity. Despite a
obvious product of this transformation, as were great deal of research and public interest, new
many new specialized industries. And although the renewable conversions (above all, wind turbines
experimental beginnings of radio and television and photovoltaics) still have only a negligible role,
predate World War I, it was only after World War as do fuel cells whose high conversion efficiencies
World History and Energy 557
Old World's fuel shares (percent)
100 100
Charcoal

80
80
Hydrocarbons
60

Share of the global TPES


Biomass fuels
40 60

20
Coal
40
0
1000 500 0 500 1000 1500 2000
BC AD 20
FIGURE 4 Approximate shares of global fuel consumption in
the period from 1000 BCE to 2000 CE.
0
0 20 40 60 80 100
and pollution-free operation offer a much better way
Share of the global population
of converting gaseous and liquid fossil fuels to kinetic
energy than does air-polluting combustion. FIGURE 5 Inequality of global commercial energy use in the
year 2000 is indicated by a highly convex shape of the Lorenz
curve: the richest 10% of the world’s population claimed
approximately 45% of all energy, whereas the poorest 50% had
access to just 10% of the total.
5. HIGH-ENERGY CIVILIZATION
AND ITS ATTRIBUTES
of ecosystems (perhaps even endangering the very
Fossil fuels and electricity have helped to create the maintenance of a habitable biosphere), is prone to
modern world by driving up farm productivity and many social ills accentuated by urban living, has
hence drastically reducing agricultural populations, acquired weapons of mass destruction, and is highly
by mechanizing industrial production and letting the vulnerable to asymmetrical threats of terrorism.
labor force move into the service sector, by making People who live in affluent societies take the levels
megacities and conurbations a reality, by globalizing of energy that individuals and collectives control for
trade and culture, and by imposing many structural granted, but the claims now made on energy
uniformities onto the diverse world. Inevitably, all of resources are still astounding no matter if they are
these developments had enormous personal and compared across the entire span of human evolution
collective consequences as they released hundreds or just across the 20th century. Peak unit capacities
of millions of people from hard physical labor, of prime movers rose from less than 100 W of
improved health and longevity, spread literacy, sustained human labor for the late Neolithic foragers
allowed for rising material affluence, broke tradi- to approximately 300 W for a draft ox of the early
tional social and economic confines, and made the antiquity and to 2 kW for the largest Roman water-
Western ideas of personal freedom and democracy wheels. Improved versions of those machines rated
into a powerfully appealing (as well as fanatically approximately 5 kW by the end of the first millen-
resented) global force. nium of the CE and still no more than 8 kW by 1700.
But these benefits are fully, or largely, enjoyed only A century later, Watt’s steam engines pushed the peak
by a minority (only E15%) of the world’s population. ratings to 100 kW, by 1900 the largest steam and
The great energy transitions of the past century raised water turbines had capacities 100 times higher
standard of living everywhere but it has not been (10 MW), and steam turbines reached eventually
accompanied by any impressive decline of disparities their maximum at 1.5 GW (Fig. 2). Peak unit
between rich and poor societies. In the year 2000, the capacities of prime movers that deliver sustained
richest 10% of the world’s population consumed more power thus rose approximately 15 million times in
than 40% of all commercial primary energy (Fig. 5). 10,000 years, with more than 99% of the rise taking
In addition to being liberating and constructive, place during the 20th century. Increases in the
modern high-energy civilization is an enormous destructive discharge of energies have been even
source of environmental pollution and degradation more stunning: the largest tested thermonuclear
558 World History and Energy

weapon (the Soviet Union’s 100-megaton bomb in some 400 m2 of living area had more than 80
1961) had power 16 orders of magnitude higher than switches and outlets ready to power every imaginable
the kinetic energy of a forager’s arrow. household appliance and drawing upward of 30 kW,
Because of the rapid growth of the global at least a 60-fold jump in one century. Three vehicles
population, per capita comparisons yield naturally owned by that household would boost the total
smaller multiples. Despite the near quadrupling of power under the household’s control to close to half
the global population––from 1.6 billion in 1900 to a megawatt! Equivalent power––though nothing like
6.1 billion in 2000––the average gross annual per the convenience, versatility, flexibility, and reliability
capita supply of commercial energy more than of delivered energy services––would have been
quadrupled from just 14 GJ to approximately available only to a Roman latifundia owner of
60 GJ. In the United States, per capita energy use E6000 strong slaves or to a 19th century landlord
more than tripled to approximately 340 GJ/year, employing 3000 workers and 400 large draft horses.
Japan’s more than quadrupled to just over 170 GJ/ Because the adoption of new energy sources and
year, and China’s per capita fossil fuel use, excep- new prime movers needs substantial investment, it is
tionally low in 1900, rose 13-fold between 1950 and not surprising that this process broadly correlates
2000, from just over 2 to E30 GJ/year. These gains with the upswings of business cycles. The first wave,
are far more impressive when expressed in more well documented by Schumpeter, corresponds to the
meaningful terms as useful energy services. Con- rising extraction of coal and the introduction of
servative calculations indicate that because of better stationary steam engines (1787–1814). The second
conversion efficiencies, the world in the year 2000 wave (1843–1869) was stimulated by railroads,
had at its disposal at least 25 times more useful steamships, and iron metallurgy, and the third wave
commercial energy than in 1900 and the correspond- (1898–1924) was stimulated by the rise of electricity
ing multiples exceed 30 in some rapidly industrializ- generation and the replacement of steam-driven
ing countries. machinery by electric motors in manufacturing
Perhaps the best way to compare the secular (Fig. 6).
energy gains at a household level is to compare The initial stages of energy transitions also
installed electric power. In 1900, a typical urban U.S. correlate significantly with the starts of major
household had only a few low-power light bulbs, innovation waves that appear to be triggered by
adding up to less than 500 W. In the year 2000, an economic depressions. The first innovation cluster,
all-electric, air-conditioned suburban house with peaking in 1828, was associated mainly with mobile

Coal, crude oil,


Fuels Coal Coal Coal and crude oil and natural gas
New prime Stationary Mobile steam Steam turbines and Gas turbines
movers steam engines engines internal combustion engines

1775 1800 1850 1900 1950 1990

1828 1880 1937

Innovative
clusters

1800 1856 1911 1962


Long-wave
business
cycles

1827 1883 1937 1990


FIGURE 6 Timelines of major energy eras, innovative clusters (according to G. Mensch), and long-wave business cycles
(according to J. A. Schumpeter) in the years 1775–1990.
World History and Energy 559

steam engines; the second, peaking in 1880, was energy-poor Afghanistan, Vietnam, and Sudan, but
associated with the introduction of electricity gen- also oil-rich Libya and Saudi Arabia.
eration and internal combustion engines, and the Long-term trends in population growth are an-
third cluster, peaking in 1937, included gas turbines, other key historic variable that is hard to relate to
fluorescent lights, and nuclear energy. Post-World changes in the energy base and to levels of energy use.
War II extension of these waves would include the Improved nutrition could be seen as the principal
global substitution of hydrocarbons for coal and cause of tripling the European population between
mass car ownership; this wave was checked in 1973 1750 and 1900, but such a claim cannot be reconciled
by the sudden increase in the price of oil initiated by with careful reconstructions of average food energy
the Organization of Petroleum Exporting Countries. intakes. China’s example is even more persuasive:
between 1700 and 1900, the Qing dynasty did not see
any major change in energy sources and prime
6. LIMITS OF movers, and no rise in the average per capita use of
ENERGETIC DETERMINISM wood and straw, but the country’s population tripled
to approximately 475 million people.
When seen from a strictly biophysical point of view, Even the links between economic output and
energy may have an unchallenged primacy among energy use are not that simple. When seen from a
the variables determining the course of history, but physical (thermodynamic) perspective, economies
when it is considered from broader cultural and are complex systems that incessantly acquire and
social perspectives, it may not even rank as primus transform enormous quantities of fossil fuels and
inter pares. In addition to all of those indisputable electricity, and some very high correlations between
energy imperatives, there are a multitude of none- the rate of energy use and the level of economic
nergy factors that initiate, control, shape, and direct performance suggest that the latter may be a direct
human decisions to harness and use energies in a function of the former. There is little doubt that the
myriad of specific ways. Only if one were to equate successive positions of economic preeminence and
the quality of life, or the accomplishments of a international influence wielded by the Dutch Repub-
civilization, with the mindless accumulation of lic in the 17th century, Great Britain in the 19th
material possessions, would the rising consumption century, and the United States in the 20th century
of energy be an inevitable precondition. But such a had their material genesis in the early exploitation of
primitive perspective excludes the multitude of fuels that yielded higher net energy returns and
moral, intellectual, and esthetic values whose in- allowed for higher conversion efficiencies (peat, coal,
culcation, pursuit, and upholding have no links to and crude oil, respectively).
any particular level of energy use. A closer analysis, however, reveals that the link
To begin with, timeless artistic expressions show between energy use and economy cannot be encom-
no correlation with levels or kinds of energy passed by any easily quantifiable function as national
consumption: the bison in the famous cave paintings specificities preclude any normative conclusions and
of Altamira are not less elegant than Picasso’s bulls invalidate many intuitive expectations. Possession of
drawn nearly 15,000 years later. It should also noted abundant energy resources has been no guarantee of
that all universal and durable ethical precepts, be national economic success and their virtual absence
they of freedom and democracy or compassion and has been no obstacle to achieving enviable economic
charity, originated in antiquity, when an inadequate prosperity. A long list of energy-rich nations that
and inefficient energy supply was but a small fraction have nevertheless mismanaged their fortunes must
of today’s usage. And to cite some more recent include, to name just the three most prominent cases,
examples, the United States adopted a visionary the Soviet Union, Iran, and Nigeria. The list of
constitution while the country was still a subsistence energy-poor nations that have done very well by any
society running on wood; in contrast, before its global standard must be headed by Japan, South
collapse, the Soviet Union was the world’s largest Korea, and Taiwan. And countries do not have to
producer of crude oil and natural gas––yet all that attain specific levels of energy use in order to enjoy a
country could offer its citizens was an impoverished comparably high quality of life.
life in fear, in a cage they were not allowed to leave. Although it is obvious that a decent quality of life
That political freedoms have little to do with energy is predicated on certain minima of energy use, those
use can be clearly seen by inspecting the list of the countries that focus on correct public policies may
world’s least free countries: it includes not only realize fairly large rewards at levels not far above
560 World History and Energy

such minima, whereas ostentatious overconsumption between 40 and 70 GJ/capita, with diminishing
wastes energy without enhancing the real quality of returns afterward and with basically no additional
life. A society concerned about equity and willing to gains accompanying consumption above 110 GJ/
channel its resources into the provision of adequate capita or E2.6 metric tons of crude oil equivalent.
diets, availability of good health care, and accessi- The United States consumes exactly twice as much
bility to basic schooling could guarantee decent primary energy per capita as does Japan or the
physical well-being, high life expectancy, varied richest countries of the European Union (340 GJ/year
nutrition, and fairly good educational opportunities versus 170 GJ/year), but it would be ludicrous to
with an annual per capita use of as little as 40–50 GJ suggest that American lives are twice as good. In
of primary energy converted with efficiencies pre- reality, the United States falls behind Europe and
vailing during the 1990s. Japan in a broad range of quality-of-life variables,
A better performance, pushing infant mortalities including higher infant mortality rates, more homi-
below 20/1000, raising female life expectancies cides, lower scientific literacy, and less leisure time.
above 75 years, and elevating the UNDP’s Human Finally, energy use is of little help in explaining the
Development Index (HDI) above 0.8 appears to demise of the established order. The long decline of
require at least 1400–1500 kgoe (kilograms of oil the Western Roman Empire cannot be tied to any
equivalent) of energy per capita, and in the year loss of energy supplies or a drastic weakening of
2000, the best global rates (infant mortalities below energy conversion capabilities and neither can the
10/1000, female life expectancies above 80 years, fall of the French monarchy during the 1780s, the
HDI above 0.9) needed no less than approximately collapse of the Czarist empire in 1917, or the
2600 kgoe/capita (Fig. 7). All of the quality-of-life Nationalist retreat from mainland China during the
variables relate to average per capita energy use in a late 1940s. Conversely, many historically far-reach-
nonlinear manner, with clear inflections evident at ing consolidations (including the gradual rise of

1.0

Australia Canada
Italy
Spain
Japan USA

0.8 Brazil Russia


Saudi Arabia
Ukraine
Human Development Index

China
South Africa

0.6
India

Nigeria

0.4

Afghanistan

0.2
0 1000 2000 3000 4000 5000 6000 7000 8000
Per capita energy consumption (kgoe/year)
FIGURE 7 Plot of the Human Development Index against the average annual per capita use of commercial energy in the
year 2000, which shows that virtually no quality-of-life gains accrue with consumption above 2.6 metric tons of oil equivalent.
World History and Energy 561

Egypt’s Old Kingdom, the rise of the Roman Energy in the History and Philosophy of Science 
Republic, or the rise of the United States) and Fire: A Socioecological and Historical Survey 
lightning expansions of power (including the spread Hunting and Gathering Societies, Energy Flows in 
of Islam during the 7th and 8th centuries or the Nationalism and Oil  Oil Crises, Historical Per-
Mongolian conquest of the 13th century) cannot be spective  Oil Industry, History of  OPEC, History
linked to any new prime movers or to better uses of of  Sociopolitical Collapse, Energy and  War and
prevailing fuel. Energy
There is clearly an ambivalent link between energy
and history. Energy sources and prime movers delimit
the options of human history and determine the Further Reading
tempo of life, and, everything else being equal, Cowan, C. W., and Watson, P. J. (eds.). (1992). ‘‘The Origins of
thermodynamics requires that higher socioeconomic Agriculture.’’ Smithsonian Institution Press, Washington, DC.
complexity must be supported by more intensive Finniston, M., et al. (eds.). (1992). ‘‘Oxford Illustrated Encyclo-
pedia of Invention and Technology.’’ Oxford University Press,
flows of energy. And yet, neither the possession of
Oxford, UK.
abundant energy sources nor a high rate of energy Forbes, R. J. (1972). ‘‘Studies in Ancient Technology.’’ E.J. Brill,
consumption guarantees the security of a nation, Leiden, the Netherlands.
economic comfort, or personal happiness. Access to Goudsblom, J. (1992). ‘‘Fire and Civilization.’’ Allen Lane,
energies and the modes of their use constrain the London.
options for human beings’ actions but do not explain Langdon, J. (1986). ‘‘Horses, Oxen and Technological Innova-
tion.’’ Cambridge University Press. Cambridge, UK.
the sources of people’s aspirations and the reasons for McNeill, W. H. (1989). ‘‘The Age of Gunpowder Empires, 1450–
the choices they make and do not preordain the 1800.’’ American Historical Association, Washington, DC.
success or failure of individual societies at a particular Nef, J. U. (1932). ‘‘The Rise of the British Coal Industry.’’
time in history. Indeed, the only guaranteed outcome Routledge, London.
of higher energy use is greater environmental burdens Pacey, A. (1990). ‘‘Technology in World Civilization.’’ The MIT
Press, Cambridge, MA.
whose global impacts may imperil the very habit- Schumpeter, J. A. (1939). ‘‘Business Cycles: A Theoretical and
ability of the biosphere. To prevent this from Statistical Analysis of the Capitalist Processes.’’ McGraw-Hill,
happening, humanity’s most important future choice New York.
may be to limit the use of energy and thus to embark Schurr, S. H. (1984). Energy use, technological change, and
on an entirely new chapter of history. productive efficiency: An economic–historical interpretation.
Annu. Rev. Energy 9, 409–425.
Singer, C., et al. (eds.). (1954–1984). ‘‘A History of Technology.’’
Clarendon Press, Oxford, UK.
SEE ALSO THE Smil, V. (1991). ‘‘General Energetics: Energy in the Biosphere and
FOLLOWING ARTICLES Civilization.’’ Wiley, New York.
Smil, V. (1994). ‘‘Energy in World History.’’ Westview Press,
Boulder, CO.
Coal Industry, History of  Cultural Evolution and Smil, V. (2003). ‘‘Energy at the Crossroads: Global Perspectives
Energy  Early Industrial World, Energy Flow in  and Uncertainties.’’ MIT Press, Cambridge, MA.
CHRONOLOGY OF ENERGY-RELATED DEVELOPMENTS

The following chronology presents a list of events settle on the ground and in stream, lake, and sea beds.
that have had significant implications for the field of As they become buried, they are transformed by heat
energy. This section has been compiled by chief editor and pressure into solid, liquid, or gaseous hydrocarbons
Cutler Cleveland, in collaboration with Christopher (coal, oil, or natural gas).
Morris of the Academic Press/Elsevier publishing staff.
about 350 million years ago Evidence for the first forest
The associate editors supplied material for a number of
fires on Earth appear in the geological record.
the entries that appear here, as well as providing other
valuable advice. In addition, various encyclopedia authors 2.5 to 1.5 million years ago Proposed time span for the
furnished material for entries within their specific area of Oldowan tradition of East Africa, the earliest known
expertise. The chronology includes more than 1,500 entries use of stone tools by the forerunners of modern humans.
in all.
Every effort has been made to establish the proper date 1 million to 500,000 BC Proposed time span for the
for each entry in the chronology, but it must be acknowl- development of more sophisticated stone tool use at
edged that certain dates here represent the best possible various sites.
estimate. In general the earlier the date of an entry, the 500,000 BC Estimated time of the first controlled use of
more likely it will be an approximation, or an expression of fire by humans. Various scholars have proposed dates
a range of possible dates. We also recognize that for some ranging from 1.5 million to 150,000 years ago; the large
milestones of energy there are competing claims as to range is due to debate over the archaeological and
which individual, group, or nation deserves the credit for paleontological evidence, and in particular the problem
having been first, and we have tried to reflect this in the of distinguishing natural fire events (as from lightning)
wording of the entries. from human-produced fire.
40,000 BC Estimated date for the first use of artificial
light in lamps, which were probably in the form of a
hollow rock, shell, or other such natural object, fueled
Earliest Times to 4500 BC with animal fats and using lichens, moss, or other plant
fiber for a wick.
about 4.5 billion years ago Suggested time at which the 24,000 BC Pits dug at sites in the East European plain
Sun’s fusion reactions begin, and solar energy reaches constitute the first evidence of storage of non-food
the Earth. items, such as fuel and other raw materials.
about 600 million years ago Proposed time at which the 10,000 BC Estimated date for the earliest use of hot
Earth’s ozone layer forms; i.e., enough ozone is present springs (e.g., North America, Anatolia, Japan) for
in the stratosphere to sufficiently shield Earth from cooking and bathing and as religious sites or sanctuaries.
biologically lethal ultraviolet radiation. Prior to this
period, life was restricted to the ocean; the presence of 8000 BC Estimated date for the first use of various forms
ozone is a fundamental prerequisite for organisms to of human transportation, such as sledges, skis, and
develop and live on the land. primitive boats or rafts.
about 500 million years ago The organic precursors to 8000–7000 BC Estimated time span for the beginnings of
fossil fuels are created. Marine and terrestrial plants agriculture worldwide, based on evidence such as wheat
absorb solar energy and use it to produce carbohy- being grown in Mesopotamia and corn in the Oaxaca
drates; these and other organic materials eventually Valley of Mexico.

Encyclopedia of Energy, Volume 6.” Published by Elsevier Inc. 641


642 Appendix/Chronology

7000 BC Improved versions of lamps are in use, with oils 3100 BC The earliest known use of candles, as indicated
derived from a variety of plant and animal fats as fuel. by candle holders found in Crete and Egypt. Early fuels
Wicks made from hemp, flax, wool, or cotton are used are derived from local materials, e.g., wax from insects
to control the rate of burning. molded in paper tubes, various forms of tallow
(rendered animal fat).
6000 BC Humans begin to utilize animal power as an
energy source through the domestication of various 3000 BC Coal is in use as a fuel, based on evidence found
animals such as the wild ox, the horse, the pack ass, and in various ancient sites such as China and Wales.
the camel.
3000 BC Mesopotamians use ‘‘rock oil’’ (an early term
6000 BC The Bible has numerous references to the use of for petroleum) in architectural adhesives, ship water-
pitch, which is asphalt or bitumen in its soft state. Noah proofing, medicines, and roads.
follows God’s instructions to cover the Ark with pitch. 3000 BC The Sumerians divide the day into 24 hours, the
The reed basket that carries the infant Moses into the hour into 60 minutes, the minute into 60 seconds, and
Nile River is waterproofed with pitch. The Tower of the circle into 360 degrees.
Babel is built with ‘‘bricks for stone and slime they had
for mortar.’’ (Slime is another word for pitch.) 3000 BC The use of oars to power a boat is established in
Egypt.
5000 BC Evidence of ocean-going reed boats being used
in the Persian Gulf. Other indications of early use of 3000 BC Various Mideast peoples use deposits of bitu-
reed boats exist in sites such as the Sudan, coastal Peru, men (asphalt) in the form of natural seepage from sites
Lake Titicaca, New Zealand, and the marshes of such as the Dead Sea for a number of purposes
southern Iraq. including road building, bonding and waterproofing,
and the making of artifacts.
4800 BC Residents of the Nabta Basin in Egypt construct
stone calendar circles that target due north and the 2950–2900 BC The earliest complex is constructed at the
summer solstice. Stonehenge site in southern England. Subsequent
periods of construction (2900–2400 BC and 2550–
4600 BC Farmers begin to use the plow rather than the 1600 BC) culminate in the complicated setting of large
hoe as a farm implement, in Mesopotamia or possibly stones that still exists today.
Egypt.
2900 BC Specialized oil lamps are in regular use in the
Middle East, probably employing olive oil or possibly
beeswax as fuel.
2800 BC Solar orientation is the basic principle of design
for Egyptian temple construction, with pyramids posi-
4500–2000 BC tioned to show the change in the Earth’s location
relative to the Sun over the course of a year. A temple in
4241 BC The earliest known official recording of a date Kamak, honoring the sun god Ra, is oriented so that
is registered in the calendar of ancient Egypt. sunlight penetrates the building in a precise beam.
4000 BC Egyptians build boats made from planks joined 2560 BC Construction begins for the Great Pyramid of
together. Previously, boats were dug out from logs, or Khufu (Cheops), one of the Seven Wonders of the World
made of reeds bound together or skins stretched over a in ancient times and the only one still in existence.
framework.
2200 BC Crude oil is refined in China for use in lamps
4000 BC The crafts of glassmaking, brickmaking, and and in heating homes.
copper smelting are in existence.
4000 BC The earliest proposed date for the use of the
horse for riding, on the basis of excavations from
Dereivka in the Ukrainian steppes that show possible
signs of bit wear on horse teeth. 2000–600 BC
3800 BC Based on boat fragments found in southeast
Turkey, suggested date for the earliest transport of trade 2000 BC Horse-drawn vehicles are in use in Egypt; also
goods by riverboat, including petroleum products. contemporaneously or subsequently in China.
3500 BC Earliest evidence of sailing ships, on the Nile 2000 BC The Greeks use water power to turn water-
river and in the Mediterranean. wheels for grinding wheat into flour.
3200 BC Earliest specific evidence of the use of wheeled 2000 BC Various peoples construct baths using geother-
vehicles, at the Uruk site in what is now Syria. mal hot springs.
Appendix/Chronology 643

1900 BC Spoked wheels have appeared in Egypt and ca. 585 BC The Greek philosopher Thales of Miletus
Palestine. These wheels are significantly lighter than notes that an amber rod attracts to itself light materials,
solid wheels, allowing a wheeled cart to carry a heavier such as straw, when it is rubbed. Though not under-
load. stood at the time, this is the first known observation of
the phenomenon of static electricity.
1900 BC The Greeks employ an early form of passive
solar heating. 500s BC One of the first industrial uses of pitch is in the
ca. 1810 BC King Amenemhet III of Egypt completes a Hanging Gardens of Babylon of King Nebuchadnezzar
system to regulate the inflow of water into the large II, one of the Seven Wonders of the ancient world. The
Lake of Fayoum (Lake Moeris) depression, southwest of gardens are built of brick and asphalt protected by lead.
Cairo. This includes one of the world’s earliest dams 500s BC Ancient Chinese proverbs describe what will
and provides both a flood control for the seasonal become known in the modern era as an ecological
overflow of the Nile and a reservoir for irrigation. pyramid based on energy relations among trophic
1600 BC The shadouf (or shaduf) is used to raise water (feeding) levels: (1) ‘‘The large fish eat the small fish,
from a river or well. This is a form of lever consisting of the small fish eat the water insects, the water insects eat
a pole balanced on a pivot, with a weight at one end and plants and mud’’; (2) ‘‘Large fowl cannot eat small
a bucket at the other. This first appears in Egypt or grain’’; (3) ‘‘One hill cannot shelter two tigers.’’
possibly India; it is still in use today. 500 BC Construction begins on China’s Grand Canal; it
1500 BC Smelted iron tools come into in use. Armenia is is extended over the centuries by dredging new sections
traditionally thought of as the first site for this. and by connecting existing canals and natural rivers
until it eventually becomes the longest canal in the
ca. 1380 BC A canal diverging from the Nile extends world.
along the Wadi Tumilat to Heroopolis, a port at the
head of the Bitter Lakes, providing a shipping passage 480 BC The Persians use flaming arrows wrapped in oil-
between the Nile and the Red Sea. The path of this soaked fibers at the siege of Athens.
canal was frequently followed by the builders of the ca. 450 BC The Greek philosopher Empedocles refines
modern Suez Canal. the existing belief that the universe consists of four basic
1000 BC Phoenician warships and merchant ships travel properties—earth, air, water, and fire—by stating that
over the Mediterranean Sea, employing a large square all types of matter are composed of varying proportions
sail and banks of oarsmen. of these. This idea holds sway in the West for roughly
the next 2,000 years.
900 BC Hand-dug oil wells near the Gulf of Suez are used
as a source to extract bitumen for use as a preservative ca. 420 BC The Greek philosopher Democritus postu-
in Egyptian mummies. lates that all matter consists of tiny particles called
atoms that cannot be divided, and that their constant
900 BC The first practical use of natural gas takes place
motion explains the physical nature of the universe.
when the Chinese use it for brine evaporation.
400s BC Spurred in part by wood fuel scarcity, classical
800 BC The Scythians, a unified group of nomadic tribes
Greek architecture develops widespread use of passive
from the southern Russian steppes, display great skill
solar energy. Socrates states the basic principles of this
and mobility as mounted archers.
practice: homes are oriented toward the south, and
ca. 692 BC Sennacherib, king of Assyria, constructs a eaves are added to shade for south windows in summer;
highly advanced aqueduct at Jerwan, a portion of which entire cities are designed to allow equitable access to the
still exists today. winter sun.
600s BC The Greeks begin making terra cotta lamps to 400–200 BC Greek thinkers such as Aristotle, Hippo-
replace hand-held torches. The word ‘‘lamp’’ is derived crates, Euclid, and Pythagoras lay the foundations for
from the Greek term lampas, meaning ‘‘torch.’’ modern science through their inquiries that emphasize
evidence, logic, and and deduction.
ca. 380 BC Many parts of of Greece are completely bare
of trees due to their harvest for fuel, smelting opera-
tions, and shipbuilding. The philosopher Plato laments,
600–300 BC ‘‘The mere skeleton of the land remains.’’ A tax is then
placed on wood for home heating and cooking, and the
supply of wood is regulated by public authorities in
ca. 600 BC Ancient Assyrian writings tell of the ‘‘Eternal
some localities.
Fire,’’ a continuously burning flame from a natural oil
spring. In the modern era the Iraqi oil industry will ca. 350 BC Aristotle proposes the use of distillation as a
come into being at this same site. means of desalinating sea water.
644 Appendix/Chronology

ca. 340 BC Aristotle describes how heat from the Sun’s mirror of polished metal combined with a large series of
rays sets in motion the circulation of huge masses of air smaller mirrors; later experts disagree as to whether
and moisture in the atmosphere. This concept remains such a technique is possible.
unchallenged for nearly 2000 years.
ca. 211 BC The first known well is drilled for natural gas
ca. 340 BC Aristotle provides the first technical definition in China to a reported depth of 500 feet. The Chinese
of energeia, a word formed by combining two root are said to drill their wells with primitive percussion and
forms meaning ‘‘at’’ and ‘‘work.’’ He uses this to bamboo poles as pipelines. The gas is burned to dry
describe the operation or activity of anything; the rock salt.
modern term ‘‘energy’’ ultimately will be derived from
ca. 210 BC The Archimedes screw (a helix-shaped screw
this concept of energeia.
in a tube) is employed to lift water from rivers for
325 BC The Greeks develop an accurate form of the irrigation.
clepsydra (water clock), improving on a technology that
ca. 191 BC A temple in Rome contains an ‘‘eternal fire’’
is thought to have originated in Egypt.
that burns continuously in homage to Vesta, the goddess
ca. 315 BC The Greek philosopher Theophrastus pub- of the hearth; this is probably a natural gas flame.
lishes De Lapidus, which uses the term anthrax to refer
150 BC The quern, a rotary hand mill used to grind
to a black stone that would burn (coal).
grain, is developed, likely by the Romans. Over the next
312 BC Rome’s Via Appia (the Queen of Roads) is several centuries this comes into widespread use in
completed, as well as the Aqua Appia, the first aqueduct Europe through Roman influence there.
to serve the city; both are named for Roman censor
mid 100s BC A decline in forest cover occurs in the
Appius Claudius Cieco.
environs of Rome because of demand for wood for
ca. 300 BC Syrian glassmakers invent the blowpipe to industrial fuel, home and ship construction, central
enable the production of glass in hollow shapes, heating, and lavish baths.
followed by the invention of the two-part mold that
ca. 130 BC Hipparchus of Rhodes, a Greek astronomer,
enables multiple production of glass products.
applies mathematical principles to the determination of
locations on the Earth’s surface, expressed in terms of
their specific longitude and latitude.
ca. 122 BC The Chinese writer Liu An refers to ‘‘ice-
charcoal’’; this is assumed to be the first written
3rd to 1st Century BC reference to the mineral coal, which is used in China
by this time for home heating.
ca. 270 BC Aristarchus of Samos, an early Greek
100s BC Chinese farmers use an iron plow with a
astronomer, estimates the distance and size of the Sun,
moldboard (a curved plate above the plowshare that
and proposes that the Earth goes around it.
lifts and turns over the soil, creating a true furrow). Iron
ca. 270 BC The Great Lighthouse at Alexandria (Egypt) plows are also in use in Britain at this time, but
is constructed on the island of Pharos, using fire at night moldboard technology is not reported in Europe until
and reflecting the Sun’s rays from a giant mirror during centuries later.
the day. It stands for some fifteen centuries until being
100s BC Waterwheels are in operation in Greece and
destroyed by earthquakes in 1326.
Rome and probably elsewhere in southern Europe.
ca. 250 BC Greek mathematician Archimedes states that
ca. 85 BC The earliest known mention of the specific use
a body immersed in a fluid is buoyed up by a force equal
of water power to replace human labor is made by the
to the weight of the displaced fluid, which explains the
poet Antipater of Thessalonica, who refers to maids
buoyancy of ships. He is also credited with having
having their hard work of hand milling relieved by the
discovered the principle of the lever and with providing
power of a water mill.
a foundation for modern calculus.
ca. 80 BC The Romans employ the technique of
240 BC The lift-and-force piston pump is used to raise
hypocaust heating in baths and other buildings, the
water, an invention attributed to the Greek engineer
first known system of central heating.
Ctesibius of Alexandria. He is also said to have invented
a pneumatic catapult that hurled stones by combining a ca. 63 BC King Mithradates the Great of Pontus (Asia
spring device with a compressed air system. Minor) reportedly uses a hydraulic machine, presum-
ably a water mill.
212 BC Solar energy is reportedly employed to defend the
harbor of Syracuse against a Roman siege. Archimedes ca. 25 BC Glass melting, working, and forming technol-
uses a ‘‘burning glass’’ to set fire to the ships of the ogy flourishes in the Mediterranean region of the
Roman fleet from shore. Possibly this was a parabolic Roman Empire.
Appendix/Chronology 645

ca. 10 BC Vitruvius, a Roman engineer, publishes the each turning a pair of millstones; this complex is said to
earliest known description of a vertical water mill. have a total capacity of 3 tons of grain per hour.
300s AD The Roman Cursus Publicus (imperial postal
system) extends over more than 80,000 km.
300s AD Water mills appear in the Roman Empire.
ca. 320 AD Pappus of Alexandria identifies five elemen-
1st to 10th Century AD tary machines in use: the cogwheel, lever, pulley, screw,
and wedge. This follows on a similar description by his
ca. 20 AD Imperial orders in China reportedly set down predecessor Hero (ca. 60 AD).
the first environmental protection laws, including
500 AD The modern horse collar is in use in China, thus
energy-related issues such as restrictions on wood
allowing a single draft animal to pull a much heavier
burning and mining.
load. This follows the earlier development of the stirrup
ca. 37 AD The first greenhouse is reportedly used to grow (ca. 300 AD), also reportedly in China.
cucumbers for Tiberius Caesar, emperor of Rome.
500s AD The heavy plow is in use in Slavic Europe. The
47 AD Roman historian Tacitus reports on the digging of earlier Roman light plow was suited to Mediterranean
a 23-mile canal by Roman soldiers in Germany, linking soil but not to the rich, heavy, often wet soils of
the Rhine and Meuse rivers. Northern Europe. Over the next two centuries the
ca. 60 AD Hero (Heron) of Alexandria publishes heavy plow is introduced elsewhere in Europe, e.g.,
Pneumatica, which describes over 100 different ma- Northern Italy’s Po Valley and the Rhineland.
chines, including gears, a lever, and the aeolipile, the 600 AD Japanese excavators hand dig wells to depths of
first working steam engine. The aeolipile is similar in 600 to 900 feet.
operation to the modern jet engine.
600s AD Arab and Persian chemists discover that
77 AD Roman author Pliny the Elder describes people petroleum’s lighter elements can be mixed with quick-
living near the Rhine River delta (now the Netherlands) lime to make Greek fire, which was in effect the napalm
who dig lumps of earth which they then dry and burn of its day, used as an incendiary weapon in warfare.
for cooking and heating. This is the first known mention
600s AD Windmills are used in Persia to grind grain; also
of the use of peat as fuel.
possibly in the same period or earlier in China. At this
100 AD The Romans construct a huge bridge near the time rude vertical axis panemones (wind turbines) are
city of Nesausas (modern-day Nimes, France), still used to grind grain in the Afghan highlands.
standing and now known as Pont Du Gard. It features
ca. 700 AD Scholars in the Arab world adopt the Indian
an aqueduct that is part of a system bringing water to
system of numbering, which is more useful and
the city from springs 50 km distant.
sophisticated than the extant method of Roman
ca. 105 AD Paper manufacture is reported in China, with numerals. Though some argue this system should be
a man named Ts’ai Lun credited as the inventor. Over called Hindu numerals because of its likely origin, it
the next several centuries papermaking spreads to other becomes known in the West as Arabic numerals because
parts of Asia. Europe learns of it from the Arab world.
ca. 110 AD The Roman occupiers of Britain use coal 700s AD The Catalan forge comes into use in Andorra.
obtained from surface mines for heating and metal- This produces significantly higher temperatures than
working. The early peoples of Britain apparently mined existing furnaces and allows larger amounts of ore to be
coal long before this date; large quantities of burned smelted at one time.
coal fragments have been discovered at an Iron Age
ca. 750 AD Papermaking reaches the Islamic world from
settlement near Edinburgh and, as even earlier evidence,
contact with China. The Arab world then improves this
flint axes have been found embedded in coal in
technology over the next two centuries by the use of
Derbyshire.
linen fibers.
150 AD An efficient reservoir and dam for irrigation is ca. 776 AD Works written by Geber (Jabir Ibn Haiyan),
built at Saurashtra, India. and by later Arab writers but attributed to him,
150 AD The Romans advance Greek solar technology by introduce experimental investigation into alchemy and
employing clear window coverings such as glass to establish many of the principles of modern chemistry. In
enhance the capture of solar energy and using dark 1144 the Englishman Robert of Chester translated
colors and pottery to store thermal energy. ‘‘Sun rights’’ Geber’s major works into Latin.
guarantees are codified in Roman law. late 700s AD The earliest known tidal-powered mills of
300 AD A Roman flour mill at Barbegal, near Arles, in Europe are in operation on the northeast coast of
southern France, operates a large series of water wheels, Ireland.
646 Appendix/Chronology

800s AD The horse collar, stirrup, and moldboard plow trade leads to greater use of water power and water
appear in Europe. transportation.
ca. 830 AD The Muslim mathematician al-Khwarizmi 1086 A total of 5,624 water-driven mills are in use by the
describes various important concepts of modern mathe- manors of England south of the Trent River, or about
matics; the current term algorithm derives from his one mill for each 400 people. This is according to the
name and algebra comes from the title of a book he Domesday Book, a statistical survey that survives as a
wrote. He is considered the main source of European portrait of medieval life.
knowledge of the Arabic numeral system.
1100s Arabs in Spain introduce to Western Europe
900 AD Sailing vessels have appeared in various waters
the practice of distilling petroleum products for
with multiple masts and lateen (triangular) sails that
illumination.
make directional sailing possible, whereas earlier
square-sail vessels were limited to sailing with the wind. 1100s The Chinese drill wells with primitive boring
The probable origin of this technology is Arab merchant equipment to depths as great as 3,500 feet.
ships on the Red Sea.
ca. 1130 Gunpowder is employed for weaponry in China,
ca. 950 AD Gunpowder is developed, most likely in as primitive rockets, mortars, and cannons are in use.
China, though claims have been made for several other Similar weapons are reportedly in use by Moorish
cultures. Its use spreads to Europe at some point during armies at around the same time.
the next two centuries, probably as a result of the
Mongol invasion. ca. 1150 The first known paper mill in Europe is built by
the Moors in Xativa, Spain. Papermaking then becomes
ca. 980 AD The pound lock for canals comes into use in
established in Italy and gradually spreads across
China, thus allowing boats to move from a lower to
Christian Europe, though it does not become truly
significantly higher stretch of water.
important until the invention of the printing press.
late 900s AD Muslim chemists in Moorish Spain practice
the technique of distillation to produce alcohol for use mid 1100s Monks and lay brothers of the Cistercian
as a solvent and antiseptic (though not for alcoholic order display special talents in the use of water
beverages, in accordance with Islamic law). The word resources and water power, e.g., irrigation channels,
alcohol comes from ‘‘Al-Kohl,’’ an Arabic term for a dams, mills, and canals. In their agricultural practices
cosmetic powder that was a product of the distillation they also exhibit an early awareness of modern
process. ecological concepts such as reclamation, sustainable
development, and food webs.
1180 Windmills are widely in use in France, England,
and elsewhere in Europe. The first documented appear-
ance of the familiar European or ‘‘Dutch’’ style of
11th to 14th Century windmill is recorded in Normandy at around this time.
A written record of a windmill in Yorkshire, England
dates from 1185.
1000–1400 The age of feudalism in Europe: castles,
knights, religious fervor, only very rudimentary science ca. 1187 Working in Toledo, Spain, Italian scholar
and technology. The Vikings sail as far as Greenland Gerard of Cremona provides Latin translations of many
and America. Mongol warriors overrun and subjugate important thinkers from the Greek and Arab world,
southern Russia. such as Ptolemy, Euclid, Geber, and al-Khwarizmi, thus
ca. 1000 The magnetic compass is discovered in China. providing Europe with scientific knowledge that had
become lost or obscured during the early Middle Ages.
early 1000s The waterwheel is widely used in Western
Europe; it remains the main source of large-scale power ca. 1200 A treadmill hoisting machine powered by
there until well into the 18th century. donkeys is installed at the Abbey of Mont St. Michel
on the French seacoast.
1031 Waste paper is reportedly re-pulped into new paper
in Japan; this is considered the earliest known example ca. 1200 Reinier, a monk of the Priory of St. Jacques,
of recycling. Liège, Belgium, describes the use of coal for metalwork-
ca. 1050 The Anasazi peoples of southwestern North ing. At this time coal is being exported from north-
America build distinctive multistoried cliff dwell- eastern England to other parts of Britain and elsewhere
ings with southern exposure, providing passive solar in Western Europe.
heating. 1202 Italian mathematician Fibonacci (Leonardo Pisano)
1066 The Norman Conquest alters the profile of energy of Pisa publishes Liber Abaci, a book that introduces
use in England, as the subsequent growth of towns and the Arabic numeral system into Europe.
Appendix/Chronology 647

1230 The first importing of Scandinavian timber is 1306 King Edward II of England prohibits artificers from
recorded in England, indicating that wood as a domestic burning sea coal while Parliament is in session, because
fuel supply was already experiencing shortages. of its offensive smoke.
ca. 1230 Robert Grosseteste, chancellor of Oxford 1326 The first known drawing of a cannon in Europe
University, breaks with medieval thought to stipulate appears in a Florentine manuscript. In the following
that science should be based on observation and year King Edward III of England is reported to have
experimentation. He also theorizes on the nature of used cannon in battles with the Scots. Cannon were
light in a way that anticipates the work of Newton. definitely used by the English in the Battle of Crecy in
1345.
1232 The Chinese use rockets to defend the city of
Kaifeng against Mongol invaders. 1327 The Beijing-Hangzhou Grand Canal (1800 km
long) is completed, the longest man-made canal in the
ca. 1264 The young Marco Polo visits Baku, a Persian world. It was begun in about 600 AD (though
city on the shores of the Caspian Sea in modern supposedly parts of it existed at least 1,000 years
Azerbaijan. There he observes people collecting oil from earlier) and it still exists today.
seeps, a practice that is said to date back to the time of
Alexander the Great. 1340 A flüssofen (flow oven) is in operation at Marcheles-
Dames, Belgium. This is the earliest form of a true blast
1267–1268 English philosopher Roger Bacon prepares furnace, which was developed in the Rhineland as an
three large works for Pope Clement I, in which he lays a improvement on the earlier stückofen, in which malleable
foundation for the development of modern science with iron was produced directly from the ore.
his emphasis on the experimental method, rather than
1347 The Black Death (Plague) reaches Italy via mer-
established tradition, as the proper means for acquiring
chant ships after having inexorably moved westward
knowledge about the world.
from Asia along the trade routes over the past two
1269 The first experiments in magnetism are carried out decades. Over the course of the next five years the
by Petrus Peregrinus de Maricourt, a French engineer, Plague devastates Europe, killing about one-third of the
who observes and describes some of the fundamental entire population.
properties of magnets.
ca. 1350 Franciscan alchemist Joannes de Rupescissa
1270 An illustration of an English windmill appears in characterizes ethanol as ‘‘aqua vitae rectificata,’’ and
the Windmill Psalter, which has its origin in Canterbury. identifies it as the fifth essential form of matter, in
addition to earth, air, fire, and water.
1273 Pollution from coal smoke offends the citizens of
London. An ordinance is then enacted prohibiting the 1379 The first tax on coal is enacted in England; in 1421
use of coal because it is ‘‘prejudicial to health.’’ This is ‘‘a duty of twopence per chaldron (an old unit of
the first recorded example in Britain of an explicit air- measure) was to be paid to the Crown by all persons,
pollution control. not franchised in the port of Newcastle, who bought
coals.’’
1291 A royal charter granted to the Abbot of Dunferm-
line gives him and his monks the rights to dig for coal. late 1300s Portable firearms are in use, including the first
At this time in Britain coal is obtained from shallow weapon referred to as a handgun, i.e., a weapon that
underground mines known as bell pits or stair pits. can be held and fired by one person.
Another form of soft coal called ‘‘sea coal’’ is gathered
on beaches as it washes up on the shore.
1298 Marco Polo’s Description of the World comments
on many novel customs and practices of China,
including the use of ‘‘stones that burn like logs’’ (coal). 15th Century
Some scholars now question whether Marco Polo
actually observed China at first hand or simply reported ca. 1400 The Hopi people of southwestern North
on what others told him, but in either case his writings America burn coal for cooking and heating and to
made the West aware of Chinese culture. bake the pottery they make from clay.
1300s The first geothermal district heating system is set 1400s Huge draft horses, originally bred to carry heavily
up at the town of Chaudes-Aigues in France; it employs armored knights in battle, are now in use as work
as the heat source a natural flow of hot water from animals.
springs at 821C (it is still in use today).
1400s Major advances are made in the use of candles,
early 1300s Serious wood shortages begin to be reported including the first use of candle molds and the use
in England and elsewhere in Western Europe; these will of beeswax instead of tallow (producing less smoke
become gradually more acute over the next 300 years. and odor).
648 Appendix/Chronology

1408 The drainage windmill is used in Holland, employ- ca. 1498 The Inca empire of western South America
ing a large scoop wheel to carry inland waters out to establishes the Andes highway, a vast system of roads
sea, thus permitting the use of lowland areas for built of stone bricks, reportedly extending over more
agriculture. than 15,000 miles in total.
1427 Portuguese caravels in the service of Prince Henry
the Navigator discover the Azores archipelago roughly
1,500 kilometers west of the European mainland. Over
the next two decades Portuguese sailors also explore the
west coast of Africa, a region previously little known to
Europeans.
16th Century
1450 The Dutch invent the wipmolen, a form of windmill ca. 1500 By this date, direct use of geothermal water for
in which the top portion, bearing the sails, can be medical purposes is common practice at Xiaotangshan
turned to face the wind. Sanitarium, northwest of Bejing. The 501C water is still
1454 After more than 20 years of experimentation, used today for the treatment of high blood pressure,
German inventor Johannes Gutenberg prints 300 copies rheumatism, and skin diseases, and for recuperation
of a 42-line, 1,282-page Latin Bible, known today as the after surgery.
Gutenberg Bible, and inaugurates the era of movable 1502 Italian navigator Amerigo Vespucci asserts that the
type. At the time, all of Europe had a total of only about land discovered by Columbus is a ‘‘new world,’’
30,000 books. By the year 1500, there were an completely separate from Asia. In 1507 German map-
estimated 9 million. maker Martin Waldseemuller publishes a map of the
1457 A new type of carriage is introduced into France new continent discovered by Columbus and calls it
from Hungary; it features light spoked wheels and a ‘‘America’’ after Amerigo Vespucci.
springed undercarriage. It becomes known in Europe as 1519 Ferdinand Magellan of Portugal sets sail from Spain
the ‘‘cart of Kocs,’’ from the town where it was built, on the first voyage around the world. Although he is
and this leads to the modern English word coach. killed in the Philippines midway through the journey,
1474 William Caxton prints the first book in English, a Magellan’s voyage provides information on the size of
translation of a popular French romance. the Earth and the independent structure of continents.

1482 King Edward IV of England establishes 42 gallons ca. 1520 The Saxon spinning wheel is introduced (named
as the standard size for a barrel of herring, in order to for its supposed origin in Saxony). This improves on the
end cheating in the packing of fish. This becomes a existing European spinning wheel by featuring a foot
standard unit of measure for various goods and pedal, leaving both hands free to manipulate the fibers.
eventually (mid 19th century) barrels of oil will use 1536–1539 King Henry VIII rejects the authority of the
this same standard. Pope and dissolves the monasteries of England. Church
1488 Portuguese explorer Bartolomeu Dias sails to the lands thus pass into public hands, most significantly the
Cape of Good Hope at the southern tip of Africa. coal mines of Newcastle and other areas, which can
now be exploited by local merchants.
1492 Genoese navigator Christopher Columbus sails
1543 Shortly before his death, Polish astronomer Coper-
across the Atlantic in the service of Spain, making
nicus publishes De Revolutionibus Orbium Coelestium
Europeans aware of ‘‘new’’ lands lying to the west of
(On the Revolutions of Celestial Bodies). He presents a
Europe. Evidence exists of earlier European presence in
heliocentric model of the solar system; i.e., the Earth
North America, e.g., Vikings in Newfoundland ca. 1000
and other planets orbit the Sun. This contradicts the
AD, but it is the voyage of Columbus that establishes a
prevailing geocentric (Earth-centered) system developed
permanent link between Europe and the Americas.
earlier by Ptolemy.
ca. 1493 Leonardo da Vinci sketches an experimental
ca. 1550 King Gustaf I Vasa of Sweden (ruled 1523–
flying machine. It is also reported that he created a
1560) is one of the earliest rulers to recognize the
design for a bicycle at around the same time; during his
importance of energy supply to national security (forests
lifetime he designs or describes hundreds of other
in this case).
innovative machines and devices, such as a windmill,
a parabolic mirror, and a parachute. ca. 1550 Miners in Germany use wooden rails and
pushcarts with flanged wheels to move ore along a
1497–1498 Portuguese explorer Vasco da Gama follows
track from the mines. A simpler rail system was in use in
the route recently established by Bartolomeu Dias to sail
Slovakia as early as 1513.
around the southern coast of Africa, then proceeds
across the Indian Ocean to Calicut, a port city on the mid 1500s The first known production of hydrogen is
Malabar Coast of India. made by the Swiss physician and alchemist Paracelsus,
Appendix/Chronology 649

probably through the combination of sulfuric acid and 1592 The first wind-driven sawmill is built in the
iron. Paracelsus notes that this reaction produces a gas Netherlands by Cornelis Cornelisz. It is mounted on a
or ‘‘air,’’ and that the air is released with great pressure. raft to permit easy turning into the wind.
1551 Jerome Cardan (Girolamo Cardano), an Italian 1594 An oil well 35 meters deep is reportedly dug in
mathematician, distinguishes electricity from magnet- Azerbaijan.
ism by observing that while amber will attract various 1597 Andreas Libavius publishes Alchemia, the first
light objects, a lodestone (magnetic stone) will attract European chemical textbook, in which he describes
only metals. the preparation of hydrochloric acid, sulfuric acid, and
1560 The Swedish Baltic Empire dominates Northern tin tetrachloride.
Europe from this time until 1721, based in part on its
rise as a producer and exporter of metals, while
England’s and mid-Europe’s metal production declines
due to a drop in charcoal production caused by
deforestation and wood scarcity.
1561 Adam Lonicier of Germany writes of a solar 1600–1649
heating technique used by alchemists to make perfume,
in which flowers are heated by light reflected from a 1600 William Gilbert presents a model of the solar
mirror to cause their essence to diffuse into water. system based on magnetism, explaining gravity through
electromagnetic terms and noting magnetic dip in a
1568 Gerardus Mercator introduces cylindrical projec-
compass.
tion in maps, now known as Mercator projection. The
cover of his book of maps shows the Greek Titan Atlas early 1600s Giovanfrancesco Sagredo, a disciple of
balancing the world on his shoulders, a picture which Galileo, divides his thermometer into 360 divisions like
gave atlases their name. a circle, after which the divisions on a thermometer are
called ‘‘degrees.’’
1570–1630 England experiences a widespread shortage
of firewood, especially in areas with ironworks, since 1603 Hugh Platt describes coke, a charcoal-like residue
large amounts of fuel are required for smelting iron. left after the volatile components of coal have been driven
This depletion of the wood supply leads to a shift to off. This later becomes an important fuel. Ironically Platt
coal as the chief energy source for smelting and other at the same time complains about the damage being
industrial purposes. As a result England becomes the caused to London’s buildings and vegetation by the
first country to develop a full-scale coal industry. burning of coal, the process that produces coke.

late 1500s Oil from seeps in the Carpathian Mountains is 1603 Italian alchemist Vincenzo Cascariolo makes the
burned in street lamps to provide light for the Polish first scientific investigation into the property of lumi-
town of Krosno. nescence when he finds that a heated mixture of barium
sulfate and coal glows in the dark and can be
1583 Mathematician Simon Stevin demonstrates the laws ‘‘recharged’’ through exposure to sunlight.
of hydrostatics, showing that the surface pressure of a
1603–1604 Huntingdon Beaumont of England constructs
liquid is related to the height of the liquid above the
a wooden wagonway from the bell pits at Strelley down
surface and the area of the surface, but not to the shape
to Wollaton Lane, to carry coal (horse-drawn) to the
of the container holding the liquid.
Nottingham market.
1586 Stevin is said to have performed a key gravitational 1604 Robert Cawdrey publishes a dictionary of hard
experiment, noting that weight does not affect the pull words; this is the first alphabetical reference work in
of gravity. (It is also said that Galileo reached this same English.
conclusion after dropping two different weights from
the top of the Leaning Tower of Pisa.) 1606 Italian Giambattista della Porta designs a device
capable of raising water, an improved version of ‘‘Hero’s
1589 The Reverend William Lee of England invents the Fountain,’’ with steam instead of air as the displacing
first knitting machine, which can knit faster than human fluid. He also describes the formation of a vacuum by
hands, using a stocking frame. condensation of steam.
1590 Dutch spectacle-maker Zacharias Janssen con- 1608 Hans Lippershey of the Netherlands builds the first
structs the first microscope, using two convex lenses practical telescope.
and a tube.
1609 German astronomer Johannes Kepler formulates
1592 Galileo develops the first primitive thermometer, his first two laws of planetary motion: the elliptical
known as a thermoscope, using air in a tube instead of orbits of the planets and the alteration of planetary
liquid. speed according to distance from the Sun.
650 Appendix/Chronology

1609–1611 Galileo improves the telescope and pioneers This is the first known description of an air-like
its use for astronomical observation, discovering moun- substance, without fixed volume or shape, other than
tains on the moon, many new stars, the four satellites of air itself.
Jupiter, the phases of Venus, and the composition of the 1635 John Winthrop opens America’s first chemical plant
Milky Way. in Boston, producing saltpeter (potassium nitrate) for
1610 The English coal industry has grown to the point use in the manufacture of gunpowder.
that nearly half of all the country’s maritime trade 1637 In Discours de la Methode, Rene Descartes
consists of coal exports. The city of Newcastle upon champions deductive reasoning on the basis of mathe-
Tyne in the northeast part of the country is the hub of matical laws; famous appendices to this influential work
this industry (giving rise to the expression ‘‘carrying present important advances in physics, optics, meteor-
coals to Newcastle’’ for an activity that is a waste of ology, and mathematics.
time because it supplies something which is already
present in abundance). 1638 Galileo publishes his major work on mechanics,
including experiments on acceleration, friction, inertia,
1612 Jan Adriaanszoon Leeghwater (literally, ‘‘empty and falling bodies that correct many of Aristotle’s
water’’) directs the drainage of Beemster and other errors.
polders (lowlands), beginning a long period of wind-
driven polder drainage in the Netherlands. 1640 Italian physicist Evangelista Torricelli applies Gali-
leo’s laws of motion of fluids, establishing the science of
1615 A royal proclamation in Britain prohibits the use of hydrodynamics. In 1643 he invents the mercury
wood for glassmaking. Wood is in high demand for the barometer and in the process makes an artificially
crucial shipbuilding industry, so glass-making furnaces created vacuum, the first known instance of this.
are changed to burn coal instead.
1641 Descartes argues in his Principles of Philosophy
1615 French engineer Salomon de Caux (Caus) builds a that the Universe is governed by simple laws and that
solar-powered water pump, using glass lenses to heat a natural processes might have shaped the Earth.
sealed vessel containing water and air. This is regarded
1645 German engineer Otto von Guericke (Gericke)
as the first use of solar energy since classical times. He
demonstrates the effect of atmospheric pressure on
also describes the principles of a steam engine and
evacuated bodies when he builds the first vacuum pump
advocates its use.
and takes the first measurement of the density of air.
1619 Kepler formulates his third law of planetary
1646 English physician Sir Thomas Browne publishes
motion, involving a calculation to determine the
Pseudodoxia Epidemica, in which he discusses his
distance of a planet from the Sun. He also publishes a
experiments with static electricity and magnetism and
defense of the Copernican system.
introduces the words electric and electricity into the
1620 In his influential Novum Organum Scientiarum, English language.
Francis Bacon advocates observation and the inductive
1648 From an experiment using barometers at different
method over postulation and a priori reasoning,
levels on a mountain, French mathematician Blaise
describing what is known today as the scientific
Pascal establishes that air pressure decreases with
method.
altitude, leading him to conclude that the atmosphere
ca. 1620 Dutch inventor Cornelius Drebbel creates a has only a finite height. He also formulates the principle
thermostat which he uses to regulate the temperature of that pressure is uniform throughout a static fluid.
an oven by controlling the flow of air.
1621 The first ironworks in colonial North America is set
up at Jamestown, Virginia.
1628 British physician William Harvey publishes On the
Motion of the Heart and Blood in Animals, in which he 1650–1699
describes the circulation of the blood and the pumping
of the heart; this is often described as the foundation of ca. 1650 The longwall coal mining technique is intro-
modern medicine. duced in Shropshire, England. This becomes the most
1629 Italian engineer Giovanni Branca invents a stamp- widely used method of coal extraction.
ing mill whose power is generated by a steam-powered 1652 The government of New Amsterdam (New York
turbine. City) establishes the first traffic laws in the Americas,
ca. 1630 Jan Baptista van Helmont of Brussels coins the ruling that horse-drawn wagons, carts, and sleighs are
word gas, from the Flemish word for chaos, to describe not to be driven at a gallop in the city.
what he calls the ‘‘wild spirit’’ component of oaken coal 1654 Ferdinand II of Italy develops the first sealed liquid
that has been burned, i.e., that does not remain as ashes. thermometer.
Appendix/Chronology 651

1654 Otto von Guericke begins a series of public 1668 John Wallis suggests the law of conservation of
demonstrations of the power of air pressure in a momentum, according to which the total momentum of
vacuum, including experiments in which teams of a closed system does not change.
horses are unable to separate a sphere held together
1669 In his quest to create gold from another material,
by a vacuum.
German chemist Hennig Brand identifies a faintly
1656 Dutch scientist Christiaan Huygens builds the first glowing element that he names ‘‘phosphorus.’’ The
pendulum clock based on the cycloid, much like a discovery of this element is the first attributable to a
modern grandfather clock. It is the first clock to keep specific person and time.
highly accurate time. 1669 Nicolaus Steno of Denmark lays the foundation for
1659 Thomas Shirley describes an inflammable gas the science of crystallography with his statement that
seeping from coal deposits near Wigan, England. This the angles are constant between equivalent faces of
is the first known discovery of natural gas in Europe. crystals of the same substance, when measured at the
same temperature.
1661 John Evelyn publishes ‘‘Fumifugium, or the Incon-
venience of the Aer and Smoake of London Dissipated,’’ 1671 Hydrogen is isolated by Robert Boyle. Earlier in the
one of the earliest tracts on air pollution. He describes century, hydrogen was discovered to be flammable by
the poor air quality of London and suggests remedies to Turquet de Mayerne.
deal with this, such as relocating certain industries (e.g., 1671 Wagonways from Ravensworth Colliery deliver
ironmaking, brewing) outside the city, and then planting coal to the Team-staith at Dunston, England.
gardens and orchards in their place.
1672 Giovanni Cassini calculates the distance from the
1662 Anglo-Irish chemist Robert Boyle discovers that air Earth to the Sun to be 87 million miles, within 6 million
can be compressed and formulates Boyle’s law, which miles of modern estimates. Scientists begin to realize
states that in an ideal gas of constant temperature, just how large the solar system must be.
pressure and volume vary inversely.
1672 Guericke recognizes that the static electricity
1662 John Graunt compiles a study of London death produced by his sulfur ball device (see 1663) will cause
records, in what is considered the first statistically based the surface of the sulfur to glow, thus identifying the
public health study. He notes that roughly one out of phenomenon of electroluminescence. Guericke also
every four deaths results from lung-related diseases. notes that like charges repel each other.
This contrasts with lower death rates in rural areas,
1673 Huygens produces what is regarded as the first heat
away from London’s smoke-filled air.
engine, although the lack of a reliable fuel hampers its
1662 King Charles II of England grants a charter to the development.
Royal Society of London, an organization formed to 1673 The first record of coal in the United States is
encourage scientific research and communication. shown in a map prepared by the French explorer Louis
1663 Guericke develops the first electric generator, which Joliet. The map shows ‘‘charbon de terra’’ seen by Joliet
consists of a revolving ball of sulfur inside a glass globe, and Jacques Marquette along the Illinois River, near
mounted on a wooden frame. This produces a static present-day Utica, Illinois.
electric spark when a pad is held against the ball as it 1675 Gottfried Leibniz of Saxony (now Germany),
rotates. working independently of Newton, develops differential
1665 Denis de Sallo of Paris publishes the initial volume and integral calculus. His notations, including the
of the Journal des Scavans, the first Western scholarly integral sign and derivative notation, are still in use
journal. today.

1665–1666 Isaac Newton conducts a series of experi- 1675 In the course of his study of Jupiter’s moons, the
ments, discovering that white light is composed of Danish mathematician Olaus Roemer estimates the
different colors that can be separated by a prism, speed of light to be about 141,000 miles per second.
formulating his first law of universal gravitation, and Before Roemer, many scientists believed that light had
inventing the first form of calculus. infinite speed.
1676–1677 Looking at pond water through a microscope
1666 The Great Fire of London sweeps through this
of his own construction, Anton van Leeuwenhoek is the
metropolis of wooden buildings, destroying virtually all
first to view what he called ‘‘animalcules,’’ known today
of the city north of the Thames River. The fire does have
as microorganisms.
one positive effect in that it ‘‘sanitizes’’ areas that had
just been devastated by an outbreak of plague, and 1678 A patent application is made by Clement Clerke of
England never again has a major epidemic of the Bristol, England for a lead smelting reverberatory
disease. furnace using pit coal.
652 Appendix/Chronology

1678 Abbé Hautefeuille of Orleans, France is one of the steam engine, based on Papin’s Digester of 1679. Savery
first to propose the use of explosive powder for motive is motivated by the challenge of pumping water out of
energy when he suggests the construction of a powder coal mines. He names his engine ‘‘The Miner’s Friend.’’
motor to raise water.
1679 French engineer Denis Papin builds the first atmos-
pheric engine called the ‘‘Digester’’ (pressure cooker).
1680 Boyle discovers the match by rubbing phosphorus
and sulfur together. 1700–1749
1680 Newton proposes that a jet of steam can be used to
power a carriage, an idea now considered to be a early 1700s Settlers in New England utilize solar energy
precursor to the development of the jet engine. by ‘‘saltbox’’ houses that face toward the winter sun.
ca. 1684 The experiments of English minister John Many feature a lattice overhang on the south facade,
Clayton of Yorkshire, an amateur chemist, reveal the supporting deciduous vines that afford shade in summer
presence of a clear, flammable ‘‘spirit of coal’’ as a but drop their leaves in winter, allowing sunlight
byproduct of distillation, though he does not recognize through.
a practical use for this coal gas. 1701 Coal deposits are found by Huguenot settlers
1686 English astronomer Edmond Halley shows that low in Manakin on the James River, near present-day
latitudes receive more solar radiation than higher ones Richmond.
and proposes that this gradient provides forcing for the 1701 English agriculturist Jethro Tull invents an efficient
atmosphere’s general circulation. For this, and his work mechanical seed drill, which allows seed to be sown in
on tides, Halley is considered a founder of geophysics evenly in neatly spaced rows.
(though he is better known for his study of what is now
called Halley’s Comet). 1702 Czar Peter the First establishes Russia’s first regular
newspaper, Vedomosti. The paper’s first issue carries a
1686 Leibniz posits an early version of the law of story about the discovery of oil on the surface of the
conservation of energy. He argues that the true measure river Sok in central Russia.
of the effect of force is vis viva or ‘‘living force’’ as
exhibited in motion and not ‘‘dead force’’ as exhibited in 1705 Neon light is born when Francis Hauksbee of
statics. England creates electrical effects by putting mercury
into a glass globe, pumping out the air, and then turning
1687 Isaac Newton publishes Philosophiae Naturalis
it with a crank. When he does this in the dark, and then
Principia Mathematica, often regarded as the most
rubs the globe with his bare hand, it glows.
important book of science ever written. He establishes
three laws of motion, the law of universal gravitation, 1709 Abraham Darby, iron-maker at Coalbrookedale in
and other fundamental principles. Newton thus pro- the West Midlands of England, develops the use of coke
vides the basic description of the natural laws governing in iron smelting, enabling factories to produce iron at a
the universe (later modified by the work of Einstein). much faster rate. Before that, iron furnaces could only
be located at a site with both sufficient water power and
1688 The Royal Society of London officially notes that
an extensive wood supply, to provide the fuel source for
gas can be extracted from coal and oil, and then burned
charcoal.
as a source of heat and light.
1690 Denis Papin develops the idea of using steam to 1709 Sir Isaac Newton builds an electric generator
pump water out of mines. He also describes an consisting of a rotating glass sphere.
atmospheric steam engine operating with piston and 1711–1712 English engineer Thomas Newcomen devises
cylinder. a new kind of steam engine with a piston and cylinder
1690 William Rittenhouse establishes the first paper mill construction that utilizes ordinary low-pressure steam
in the American colonies, on a creek near Philadelphia. to pump water out of coal mines. This is the
This has been described as America’s first example of culmination of efforts he began in 1705 and it becomes
recycling, since the mill’s fiber for papermaking was the first successful atmospheric steam engine.
obtained from discarded rags and cotton. 1714 Gabriel Fahrenheit develops a mercury thermo-
1695 Italian academicians Averoni and Targioni conduct meter and the Fahrenheit scale of measurement based
experiments on the combustibility of diamonds, includ- on the temperature of ice, water, and ammonium
ing the use of solar heat by means of a large burning- chloride (0 degrees), ice and water (32 degrees), and
glass. boiling water (212 degrees).
1698 Captain Thomas Savery, an English military en- 1716 Swedish engineer Martin Triewald uses a hot water
gineer and inventor, receives the first patent for a crude system to heat a greenhouse in Newcastle upon Tyne, in
Appendix/Chronology 653

northern England. This is considered the first modern to the second floor; this is considered the earliest form
instance of central heating. of passenger elevator.
1723 Jacob Leupold of Germany publishes a nine-volume 1745 Edmund Lee introduces the fantail mechanism
work that is the first detailed and systematic exposition for windmills; it automatically rotates the blades of
of mechanical engineering, including a design for a the windmill into the wind, as opposed to having a
noncondensing, high-pressure steam engine similar to person manually do this.
the ones that would be built much later.
1745 Shafts are dug into the hillsides of Pechelbronn,
1728 James Bradley notes the periodic shift of the stars’ France to extract petroleum; these are the first known
positions during a year and explains it by the aberration wells specifically sunk to search for oil.
of light caused by the Earth’s orbit. He uses his findings
to recalculate the speed of light, which he places within 1745–1746 Pieter van Musschenbroek and Ewald Georg
5% of what it is now stated to be. von Kleist independently invent the capacitor, an
electricity-storage device that is the first practical way
1729 Through a series of experiments, Stephen Gray to store static electricity. It comes to be called the Leiden
establishes that some materials conduct electricity better (Leyden) jar after Musschenbroek’s employer, the
than others and that static electricity travels on the University of Leiden.
surface of objects rather than through the interior. This
is considered the first discovery of the principle that ca. 1746 Euler determines the mathematics of light
electricity can flow. refraction, based on Huygens’ theory of 1690 that light
is composed of different colors of varying wavelengths.
1733 Charles-Francois de Cisternay du Fay states a ‘‘two-
fluid’’ theory of electricity, dividing electrical charges 1747 Benjamin Franklin describes his discovery that a
into vitreous (positive) fluid and resinous (negative) pointed conductor can draw off electric charge from a
fluid, and noting that like charges attract and differing charge body. This is the basis for his lightning rod, even
charges repel. Benjamin Franklin also distinguishes before he proves the connection between electricity and
between positive and negative charges, though he favors lightning.
a one-fluid theory. 1748 The first commercial coal production in colonial
1733 Englishman John Kay patents the flying shuttle America is recorded near Richmond, Virginia. By the
loom, enabling one person to do much more work with end of the 1750s other coal deposits are reported in
relatively less effort. Pennsylvania, Ohio, Kentucky, and West Virginia.
1735 George Hadley, an English meteorologist, intro- 1749 Benjamin Franklin installs a lightning rod on his
duces the importance of Earth’s rotation in the features home.
of major winds, including the easterly trades and the 1749 George-Louis Leclerc de Buffon publishes the first
midlatitude westerlies. of his 44 volumes of Historie Naturelle (Natural
1735 Swedish naturalist Carolus Linnaeus publishes History), in which he anticipates Charles Darwin’s
Systema Naturae (Systems of Nature), introducing a theory of evolution by presenting arguments for descent
method of classification for plants still in use today, with modification and species extinctions. He also
which he later extends to include animals. suggests that existing estimates of the age of the Earth
are much too low.
1736 Swiss scientist Leonhard Euler writes the first book
of mechanics based on differential equations.
1738 Swiss scientist Daniel Bernoulli develops his kinetic
theory of gases, according to which pressure within a
closed container of gas increases as temperature rises
and decreases as temperature goes down. 1750–1775
1742 Anders Celsius suggests replacing the Fahrenheit
scale with the Centigrade scale, which places the 1750 A French military officer notes that Indians living
freezing point of water at 0 degrees and the boiling near Fort Duquesne (now the site of the city of
point at 100 degrees. In 1948 the name of this scale is Pittsburgh) set fire to an oil-slicked creek as part of a
changed to Celsius scale by international agreement. religious ceremony.
1743 Jean le Rond d’Alembert expands on Newton’s mid-1700s An extensive system of canals is established in
laws of motion, proposing that actions and reactions in various countries of Western Europe. At the same time
a closed system of moving bodies are balanced. He the quality of surface roads in these countries is
applies this principle to several mechanical problems. generally poor.
1743 King Louis XV of France has a ‘‘flying chair’’ mid-1700s England and Holland make advances in
installed in his palace to allow him to ride from the first greenhouse technology.
654 Appendix/Chronology

1752 Benjamin Franklin conducts his famous experiment charged bodies. He also constructs the first known solar
with a kite in a lightning storm, showing that lightning flat plate collector.
is a form of electricity.
1766 The brothers Thomas and George Cranege receive a
1754 Joseph Black discovers ‘‘fixed air,’’ or carbon patent for a reverberatory or air furnace, for use in iron-
dioxide, when he heats limestone. He determines that making. This is later improved upon by Peter Onions
carbonates are compounds of a gas and a base. (1783) and Henry Cort (1784).
1755 The first known instance of artificial refrigeration is ca. 1766 The opulent Paris townhouse of Franc¸ois de
demonstrated by William Cullen at the University of Monville features a central heating system; this is the
Glasgow. first time that buildings in France have had central heat
1757 Captain John Campbell of the Royal Navy develops since the era of the ancient Romans.
a nautical sextant for precise measurements of longitude 1767 Joseph Priestley offers an explanation for rings
and latitude. formed by an electrical charge on metal (now known as
1758 Coal is ‘‘exported’’ from the James River district of Priestley’s rings) and proposes that electrical forces
the colony of Virginia to New York. follow the same inverse square law that gravity does.
1758 Swedish chemist Axel Fredrik Cronstedt divides 1769 French army engineer Nicholas-Joseph Cugnot
minerals into four classes: earths, bitumens, salts, and builds a three-wheeled wagon powered by a steam
metals. This establishes the classification of minerals by engine, the first example of a ‘‘horseless carriage.’’
chemical structure. However, it can only operate for a few minutes without
stopping to get up steam, and it is soon retired after
1759 English civil engineer John Smeaton determines that
overturning in what is described as the world’s first
the overshot waterwheel is much more efficient than the
motor vehicle accident.
traditional undershot wheel. He also makes advances in
the design of many other devices and structures, e.g., an 1769 Richard Arkwright invents a spinning frame that
improvement on the Newcomen steam engine. produces cotton threads for textile manufacture, one of
the key developments leading to Britain’s Industrial
1759 Franz Aepinus rejects mechanical theories of
Revolution.
electricity and suggests that ordinary matter repels itself
in the absence of electricity, a theory of electrostatics 1769 Scottish inventor James Watt receives the patent for
similar to Newton’s law of gravity and supporting an improved version of the Newcomen steam engine. It
Benjamin Franklin’s one-fluid theory of electricity. uses a condenser, separate from the cylinder, to improve
efficiency. A unit of power called the watt is eventually
1760 John Mitchell proposes that earthquakes are caused
named after him.
by the build-up of pressure within the earth and that
they produce waves which travel at measurable speeds. ca. 1769 Spanish missionary Juan Crespi writes of
‘‘extensive swamps of bitumen’’ that he has seen while
1761 Joseph Black discovers that ice absorbs heat with-
traveling on an expedition to the region that is now the
out changing temperature when melting. He calls this
city of Los Angeles, California. These swamps are the
property ‘‘latent heat,’’ a quality later important in the
La Brea Tar Pits, and more than 200 years later the oil
improvement of the steam engine.
industry of Southern California will begin in this same
1762 An act of the New York City assembly gives the area.
authority to provide funds for lighting the city, and in
that year the first street lamps and posts are purchased. 1770 George Washington observes a ‘‘burning spring’’ on
the Kanawha River in West Virginia.
1762 Deposits of anthracite coal are discovered in
Pennsylvania. 1771 In experiments with plants in carbon dioxide-filled
chambers, Joseph Priestley discovers that plants some-
1764 James Hargreaves introduces a new device, called a how convert the gas breathed out by animals and
‘‘spinning Jenny,’’ which can spin eight threads at once created by fire back into oxygen; this lays the founda-
and thus provide much greater efficiency than the tion for an understanding of photosynthesis.
traditional spinning wheel.
1772 Daniel Rutherford, Joseph Priestley, Carl Scheele,
ca. 1765 Burmese excavators hand dig hundreds of oil and Henry Cavendish independently discover nitrogen,
wells. although Rutherford is usually given credit for being the
1766 Henry Cavendish identifies and outlines the proper- first.
ties of a highly flammable substance which he calls ‘‘fire 1774 Priestley publishes his discovery of oxygen. Scheele
air,’’ now known as hydrogen. had previously discovered it in 1772 but did not publish
1766 Swiss physicist Horace-Benedict de Saussure devel- his findings until 1777, and Antoine Lavoisier actually
ops an electrometer, a device for measuring electric named the element. The identification of oxygen over-
potential by means of the attraction or repulsion of turns an idea that had dominated science for more than
Appendix/Chronology 655

2,000 years, namely that air is a singular, elementary there are certain similarities of reaction among ele-
substance. ments. This forms the basis of the periodic table.
ca. 1775 Lavoisier builds a solar furnace that can ca. 1780 Luigi Galvani of Italy discovers that when he
generate enough heat to melt platinum. touches a dead frog’s leg with a knife, it twitches
1775 James Watt patents a new steam engine that he had violently. Alessandro Volta will later show this is
developed in 1765, which is six times as efficient as the because electricity is created when moisture (from the
old Newcomen engine. Its condenser is separated from frog) comes between two different types of metal (the
the cylinder, allowing the steam to act directly on the steel knife and a tin plate); this phenomenon will
piston. become known as galvanism.

1775 Pierre-Simon Girard invents a water turbine. ca. 1780 M. Bonnemain of France creates a hot water
boiler that uses a gravity system to circulate the heated
1775 The first chemical extraction from geothermal water.
waters (mainly borate products) is undertaken in
Lardarello, Italy. 1780s Watt continues to adapt his steam engine inven-
tion. He creates a mechanical attachment with a rotary
movement, enabling the engine to power a wider variety
of machines, and he develops the first governor and
flywheel. Flywheels will later be the focus of extensive
research as power storage devices.
1776–1799 1781 Priestley ‘‘creates’’ water by igniting hydrogen in
oxygen.
1776 An Inquiry into the Nature and Causes of the
Wealth of Nations is published by Scottish philosopher 1781 Richard Arkwright builds the first modern factory
Adam Smith. It establishes economics as a distinct field to house his water frame for spinning.
of study and provides the basis for laissez-faire 1783 Joseph and Etienne Montgolfier launch the first hot
economics, in particular the idea that ‘‘the invisible air balloon, the earliest successful air flight in history.
hand’’ of the free market, and not government, is the The second flight carries a cargo of animals, and the
proper controlling force for a nation’s use of resources. third flight carries two men. The same year, Jacques
1776 The American colonies declare independence from Charles creates and flies in the first hydrogen balloon.
Britain. From this time the industrialization of the 1783 Lavoisier, with Pierre Laplace, uses a calorimeter to
United States will proceed separately from that of estimate the amount of heat evolved per unit of carbon
Britain; prior to this one-third of all British ships were dioxide produced. The ratio is the same for a flame and
being built in America and the colonies were also a an animal, indicating that animals produce energy by a
center for British iron manufacturing. type of combustion, and also demonstrating the role of
1776 The Watt steam engine is put into practical use, to oxygen in the respiration of animals and plants.
drain water from coal mines. 1783 William Herschel explains the apparent movement
1778 Scheele and Lavoisier independently conclude that of stars together and apart from each other by arguing
air is composed mainly of oxygen and nitrogen. that the Sun itself is moving toward some stars and
away from others, changing their relative positions.
ca. 1778 The first industrial blast furnace is created by
ironmaster John Wilkinson, using a steam engine rather 1784 Benjamin Franklin notes that the substitution of
than water power. coal for wood as a fuel has helped to preserve England’s
remaining forests, and he urges France and Germany to
late 1770s Factories are sited along rivers to utilize the
do the same.
power of waterwheels.
1784 Franklin suggests that a great eruption of the Laki
1779 Dutch scientist Jan Ingen-Housz identifies princi-
volcano in Iceland is responsible for the unusually
ples of photosynthesis when he notes that plants convert
severe winter that follows, thus showing an awareness
carbon dioxide into oxygen, which animals convert
of the effect of volcanism on global climate.
back into carbon dioxide. He also discovers that only
the green parts of plants release oxygen, and that 1784 For the first time a flour mill in England successfully
oxygen is only given off when plants are in the presence substitutes a steam engine for wind power.
of light. 1784 Ironmaster Henry Cort develops both the puddling
1779 The earliest versions of the modern bicycle appear method of manufacturing wrought iron from coke-
on the streets of Paris. smelted iron and the rolling mill with grooved rollers.
1780 During experiments with oxidation of organic 1784 Jean Pierre Minkelers describes the production of
gases, Johann Wolfgang Döberreiner discovers that gas from coal, and uses such gas to illuminate his
656 Appendix/Chronology

classroom at Leuven, Belgium. This is sometimes 1790 Samuel Slater builds the first American factory,
considered the origin of gas lighting. constructed entirely from his memory of blueprints he
1784 Swiss scientist Aimé Argand patents a new type of had seen earlier in England, and ushers in the Industrial
lamp that burns much brighter than candles, produces Revolution in the United States.
less smoke, and reduces the danger of fire. It features an ca. 1790 Claude Berthollet and Joseph Priestley deter-
oil receptacle, a round wick lamp with a chimney, and a mine the molecular formula for ammonia.
glass cylinder in which the flame burns. This becomes ca. 1790 Friendly Societies, forerunners of modern trade
the prototype for many subsequent oil lamps. unions, are organized in Britain.
1785 French physicist Charles-Augustin de Coulomb is 1791 John Barber receives the first patent for a basic
the first to measure accurately the forces exerted turbine engine, which he intends to use to power a
between electric charges. ‘‘horseless carriage.’’ Though he does not achieve
1785 Henry Cavendish establishes that water is com- practical success, this is the first engine to use the
posed of hydrogen and oxygen. thermodynamic cycle of a modern gas turbine.
1785 The theory of uniformitarianism, or the very 1792 William Murdock discovers that by heating coal in
gradual and regular evolution of the earth’s structure, a closed container, the gas given off will yield a steady
is introduced by James Hutton. According to his ideas, flame. Murdock produces ‘‘coal gas,’’ or ‘‘manufactured
the earth is so old that it is almost impossible to gas’’ and conveys it through metal pipes, lighting his
determine when it began. Redruth, Cornwall cottage and offices.
1787 Jacques Charles demonstrates that different gases 1793 Benjamin Thompson (Count Rumford) challenges
expand at the same rate for a given temperature. This the prevailing caloric theory that heat is an elastic fluid.
principle, known as Charles’s Law, had actually been From his work boring cannon barrels, he notes that the
discovered by Guillaume Amontons as early as 1699. cannon stay hot as long as the friction of boring
1787 John Fitch builds and launches the first steamboat continues, and he associates heat with mechanical
on the Delaware River. Although a technological energy. By defining heat as a form of motion rather
success, it is a commercial failure. than matter, he anticipates the kinetic theory of heat.

1787 John Wilkinson launches an iron boat, believed to 1793 Eli Whitney invents the cotton gin to pull the cotton
be the world’s first such vessel for commercial use. threads off the seeds in cotton bolls. The machine is so
Reportedly it is intended as a canal barge for freight. successful that it completely changes the economy of the
southern United States, where cotton becomes the main
1788 The fur trader Peter Pond is the first European to crop.
describe the vast oil sands (tar sands) of Atahabasca,
Canada. He writes of ‘‘bituminous fountains’’ and 1794 Inventor Philip Vaughn obtains the first patent for a
describes how the local Indians mix this fluid with modern type of ball bearing while working on carriage
gum from fir trees to waterproof their canoes. axles. Leonardo da Vinci is said to have developed a
model for ball bearings some 300 years earlier but none
1789 French engineer Philippe Lebon distills gas from were actually produced from this.
heated wood and suggests that it can heat and
illuminate interiors and inflate balloons. This is an 1795 Count Rumford invents the Rumford stove, an
important contribution to the subsequent development innovative version that provides greater heat with less
of the manufactured gas industry. smoke.

1789 German chemist Martin Heinrich Klaproth dis- 1795 Joseph Bramah patents a hydrostatic machine
covers uranium in the mineral pitchblende. It is not until (hydraulic press), one of many inventions with which
1841, however, that this element is isolated by Eugene he is credited.
Péligot. 1796 M. Ambroise & Company, Italian fireworks
1789 In Traite Elementaire de Chimie (Elementary manufacturers, reportedly exhibit a form of gas lighting
Treatise on Chemistry), Lavoisier introduces the law in Philadelphia.
of conservation of mass that he had developed some 1796 Pierre-Simon Laplace advances his ‘‘nebular hypoth-
years before, and establishes a new system of chemical esis’’ of the origin of the world, which states that our
nomenclature. solar system was formed by the condensation of a nebula
late 1700s Spermaceti, an oil found in the head of sperm of dust and gas, a theory still widely accepted today.
whales, is highly sought after for various industrial uses. 1797 Edmund Cartwright invents an engine that runs on
It is especially prized for candlemaking; the term alcohol. He also makes significant contributions to
candlepower is based on a measurement of the light weaving loom technology.
produced by a spermaceti candle. 1798 Eli Whitney is awarded a government contract for
1790 England builds its first steam-driven rolling mill. 10,000 muskets. In manufacturing these weapons, he
Appendix/Chronology 657

develops methods to produce standardized interchange- 1801 Thomas Young discovers that light passing through
able parts, a procedure important to the Industrial two narrow slits produces an interference pattern,
Revolution. providing further support for the wave theory of light.
1798 Henry Cavendish accurately determines the mass of 1801 William Symington launches the Charlotte Dundas
the Earth by determining the gravitational constant, the on the Forth and Clyde canal in Scotland. This is the
unknown G in Newton’s equations. first vessel built for the specific pusrpose of being
propelled by a steam engine. Symington builds more
1798 Thomas Robert Malthus publishes An Essay on the
than 30 different steam engines in the period 1790–
Principle of Population, arguing that poverty and
1808.
famine are inevitable because the world’s population is
bound to grow at a faster rate than the food supply. This 1801–1802 Jean-Baptiste Lamarck provides the first
leads to many subsequent analyses of the relationship classification scheme for invertebrates, and also presents
between population and available resources, in parti- ideas about a relationship between physical energy and
cular Darwin’s ideas about natural selection. morphological changes in organisms over generations.
1799 Alessandro Volta creates the first electric battery 1802 Applications of manufactured gas lighting take
(known as Volta’s pile). It consists of alternating zinc place in Britain and the United States; e.g., William
and silver disks separated by felt soaked in brine. It is Murdock installs gas lighting at the Watt and Boulton
the first source of a steady electric current. Volta Birmingham works; a gas lighting system is patented in
announces this invention in 1800. London by Frederick Winsor; Benjamin Henfrey de-
monstrates his ‘‘thermo-lamp’’ coal gas lighting method
1799 Philippe Lebon receives a patent for his Thermo- in Pennsylvania.
lamp, which is illuminated by coal gas. By 1801 he
lights his own home in this manner and he also conducts 1803 Claude Berthollet applies physics to chemistry to
a light demonstration at the Hotel Seignelay in Paris. show that reaction rates depend on the amounts of
Lebon also conceives of a gas-powered engine. reacting substances as well as on affinities.

1799 The first patent for a wave energy system is granted 1803 John Buddle develops an air pump to provide
in Paris to a father and son named Girard; they envision ventilation for coal mines in Britain.
a system that would harness the power of heavy ships 1803 John Dalton is the first to formally propose the
rocking back and forth on the waves in a harbor. atomic theory of matter, claiming that atoms (a word he
took from Democritus’s writings of ca. 440 BC) explain
why chemicals combine only in specific proportions.
1803 William Henry proposes the law that will be named
after him, which states that the mass of a gas dissolved
1800–1809 in a liquid is proportional to the pressure.
1804 Cornish engineer Richard Trevithick develops the
1800 Less than two months after Alessandro Volta’s Penydarren, the world’s first steam locomotive to run on
battery was publicized, English scientists William iron rails. However, the weight of the engine proves too
Nicholson and Anthony Carlisle build a battery and heavy for the rails. Shortly before this Trevithick also
use it to perform electrolysis on water, separating it for developed a steam-powered road carriage to carry
the first time into hydrogen and oxygen. passengers.

1800 While investigating the heat of different colors in a 1804 Sir George Cayley designs a glider that is regarded
spectrum, William Herschel discovers that there is an as the first successful heavier-than-air vehicle, one of
invisible light beyond the red that produces the most several such vehicles he develops. In a long career
heat, now known as infrared radiation. (1799–1850s) studying the principles of aviation,
Cayley describes many of the concepts and elements
1800–1870 The level of carbon dioxide gas (CO2) in the of the modern airplane.
atmosphere, as later measured in ancient ice, is about
290 parts per million. Fossil fuel use and land clearing 1805 British manufacturer George Medhurst receives a
associated with the Industrial Revolution, population patent to use compressed air to drive a motor.
growth, and rising affluence will produce a steady rise in 1805 Commander William Beaufort develops a wind
CO2 concentrations over the next two centuries. force scale consisting of 13 degrees of wind strength,
1801 Building on Herschel’s discovery of radiation from calm to hurricane. He bases this on the observed
beyond the red end of a spectrum, Johann Ritter effect of various wind strengths on the sails of a British
experiments with silver chloride and detects radiation frigate.
beyond the violet end as well, now known as ultraviolet 1805 Frederick Tudor and Nathaniel Wyeth of Cam-
radiation. bridge, Massachusetts devise new methods to cut, store,
658 Appendix/Chronology

and transport ice blocks from nearby Fresh Pond. They scientists now reject Lamarck’s idea that acquired
ship the ice as far as India and Cuba, with production characteristics can be inherited, he was credited by
reaching 65,000 tons by 1846. Darwin as a major influence on his own theory of
1806 David and Joseph Ruffner drill a well on the banks evolution.
of the Great Kanawha River within the present city of early 1800s A new era in illumination has begun, with
Charleston, West Virginia. The well is drilled in search gas producing a much higher quality flame than the oil
of brine, which can be evaporated to make salt. This is lamp, the dominant lighting technology for many
the first well known to have been drilled, rather than previous centuries. However, the new technology leaves
dug, in the Western Hemisphere. vast pools of toxic coal tar as a byproduct in many
1806 David Melville lights his house in Newport, Rhode European and American towns, a serious public health
Island using coal gas. In 1810 he receives the first U.S. legacy.
patent for this.
1807 Great Britain, the principal slave-trading nation of
the time, abolishes the Atlantic slave trade. The United
States enacts similar legislation in the same year and
other nations follow suit. (Denmark had already done
so, in 1803.)
1810–1819
1807 Isaac de Rivaz of Switzerland designs an an internal 1810 The first reported U.S. coal mine explosion occurs
combustion engine, believed to be the first of its kind. in Virginia.
He subsequently uses this to build a gas-powered car,
using a mixture of hydrogen and oxygen for fuel. 1811 Amedeo Avogadro suggests that at a given tem-
perature and pressure, equal volumes of any gas will
1807 Sir Humphrey Davy of Britain isolates a new metal,
always contain equal numbers of molecules. This comes
sodium, using electrolysis.
to be known as Avogadro’s Hypothesis.
1807 The Clermont, a 133-foot-long steam-powered
paddleboat built by Robert Fulton, makes its maiden 1812 German promoter Frederick Albert Winsor receives
voyage up the Hudson River in New York. It proves to a charter from Parliament to establish the London and
be a great commercial success. Westminster Gas Light and Coke Company. This is the
origin of public gas lighting in Britain. The following
1807 The resort city of Hot Springs, Arkansas is founded, year, Winsor lights Westminster (London) Bridge.
and shortly thereafter visitors begin arriving to enjoy the
heated waters. The area is made a national park in 1813–1816 The first miner’s safety lamps are developed
1921. independently by Sir Humphrey Davy, William Clanny,
1807 Thomas Young begins to use the term energy in the and George Stephenson. They reduce the risk of igniting
modern sense. He states, ‘‘The term energy may be the gas mixtures that are common in mines. Davy’s
applied, with great propriety, to the product of the mass design is particularly effective in that it prevents the
or weight of a body, into the square of the number lamp temperature from rising above the ignition point
expressing its velocity.’’ This refers to what is now of mine gases such as methane.
known as kinetic energy. 1814 George Stephenson builds the Blucher (or Blutch-
1808 French chemist Joseph Louis Gay-Lussac publishes er), the first practical steam locomotive in England. It is
his discovery that gases combine in definite proportions, capable of pulling 30 tons up a grade at 4 miles per
just as elements do, when forming compounds. hour, a vast improvement over horse-drawn wagons.
1808 Judge Jesse Fell burns anthracite coal on an open 1815 Samuel Clegg, chief engineer for Frederick Winsor’s
grate in his Wilkes-Barre, Pennsylvania home. At the gas company, develops an efficient gas meter and also
time most people thought that this type of coal was of installs a gas works at the Royal Mint.
little value.
1815 From his work digging canals, William Smith
1809 Chilean nitrates are discovered. These will serve as discovers that each layer (stratum) of earth contains a
the chief source of nitrogen for explosives and for the unique assemblage of fossils, and that he can distinguish
chemical industry over the next 100 years. one formation from another by the characteristic fossils
1809 Humphrey Davy uses a high-powered battery to in each. He then publishes what his biographer Simon
induce a bright light between two strips of charcoal Winchester called ‘‘the map that changed the world,’’ a
10 centimeters (4 in.) apart, creating the first arc light. geological survey of England and Wales.
1809 Lamarck states that animals evolved from simpler 1816 Karl von Drais of Germany builds a steerable two-
forms and that unused body parts will degenerate or wheeled vehicle that is propelled by pushing with the
new parts develop as needed for survival. Though feet against the ground. In the same year his country-
Appendix/Chronology 659

man Karl D. Sauerbronn develops the first prototype for through it, in the first recorded attempt to produce an
the modern bicycle. incandescent lamp.
1816 Scottish minister Robert Stirling receives a patent early 1820s Gas companies in Baltimore, Boston, and
for a new type of engine, the forerunner to the modern New York City provide commercial gas service to light
Stirling engine. This features the ‘‘Heat Economiser’’ (a streets and buildings.
refrigerator) and represents an advance in safety. Unlike
1821 French engineer Gaspard de Prony invents a brake
existing steam engines, Stirling’s engine would not
to measure the power of engines.
explode because it operated at lower pressures.
1821 Michael Faraday publishes the results of his research
1816 The artist Rembrandt Peale receives permission
into electromagnetic rotation, providing the basis for his
from the city of Baltimore, Maryland to supply the city
efforts to create an electricity-powered motor.
with coal gas for street lights. Peale and his associates
then charter the Gas Light Company of Baltimore, the 1821 The first natural gas well in the United States is
first energy utility in the United States. drilled in the village of Fredonia, New York by William
Hart. By 1825, the gas is being used to light buildings in
1818 The first commercial oil well in North America is
Fredonia and also reportedly for cooking in the local
drilled by Marcus Huling on land leased from Martin
hotel.
Beatty in McCreary County, Kentucky. The well is
drilled in search of brine, but when drilled to about 200 1821 The Lehigh Navigation Company and the Lehigh
feet, it produces large quantities of oil. Coal Company merge, forming a single company for the
purpose of transporting coal on the canals of eastern
1819 English chemist John Kidd demonstrates that
Pennsylvania. By 1825 this new company is shipping
distilled coal tar can be used to produce naphthalene,
over 30,000 tons of anthracite coal to Philadelphia.
an industrial chemical with a variety of uses, thus
beginning the use of coal as a source of chemicals. 1821 Thomas Johann Seebeck observes that if two
dissimilar metals are joined with a heat difference
1819 Frederick Christian Accum publishes A Description
between the juncture points, this will produce an
of the Process of Manufacture of Coal Gas, which
electric current. This phenomenon is called thermoelec-
serves to bring greater recognition to the technique of
tricity or the Seebeck effect; it will later be used in the
gas lighting. He also publishes the first systematic study
development of the semiconductor.
of food technology (1820).
1819 The American coastal packet Savannah sails across 1822 Friedrich Mohs sets up a scale of mineral hardness,
the Atlantic Ocean, becoming the first vessel to make an now known as the Mohs scale, and presents a mineral
ocean crossing with steam-assisted power. classification system.
1823 French engineer Benoit Fourneyron invents the first
practical water turbine. He goes on to produce various
improved versions of this (1832–1855).
1823 Michael Faraday is able to liquefy chlorine by a
1820–1829 systematic use of cold and pressure. Later he uses the
same technique to liquefy other gases.
1820 Danish physicist Hans Christian Oersted is the first 1823 Samuel Brown constructs a gas engine that runs a
to note the magnetic effect of electric currents when, by road carriage successfully on the streets of London and
accident, he observes that an electric current in a wire a boat on the Thames River.
can deflect a nearby compass needle. 1823 William Sturgeon invents the electromagnet, which
1820 Expanding on the work of Oersted, Andre Marie is improved by Joseph Henry eight years later to the
Ampere finds that two wires carrying current in the point where it can hold suspended a ton of iron.
same direction attract each other, while wires carrying 1824 Hans Christian Oersted discovers aluminum. Ger-
current in opposite directions repel. man chemist Friedrich Wohler then devises a method for
1820 Johann Schweigger also expands on Oersted’s isolating the pure form of this element (1827).
experiments and invents the galvanometer to measure 1824 Joseph Aspin, an English bricklayer, receives the
the strength of a current. first patent for Portland cement, which will become a
1820 The Rev. W. Cecil of Magadelen College, Cam- fundamental material of industrial society as a basic
bridge writes a paper on how to use the energy of ingredient in concrete and mortar. Cement production is
hydrogen to power an engine, and provides a descrip- among the most energy-intensive of material processes.
tion of how such a hydrogen engine could be built. 1824 Nicolas Léonard (Sadi) Carnot of France publishes
1820 Warren De la Rue of Guernsey encloses a platinum a seminal analysis of the steam engine, showing that
coil in an evacuated glass tube and passes electricity work is done as heat passes from a reservoir of higher
660 Appendix/Chronology

temperature to a lower one. He defines work and metals. He also publishes a widely read dictionary in
provides the basis for the second law of thermody- which he introduces the word thermostat to describe
namics. devices for controlling temperature automatically.
1825 Employing a locomotive developed by George 1830 Charles Lyell publishes the first volume of his
Stephenson, the Stockton and Darlington Railway landmark Principles of Geology, advancing the uni-
opens in northern England, operating the first public formitarian theory that becomes generally accepted, i.e.,
passenger train. Its original purpose is to carry coal the principle that the same physical processes which can
from the collieries of West Durham to the port of be observed today were responsible for the geological
Stockton. changes of the past.
1825 The Chatham Garden and Theatre in New York early 1830s English mathematician Charles Babbage
City is illuminated by gas lighting. designs a mechanical calculating device he calls an
1825 The Cheshunt Railway is in operation in Hertford- ‘‘analytical engine’’; this is regarded as the earliest
shire, England, the first known monorail (horse-drawn). prototype for the modern electronic computer.
It is based on a patent obtained in 1821 by Henry
1831 Charles Sauria develops the first practical friction
Robinson Palmer.
match, using phosphorus on the tip. This improves on
1826 Samuel Morey of Connecticut receives a U.S. patent earlier versions of the late 1820s from John Walker and
for his ‘‘vapor engine,’’ which is regarded as the first Samuel Jones.
successfully designed forerunner to the modern internal
1831 Cyrus Hall McCormick carries out the first
combustion engine.
successful demonstration of his mechanical reaper
1826 Swedish-born inventor John Ericsson constructs a during the harvest of 1831. He further refines it and
heat engine that runs on hot air rather than steam. takes out a patent in 1834. (Obed Hussey had
1827 German physicist Georg Simon Ohm states that an announced the construction of a mechanical reaper of
electrical current is equal to the ratio of the voltage to his own in 1833.)
the resistance (Ohm’s law). 1831–33 Michael Faraday and Joseph Henry indepen-
1827 Robert Brown discovers the constant motion of dently discover the principle of electromagnetic induc-
microscopic particles (Brownian motion). This will tion, which becomes the basis for the development of
provide a foundation for proof of the existence of the electric generator and electric motor.
atoms.
1832 Antoine-Hippolyte Pixii of France builds the first
1828 James Beaumont Neilson of Glasgow introduces practical mechanical generator of electrical current,
the ‘‘hot blast’’ oven, an advance in ironmaking. This using concepts demonstrated by Faraday.
involves a stream of heated air rather than the previous
technique of cold air, thus requiring a smaller amount of 1832 Joseph Henry is the first to produce high-frequency
coal and allowing the use of lesser grades of coal. electrical oscillations for communication purposes, and
the first to detect them at a distance, using what
1829 The Rocket locomotive of Robert Stephenson and becomes known as a magnetic detector. This is a key
Company wins a competition held by the new Liverpool precursor to the development of radio technology.
and Manchester Railway to choose between competing
engines. The basic design principles of the Rocket are 1833 Faraday derives the laws of electrical separation of
utilized until the end of British steam locomotive compounds (electrolysis), and suggests that atoms
building in the mid 20th century. contain electrical charges.
1833 John Lane uses a saw blade to produce the first
steel-bladed plow in the United States. This becomes
known as the ‘‘prairie plow’’ because it is much more
efficient in plowing the thick prairie sod of the
1830–1839 American Midwest than existing wooden plows.
1833 Karl Friedrich Gauss and Wilhelm Eduard Weber
1830 A railroad boom begins in Europe and North collaborate to produce an electromagnetic telegraph,
America. The first locomotive in the United States to the signals being given by the deflection of a galvan-
power a passenger train, the Tom Thumb, carries 26 ometer needle.
people 13 miles over the tracks of the Baltimore and 1834 American inventor Jacob Perkins receives the first
Ohio Railroad. The Liverpool to Manchester railway U.S. patent for a practical refrigerating machine; it uses
opens in England. ether in a vapor compression cycle. In his long career as
1830 Andrew Ure patents a thermostat based on the an inventor, Perkins also makes improvements to the
principle of differential expansion of two different steam engine and hot air furnace.
Appendix/Chronology 661

1834 Benoit Paul Emile Clapeyron provides a graphical Brunel’s steamship Great Western (1837) is launched at
representation of Sadi Carnot’s ideas on heat, which Bristol, England, the largest such ship in the world at
were largely unknown before Clapeyron’s analysis. the time and the first steamship in regular transatlantic
Clapeyron thus provides the link between Carnot’s service. This is followed by Brunel’s Great Britain
study of heat engines and Clausius’s expression of the (1843), an iron-hulled vessel with a screw propeller, and
second law of thermodynamics (1850). Great Eastern (1858), the largest of all and not equaled
1834 James Bogardus of the United States patents the in size for another 50 years.
‘‘gasometer,’’ which is regarded as the first gas meter; it 1839 Charles Goodyear develops vulcanized rubber, a
operates on the principle of a bellows, alternately being stabler and much more useful substance than plain
filled and emptied of gas, the pulsations being counted rubber. He supposedly invents this after he accidentally
on a register. drops rubber mixed with sulfur on a hot stove and
1834 London officials bring nuisance charges against a notices that this strengthens the mixture.
coal gas manufacturing firm for polluting the Thames 1839 Kirkpatrick MacMillan of Scotland develops a new
River with coal tar. form of bicycle, identified as the first version of the two-
1834 Vermont blacksmith and inventor Thomas Daven- wheeled pedal-driven bicycle that is the standard form
port establishes the first commercially successful electric today.
streetcar (horse-drawn streetcars are the dominant type
1839 Nineteen-year-old Edmund Becquerel, a French
in this era).
experimental physicist, discovers the photovoltaic effect
1834 Walter Hancock operates a regular service for the while experimenting with an electrolytic cell made up of
London and Paddington Steam Carriage Company, two metal electrodes.
using a ‘‘steam bus’’ called the Enterprise to carry
passengers between London Wall and Paddington via 1839 Sir William Robert Grove builds a device that will
Islington. combine hydrogen and oxygen to produce electricity;
this is the world’s first gas battery, later renamed the fuel
mid-1830s The island city of Nantucket, Massachusetts cell.
reigns as the ‘‘Whaling Capital of the World.’’ Whale oil
is in great demand as a lighting fuel, and about 100
whaling ships from the port of Nantucket search the
oceans in quest of whales, especially the sperm whale
(the prototype for Herman Melville’s Moby-Dick in the
novel of the same name). 1840–1849
1835 Gaspard Gustave de Coriolis of France publishes
the laws of mechanics in a rotating frame, including an 1840 G. H. Hess observes that the sum of the enthalpies
apparent force (Coriolis force) exerted on moving of the steps of a reaction will equal the enthalpy of the
objects by the rotation of the Earth. overall reaction. ‘‘Hess’s Law’’ allows the enthalpy
ca. 1835 Robert Anderson of Scotland invents a form of change for an entire chemical reaction to be calculated
electric-powered carriage. without any direct measurements through calorimetry.
1836 John Frederic Daniell invents the Daniell cell, the 1840 German botanist Justus von Leibig formulates his
first reliable source of electric current; it represents a Law of the Minimum, which states that if any one
great improvement over the voltaic cell. essential material is absent or only minimally available,
1837 Scottish inventor Robert Davidson constructs a then the growth and functioning of an organism is
prototype for an electric car. adversely affected. Later scholars will apply this concept
of the limiting factor to larger contexts, e.g., ecosys-
ca. 1837 Astronomer Sir John Herschel (son of William
tems.
Herschel) uses a solar collector box to cook food while
exploring in Africa. 1840 James Prescott Joule states that heat is produced in
1838 A commercial shale oil industry is established in an electrical conductor; this becomes known as ‘‘Joule’s
Autun, in central France, to produce lamp fuel. Law.’’

1838 William Cooke and Charles Wheatstone put the 1841 The first incandescent lamp is patented in England
first electric telegraph into commercial service. It uses by Frederick de Moleyns. It has a design using
visual signaling in which two needles at a time, out of a powdered charcoal heated between two platinum wires.
total of five, rotate on the receiving device to point to 1842 In England, the Royal Commission on Employment
letters on a display. of Children in the Mines reports ‘‘cruel slaving revolting
late 1830s Steamships begin to replace sailing ships as the to humanity,’’ such as women and children chained to
preferred vessel for Atlantic Ocean crossings. I. K. carts and working 15-hour days in the nation’s coal
662 Appendix/Chronology

mines. The subsequent Mines Act prohibits women and 1846 Wilhelm Eduard Weber develops a force law that is
boys under age 10 from working in the mines. dependent on velocity and acceleration, which will be
1842 Julius Robert von Mayer of Germany presents a crucial to James Clerk Maxwell in his electromagnetic
numerical value for the mechanical equivalent of heat, theory of light. He also invents the electrodynamometer,
based on a horse stirring paper pulp in a cauldron. This an instrument for measuring small currents.
is the original statement of the first law of thermo- ca. 1846 Italian chemist Ascanio Sobrero is the first to
dynamics (law of the conservation of energy), a prepare the highly explosive compound nitroglycerine.
fundamental principle of modern physics. 1847 Hermann Helmholtz of Germany publishes On the
1842 Sir John Bennet Lawes patents the first artificial Conservation of Force, in which he is the first to
fertilizer, ‘‘superphosphate,’’ a combination of rock extended James Joule’s work to a general principle. He
phosphate with sulfuric acid. This frees farmers from expresses the relationship among mechanics, heat, light,
dependence on animals to produce manure to nourish electricity, and magnetism by treating them all as forms
crops and proves that agriculture can be a technical of a single force, i.e., energy.
process, rather than an entirely natural one. 1847 The Siemens and Halske Telegraph Company is
1842 Justus von Liebig is among the first to argue that founded in Berlin with Werner von Siemens as principal.
body heat and muscular action are derived from the His younger brother William (Wilhelm) will establish a
oxidation of foodstuffs. He proposes that the energy London branch in 1850. The company becomes a leader
source for muscular exertion in animals and humans in telegraphy, telephony, and electrical engineering.
comes principally from protein, and not carbohydrates 1847 William Bell Elliot discovers a geothermal steam
and fats. field north of San Francisco which he names ‘‘The
1843 James Joule determines the mechanical equivalent Geysers.’’ In the 1850s the area becomes a tourist
of heat by measuring the change in temperature attraction for its steam baths, and in the 20th century it
produced by the friction of a paddlewheel attached to will become an important source of geothermal energy.
a falling weight. The joule becomes a common unit of 1848 Lord Kelvin (William Thomson) proposes a tem-
heat measurement. He also shows that heat is a form of perature of –2731C as the ‘‘absolute zero’’ point, or least
energy. possible temperature, since at that point the energy of
1844 Englishman Robert Beart is issued the first patent molecules in a gas would be at a theoretical minimum.
for rotary well drilling, so named for the rotary table He proposes a new temperature scale (now known as
through which a drill pipe with a bit at the end is the Kelvin scale) based on this principle of absolute
inserted and rotated. Rotary drilling rigs can drill faster, zero.
deeper, and more effectively than cable tool rigs that 1848 President James K. Polk turns on the first gas light
rely on pulverizing rock formations. at the White House, one year after James Crutchett had
1844 Jean Foucault brings electric light to Paris, the City lit the U.S. Capitol building with gas.
of Light, when he illuminates the Place de la Concorde, 1848 William Staite uses his arc lamp technology to light
the largest public square in the city. the portico of the National Gallery museum in London.
1844 Samuel F. B. Morse demonstrates his telegraph by Staite makes various improvements in arc lamp
sending the message ‘‘What hath God wrought?’’ from technology during the 1830s and 1840s, though the
Baltimore to Washington, D.C., using a system that original patent is awarded to Thomas Wright (1845).
imprints dots and dashes on paper. Operators soon ca. 1848 A commercial oil well is drilled in Baku,
learn to read the dots and dashes directly, by listening to Azerbaijan under the direction of a Russian engineer,
the click of the receiver. F. N. Semenov. This is described as the world’s first
1844 Stuart Perry of New York City develops an effective modern oil well.
internal combustion engine. It is a two-cycle engine ca. 1848 James B. Francis develops an improved inward-
using turpentine as a fuel. flow water turbine in Lowell, Massachusetts, one of
1845 Scottish inventor Robert William Thomson patents several important steps made by Francis in the use of
the first pneumatic (air-filled) tire of vulcanized rubber. water power. Uriah Boyden of Lowell also improves on
However, this is not economically practical, and it will the existing Fourneyron turbine at around the same
be more than 40 years before pneumatic tires come into time.
use through the efforts of fellow Scot John Boyd Dunlop. 1849 Abraham Gesner, a Canadian geologist, devises a
1845 William Robert Grove publishes an article describ- method to distill kerosene from petroleum. Kerosene
ing and illustrating the principles of the modern gas- (also known as ‘‘coal oil’’ or ‘‘paraffin oil’’) is cheap,
filled incandescent lamp. His actual work on this may easy to produce, relatively odorless, and can be stored
have been done as early as 1840, thus predating the indefinitely, and it rapidly replaces whale oil and other
1841 patent of Frederick de Moleyns. oils in illumination applications.
Appendix/Chronology 663

1849 Joseph J. Couch of Massachusetts receives the first 1851 William Thomson (Lord Kelvin) is the first to
U.S. patent for a steam-powered percussion rock drill. describe a heat pump, a device in which heat is absorbed
Later versions of the drill, along with dynamite, will by the expansion of a working gas and given off at a
make it possible to excavate large amounts of earth and higher temperature in a condenser.
rock in tunneling, mining, and quarrying.
1852 Henri Giffard, a French engineer, builds and flies
1849 The California Gold Rush begins, setting off a the first full-sized airship, a hot air balloon powered by
process that will eventually make California the most steam and steered by a rudder. This can be considered
populous U.S. state, with huge requirements for energy the first powered and controlled aircraft flight.
and water.
1852 Irish scientist George Gabriel Stokes names and
1849 The speed of light is accurately calculated by explains the phenomenon of fluorescence based on the
Armand Fizeau, using a turning disk and a mirror absorption of ultraviolet light and then emission of blue
placed five miles away. His assistant, Jean Foucault, light.
improves the technique in 1850 and determines the
speed of light to be 185,000 miles per second, within 1852 James Prescott Joule and Lord Kelvin demonstrate
1% of the true figure. that an expanding gas with no outside energy source
will become cooler; this is now known as the Joule-
Thomson effect.
1853 Employees of the Russian-American Company
document oil seeps in Alaska, on the western shore of
Cook Inlet. The native peoples of Alaska had tradition-
1850–1859 ally used oil-soaked tundra as heating fuel.

1850 Rudolf Clausius, a German mathematical physicist, 1853 Ignacy Lukasiewicz, a Polish druggist in the city of
makes the first formal expression of the second law of Lvov (then part of the Austro-Hungarian Empire, now
thermodynamics, which becomes a cornerstone of in Ukraine), invents an improved kerosene lamp, using
modern science. This states that heat cannot of its the distillation techniques recently developed by Abra-
own accord pass from a colder body to a hotter one. ham Gesner in Canada.

1850 Scottish chemist James ‘‘Paraffin’’ Young patents a 1854 Abraham Gesner opens a plant in New York to
process of extracting oil from cannel coal. convert coal into kerosene, using his patented process of
fractional distillation.
1850 The first absorption refrigeration machine is devel-
oped by Edmond Carré, using water and sulfuric acid. 1854 Daniel Halladay invents the first commercially
His brother Ferdinand demonstrates an ammonia/water successful self-governing windmill in Connecticut.
refrigeration machine in 1859. Most early refrigerants Halladay’s machine has four wooden blades; it auto-
are flammable and/or toxic, and some are also highly matically turns to face changing wind directions and
reactive. These disadvantages are not overcome until controls its own speed of operation.
fluorocarbon refrigerants appear in the 1930s. 1854 German-American watchmaker Heinrich Gobel of
1850s Swift-sailing, graceful clipper ships carry passen- New York develops an incandescent electric lamp in
gers and freight on long ocean voyages, especially trips which a carbonized bamboo filament is secured in a
to California and China. glass vessel. This predates the work of Thomas Edison
and Joseph Swan by two decades.
1850s The New England whaling industry is in steep
decline because of massive depletion of whale stocks 1854 Hermann von Helmholtz proposes that the Sun
and the rise of petroleum and other fuels that are used in derives its energy from gravitational shrinkage.
place of whale oil. 1854 In order to provide oil for his kerosene lamp
ca. 1850 Simple distillation of seep and salt well oil is business, Ignacy Lukasiewicz establishes an ‘‘oil mine’’
carried out in Pittsburgh, Pennsylvania by Samuel Kier. near Bobrka, a town in the Gorlice region of Poland.
He builds a one-barrel still to treat crude oil, which he High-quality crude oil is pumped from wells as deep as
buys by the gallon. This is regarded as the first 150 meters. This is often described as the beginning of
commercial refinery in North America. the modern oil industry, though various competing
claims have been made.
1851 In his work treating tropical diseases, Florida
physician John Gorrie becomes convinced that cooler 1854 New York lawyer George H. Bissell and others,
sickrooms will reduce fever and make patients more most notably financier James Townsend, form the
comfortable. He goes on to patent a cooling machine Pennsylvania Rock Oil Company to search for oil in
that produces artificial ice, thus laying the groundwork western Pennsylvania. This is the first U.S. company
for modern refrigeration and air-conditioning. created explicitly as an oil business.
664 Appendix/Chronology

1855 Abraham Gesner receives a patent for his process of 1858 Brothers C. W. and W. W. Marsh of De Kalb,
extracting kerosene from bituminous shale and coal. Illinois develop a harvesting machine that improves on
the McCormick reaper by reducing the amount of labor
1855 An 800-horsepower water turbine is installed at the
needed to bind the grain.
Pont Neuf waterworks in Paris.
1858 James Miller Williams of Hamilton, Ontario mines
1855 At the request of the Pennsylvania Rock Oil
‘‘gum beds’’ (surface oil seeps that have congealed),
Company, chemist Benjamin Silliman of Yale University
planning to sell the material for caulking in ships. He
applies fractional distillation to Pennsylvania rock oil
soon sees the greater potential for oil as an illuminating
and discovers that it produces high-quality lamp oil.
fuel and builds a small refinery.
1855 Heinrich Geissler designs a mercury-powered air 1858 William Hart, originator of natural gas drilling in
pump which he uses to create the most effective vacuum the United States in 1821, forms the Fredonia Gas Light
tubes to date. The Geissler tube will eventually lead to and Water Works Company; this is described as the first
the discovery of electrons. incorporated natural gas company in the United States.
1856 Following a series of cholera outbreaks in London 1859 Charles Darwin publishes On the Origin of Species,
in the late 1840s, the Metropolitan Board of Works is a book outlining his theory of evolution by natural
created and charged with providing a cleaner water selection. It becomes the foundation of a completely
supply for the city, with particular attention to the new approach to biology.
condition of the Thames River. Measures to control air
pollution are also taken at this same time. 1859 Edwin Drake drills an oil well near Titusville,
Pennsylvania, with a depth of about 70 feet. This is
1856 Henry Bessemer develops a new way to remove considered to be the first commercially successful U.S.
carbon from cast iron in steel-making by sending a blast oil well and is regarded as the origin of the U.S.
of air through molten iron in special furnaces. This is petroleum industry.
now known as the Bessemer process.
1859 Gaston Plante of France invents the first recharge-
1856 The Siemens brothers, William and Friedrich, able lead-acid storage battery (alkaline battery).
introduce a regenerative gas furnace. This is an 1859 George B. Simpson of Washington, D.C., patents an
improvement on existing furnaces in which much of electric cooking device using the same principle as
the heat of combustion is lost by being carried off in the modern electric ranges.
hot gases that pass up the chimney.
1859 Jean Lenoir of France builds the first practical and
1856 Workers near the Neander River in Germany operative internal combustion engine, fueled by coal
discover the first known skeleton of a Neanderthal gas. The following year he incorporates it in a ‘‘horse-
(Neandertal) man in a limestone cave. This becomes an less carriage.’’
important step in studying human evolution.
1859 John Tyndall, a self-taught Irish scientist, suggests
1857 A system of oil wells in Romania begins to produce that water vapor, carbon dioxide, and any other
a sizeable output. Some authorities describe this radiatively active ingredient of the atmosphere could
operation as the origin of the oil industry, rather than produce ‘‘all of the mutations of climate which the
the efforts of Ignacy Lukasiewicz (see 1854). researches of geologists reveal.’’ This will become a
1857 George Pullman develops the first successful rail- basic component of climate science.
road sleeping car, making longer trips more comfortable. 1859 Scottish physicist William John Rankine proposes a
The ‘‘Pullman Car’’ becomes widely known in 1865 temperature scale having an absolute zero value, below
when one is used to carry the body of President which temperatures do not exist, and using a degree of
Abraham Lincoln from Washington for burial in Illinois. the same size as the Fahrenheit scale. Absolute zero, or
1857 Oil is found at a site in Canada near Lake Erie; this 01R, is the temperature at which molecular energy is at
is considered to be North America’s earliest commercial a minimum.
petroleum discovery, predating the better-known Drake 1859 The first volume of the American Gas-Light Journal
field in Pennsylvania by two years. is published.
1857 The first elevator for public use is installed in New
York City by Otis Brothers, a steam-driven type
installed in a five-story department store on Broadway.
1858 A telegraph cable is laid across the Atlantic Ocean
between Newfoundland, Canada and Ireland, the first 1860–1869
such connection between the United States and Europe.
This cable line fails after three months but a successful 1860 A proposal to transport oil by pipeline is made by
one is eventually established in 1866. 17-year-old Samuel Duncan Karns of Parkersburg, West
Appendix/Chronology 665

Virginia. A salt well in the region is beset by an influx of 1863 London opens the first route of its subway (under-
oil; Karns suggests that the oil be shipped to a refinery ground) system, linking Paddington railway station to
on the Ohio River via a wooden pipeline along a route Farringdon Street, near the King’s Cross rail station.
that would allow the oil to flow by gravity. The line is built on the ‘‘cut and cover’’ method in which
a large trench is dug under a street and then roofed over
1860 Concerned about France’s dependence on coal,
so that surface traffic can use the street.
Auguste Mouchout begins the first research on the
direct conversion of solar radiation into mechanical 1863 Pierre and Ernst Michaux of Paris produce the
power. He goes on to develop a solar-powered steam Michaux Velocipede, a new form of bicycle in which the
engine, the first successful example of a motor running pedals are directly connected, via crankshafts, to the
on solar energy. front wheel.

1860s American railroads provide the best means of 1864 George Perkins Marsh of Vermont publishes Man
transporting oil to coastal cities, where it is used in and Nature: The Earth as Modified by Human Action,
refineries or shipped overseas. The first method involves often considered one of the first modern treatments of
transporting the oil in wooden barrels stacked on flat environmental problems, and in particular the role of
cars or in layers on specially built racks. humans as agents of environmental change.
1864 Scottish physicist James Clerk Maxwell proposes
1860s The clipper ship era ends as these classic vessels are
his equations of electromagnetism and is the first to
supplanted by the steamship, which has proven to be a
suggest that light is an electromagnetic wave.
much more profitable method for carrying large freight
cargoes. 1864 Siegfried Marcus of Vienna, Austria builds a one-
cylinder engine with a crude carburetor, and attaches it
1861 The first bulk transportation of oil in America is to a cart for a 500-foot drive. This is described as the
accomplished by wooden barges known as ‘‘bulk boats’’ world’s first successful gasoline-powered vehicle.
on Oil Creek and the Allegheny River in Pennsylvania.
These boats carry 400-barrel loads down river to 1864 The construction of the Hot Lake Hotel near La
refineries at Pittsburgh. Grande, Oregon marks the first time that geothermal
energy from hot springs is used for the direct heating of
1861 The first shipment of oil to be exported from the a large building.
United States (Philadelphia) to Europe (London) is
ca. 1864 Natural gas deposits are found near Stockton,
carried aboard the sailing ship Elizabeth Watts.
California, the first such discovery in the western United
1861 The U.S. Civil War begins. Steam-powered rail- States.
roads will play a key role in the war for the 1865 After years of research with pea plants, Gregor
transportation of troops and supplies, especially Mendel publishes his theories of heredity in an obscure
through the U.S. Military Railroads system organized publication. These ideas establish the science of genetics
by the Union government. but are generally unknown for over 30 years.
1862 Louis Pasteur’s experiments with bacteria conclu- 1865 America’s Civil War ends, and with it the use of
sively disprove the theory of spontaneous generation human slave power as an energy source in the United
and advance the germ theory of disease, revolutionizing States.
medical research and treatment.
1865 Amos Densmore, an oil buyer and shipper at Oil
ca. 1862 Werner von Siemens proposes the measurement Creek, Pennsylvania, invents the first railroad oil tank
of electrical conductance; later the name siemens will be car. The Densmore tank car is a major breakthrough in
used for a basic unit of conductance. bulk transportation compared to the earlier method of
stacking barrels on a flat car.
1863 Because of the damage caused by harmful emissions
from alkali works, Great Britain enacts its first 1865 British inventor George Law devises a rock drill in
environmental protection law, the Alkali Act. This which an air-driven piston operates a hammer tool. This
requires a reduction by 95% in the discharge of all is considered to be the first practical application of
noxious and offensive gases by alkali manufacturers. It compressed air to drive a motor.
also establishes an official regulator, the Alkali Inspec- 1865 Colonel E. A. L. Roberts uses eight pounds of black
torate, to enforce the legislation. powder to make the first successful oil well ‘‘shot’’ on
1863 French engineer Rodolphe Leschot invents the the Ladies Well along Oil Creek, Pennsylvania. ‘‘Shoot-
diamond core drill and uses it to drill blast holes for ing’’ a well refers to the detonation of an explosive
tunneling Mount Cenis on the France-Italy border. device in the well bore so as to allow oil to flow to the
Eventually, diamond drill bits will produce a major surface.
advance in oil and gas exploration because their 1865 Friedrich August Kekule recognizes that benzene is
extreme hardness improves drilling efficiency. made up of carbon and hydrogen atoms in a stable
666 Appendix/Chronology

hexagonal ring, not a chain. This discovery changes the 1866 Strip mining begins near Danville, Illinois, when
way chemists view molecular structure. horse-drawn plows and scrapers are used to remove
overburden so that the coal can be dug and hauled away
1865 Rudolf Clausius introduces the concept of entropy
in wheelbarrows and carts.
(disorder) to explain the directionality of physical
processes. He establishes that entropy can never 1866 Werner von Siemens discovers the dynamo-electric
decrease in a physical process and can only remain principle. This solves the problem of needing direct
constant in a reversible process. This becomes forma- current batteries to generate continuous current and
lized as the second law of thermodynamics, which high voltage, and provides the crucial advance needed
Clausius had first proposed in 1850. to supply electric power at commercially reasonable
prices.
1865 Samuel Calthrop of the United States develops a
streamlined railroad train. 1867 German engineer Nikolaus August Otto and his
partner Eugen Langen demonstrate an improved version
1865 Samuel Van Syckel builds the first major oil pipeline of Jean Lenoir’s engine, theirs operating on liquid fuel
in the Oil Creek area of Pennsylvania. At the time instead of coal gas. This engine is the forerunner of
teamsters charged extremely high prices to haul barrels Otto’s major breakthrough in 1876 (see below).
of oil by wagon, and Van Syckel underprices them with
his line of wrought iron pipes, laid partly underground 1867 The Reverend Leonard Wheeler, a missionary to the
and partly on the surface. Ojibwa Indians of Wisconsin, invents a classic Amer-
ican farm windmill that is a departure from the earlier
1865 The British economist W. Stanley Jevons publishes Dutch style.
The Coal Question, in which he argues that coal is
essential for the industry of Britain and that this 1868 A refrigerated railroad car is patented by J. B.
resource will one day be exhausted, causing the collapse Sutherland of Detroit, Michigan, for use in transporting
of British society. The prediction proves wrong because perishable foods such as meats and dairy products. In
Jevons did not foresee improvements in mining technol- the 1870s and 1880s Gustavus Franklin Swift will build
ogy and the use of oil as a substitute for coal. a huge meat-packing firm using refrigerated cars to ship
meat from Chicago to markets in the East.
1865 W. Stanley Jevons formulates Jevons’ paradox, a
concept now employed by modern scholars. It states 1868 American engineer George Westinghouse patents
that increased efficiency in the use of a natural resource, the air brake, which benefits the railroad industry by
such as coal, will actually result in greater consumption, making braking a safer venture and thus permitting
not less. This is because improvement in efficiency will trains to travel at higher speeds. To manufacture his
lead to higher demand; e.g., U.S. gas consumption invention he establishes the Westinghouse Air Brake
increased after fuel-efficient cars were introduced in Company, a predecessor to the huge Westinghouse
the 1970s. Electric Company.

1866 Alfred Nobel tames the volatility of nitroglycerin ca. 1868 Georges Leclanche of France invents a precursor
by enclosing it in kieselguhr, a packing material, making to the modern dry cell battery, now widely used in
a much safer explosive that he names dynamite. He goes consumer products such as flashlights, toys, and other
on to produce other new explosive substances in the electronic devices.
1870s. late 1860s Enclosed cast iron stoves are common in
1866 Early Pennsylvania oil producers adopt the 42- America. Stoves had been resisted at first on the grounds
gallon barrel as their standard. It is still the standard that they hid the fire, but gradually they replace the
unit of measurement today. open fireplace because of their greater efficiency.
1869 Belgian Zenobe-Theophile Gramme builds the first
1866 German scientists Adolph Fick and Johannes
efficient direct-current dynamo, two years after building
Wislicenus test von Liebig’s theory that protein alone
an efficient alternating-current dynamo. In 1873 it is
powers muscle activity. They eliminate protein from
demonstrated that the Gramme type dynamo can
their diet, climb Mt. Faulhorn in the Swiss Alps, and
function as an electric motor, a major step in the
calculate their energy expenditure. Urine analysis
development of electric power.
indicates that protein catabolism could not have
supplied the requisite energy. 1869 Dmitri Ivanovich Mendeleev is the first of several
scientists to publish a periodic table of the elements,
1866 Lyne Taliaferro Barret and his partners in the
with elements arranged in order of increasing atomic
Melrose Petroleum Oil Company drill the first oil well
weight.
in Texas, in Nacogdoches County. Though this well
produces only a modest flow of oil, other efforts at the 1869 German biologist Ernst Haeckel introduces the
same site in 1887 have much greater success and set off term ecology in his work Generelle Morphologie der
the state’s first oil boom. Organismen.
Appendix/Chronology 667

1869 In the French Alps, Aristide Berges sets up a pipeline had become the leading site for the U.S. oil refining
to transport a pressurized stream of water to his wood industry in the 1860s.
pulp factory. He then uses a dynamo to transform the ca. 1870 Julius Hock of Vienna develops the first internal
water power into electricity. This is regarded as the first combustion engine operating on modern principles.
systematic use of hydroelectric power.
1870s Edward Frankland, a British chemist, is among the
1869 Norman Lockyer suggests that a yellow spectral first to apply the conservation of energy principle to
line observed in the Sun’s spectrum during an 1868 human energetics. Building on the work of Fick and
eclipse must belong to a new element. Lockyer has Wislicenus, Frankland shows that the energy intake of
discovered helium (from the Greek helios, or Sun), the body equals the heat expelled. He also is among the
which is identified in terrestrial material by William first to measure the caloric value of food.
Ramsay in 1895 and later isolated by him.
1871 Andrew Smith Hallidie in San Francisco, California
1869 The first transcontinental railroad line in the United patents the first cable (street) car. In 1873 the first
States is completed when a symbolic golden spike is passengers travel along 2,800 feet of track to the crest of
driven into the ground at Promontory Point, Utah. The a hill 300 feet above the starting point. This is the first
Union Pacific line from the East meets the Central successful attempt to replace horses with a machine in
Pacific line from the West at this spot. the U.S. streetcar system.
1869 The Pennsylvania Railroad introduces the horizon- 1871 Charles Darwin publishes The Descent of Man, in
tal boiler-type metal tank car for oil shipments, which is which he specifically applies his principles of evolution
still the basic design in use today. The metal tanks are in the animal kingdom to the human race.
safer and more reliable than the earlier wooden 1871 Italian-American Antonio Meucci declares the
Densmore tank car. intent to patent his ‘‘Talking Telegraph,’’ a predecessor
1869 The Red Sea is joined to the Mediterranean as the to the comparable device patented five years later by
Suez Canal opens, construction having begun 10 years Alexander Graham Bell. Meucci is forced to let his
earlier under the direction of the French promoter application lapse because of lack of funding, and Bell
Ferdinand de Lesseps. The canal will come under the becomes recognized as the inventor of the telephone.
control of Great Britain in 1875 and will serve as the 1872 Abraham Brower opens the first mass transporta-
crucial link to India and other British interests in the Far tion system in America along Broadway in New York
East. City. The vehicle is an omnibus, which looks like a
1869 The ship Charles of Antwerp, Belgium becomes the stagecoach and is pulled by horses.
forerunner of the modern oil tanker, carrying oil from 1872 George B. Brayton, a British-trained engineer of
the United States to Europe in iron tanks. Boston, Massachusetts, receives a patent for a gas-
powered streetcar. This goes into operation the follow-
1869 Thomas Andrews of Belfast, Ireland suggests that
ing year, though electric-powered streetcars will become
there is a ‘‘critical temperature’’ for every gas at which it
the dominant form.
can no longer be liquefied by pressure alone.
1872 L. C. Marcy of Philadelphia develops an improved
oil lamp using two flat and parallel cotton wicks.
1872 The first long-distance pipeline for natural gas goes
into operation in Pennsylvania, extending from the
Newton gas well to the town of Titusville.
1870–1879 1872 The first wireless telegraphy patent in the United
States is issued to Mahlon Loomis. In 1866, Loomis had
1870 Briquetting of coal is introduced in the United set up a demonstration experiment on two mountain
States. This provides greater thermal stability and peaks in the Blue Ridge Mountains of Virginia, 22
cleaner combustion. kilometers apart.
1870 Drawing upon the earlier work of George Med- 1872 Thomas Edison develops an automatic telegraph
hurst, American inventor Alfred Ely Beach constructs machine, one of many improvements in telegraphy for
New York City’s first subway, a pneumatically powered which he is responsible.
system operating along a line one block long in lower
ca. 1872 Swedish-American engineer John Ericsson
Manhattan. Though the route closes three years later
develops an improved form of the Stirling engine; this
for lack of riders, it represents the beginning of
is intended for use as means of pumping water to
underground transport in the United States.
provide irrigation for arid lands of the American West.
1870 John D. Rockefeller and his associates form the Ericsson is also noted as the designer of the Civil War
Standard Oil Company in Cleveland, Ohio. Cleveland ironclad battleship Monitor.
668 Appendix/Chronology

1873 Entrepreneurs Robert and Ludwig Nobel (brothers Destructor burns mixed waste and produces steam to
of the better-known Alfred) establish a company to generate electricity. Several hundred similar facilities are
exploit the oil riches of Baku, Azerbaijan. They become built in the coming decades.
the most successful oil producers in the area and help to
ca. 1874 Swedish engineer Charles Wilson builds the first
make Baku’s oil industry the largest in the world in the
solar distillation plant, in the mining area of Las Salinas
late 19th century.
in what is now northern Chile. This provides fresh
1873 Johannes van der Waals refines Boyle’s and water to the mining community; it remains in operation
Charles’s laws of gases, introducing modified equations for about 40 years.
that allow for a wider range of molecular behavior.
1876 Alexander Graham Bell transforms the world of
1873 Joseph Henry proposes that the physical drudgery communication when he patents the first telephone.
of human labor can be ameliorated only by more Bell’s patent precedes a similar application just two
inanimate sources of energy and more powerful energy hours later on the same day by rival inventor Elisha
convertors. This is an early application of the new Gray. Bell’s device is improved almost immediately by
science of thermodynamics to socioeconomic concerns. Thomas Edison, who adds carbon powder to the
1873 London experiences the first of a series of ‘‘killer mouthpiece, allowing it to carry more current.
fogs.’’ A thick winter fog settles over the city, darkening 1876 German engineer Carl von Linden patents a process
the sky to the point that visibility is nearly zero. An of liquefying gas (ammonia) that marks a major
estimated 500 deaths occur both from respiratory advance in basic refrigeration technology.
illnesses and from accidents caused by the lack of
1876 Nikolaus August Otto of Germany invents a
visibility. Two similar events in 1880 and 1892 are each
successful four-stroke internal combustion engine,
responsible for about 1,000 deaths.
known as the ‘‘Otto cycle.’’ This engine represents the
1873 Thaddeus S. C. Lowe of the United States develops first true advance over the steam engine and is almost
a new gas manufacturing process, carbureted water gas. universally adopted for all liquid-fueled automobiles
This is cheaper and more efficient than the existing coal from that point on.
gas process and soon comes to dominate the manufac-
1876 Thomas Edison establishes a laboratory at Menlo
tured gas industry.
Park, New Jersey that will become the site of many of
1873 Willoughby Smith of England and his assistant his famous inventions and innovations.
Joseph May note that when selenium is exposed to light,
1876–1878 After a wave of violence in the coal mining
its electrical resistance decreases. This discovery pro-
region of Pennsylvania, a sensational murder trial results
vides the means to transform images into electric
in the execution of 20 members of the Molly Maguires, a
signals, and leads to the manufacture of photoelectric
secret society of Irish-American miners. The historical
cells and other light sensors. It also lays the foundation
record is unclear as to what extent the violence was
for the development of television.
incited, or even committed, by private detectives hired
1874 Joseph F. Glidden of DeKalb, Illinois develops a by mine owners to infiltrate the miners’ union.
successful form of barbed wire, improving on the
1877 A steam-powered shovel excavates some 10 feet of
version patented in 1868 by Michael Kelly. Barbed wire
overburden from a 3-foot-thick coal bed near Pittsburg,
will change the face of the American West, as it provides
Kansas.
a means of confining cattle and of separating them from
crop fields. 1877 Austrian physicist Ernst Mach publishes a paper
that accurately describes the relationship between the
1874 Jules Verne publishes The Mysterious Island, set
speed of a fast-moving object and the local speed of
during the U.S. Civil War. The book’s main characters
sound (Mach number).
speculate on how the depletion of coal will affect the
future. Cyrus Harding, one of the characters, asserts ‘‘I 1877 Louis Paul Cailletet and Raoul-Pierre Pictet inde-
believe that one day hydrogen and oxygen, which pendently liquefy oxygen.
together form water, will be used either alone or 1877 Oakland Gas Light establishes what is said to be
together as an inexhaustible source of heat and light.’’
the first high-pressure gas transmission in the United
1874 Siegfried Marcus produces a true four-cycle, four- States; two years later the company introduces gas
wheeled vehicle with electrical ignition, jet carburetion, cooking stoves into California.
and a throttle. This is accepted by many historians as
1878 American inventor Charles F. Brush develops an
the true forerunner of the modern automobile, though
efficient dynamo and goes on to produce a commercially
many competing claims exist.
viable arc light, which is used to illuminate a private
1874 The ‘‘Destructor’’ goes into operation in Notting- home in Cincinnati and a public square in Cleveland. He
ham, England. This is the first known example of a then founds Brush Electric Company, which will
systematic incineration of urban solid wastes. The eventually join Edison’s General Electric Company.
Appendix/Chronology 669

1878 Marie Alfred Cornu, a French physicist, measures New York City’s famous avenue Broadway, and soon
the spectrum of solar radiation reaching Earth’s surface thereafter builds New York’s first central power station.
and suggests that the absence of short-wave ultraviolet Broadway will later become known as the ‘‘Great
radiation is due to an atmospheric absorber. Two years White Way’’ because of its dazzling array of electric
later, Walter Hartley concludes that Cornu’s absorber is lights.
ozone in the upper atmosphere (the ozone layer).
1880 John Milne of England invents the first modern
1878 Samuel Pierpont Langley of the United States invents seismograph.
the bolometer, a radiant-heat detector that is sensitive to
1880 Lester Allan Pelton of California obtains a patent
differences in temperature of one hundred-thousandth of
for a new type of water turbine with a more effective jet
a degree Celsius (0.000011C). The device is still used to
of water. In 1883 the Pelton turbine wins a competition
provide accurate regional and global measurements of
for the most efficient water wheel turbine, and it will
the components of the Earth’s radiation budget.
serve as the standard design for the next 40 years.
1878 Thomas Edison founds the Edison Electric Light
Company to finance his efforts to invent a practical 1880 Michigan’s Grand Rapids Electric Light and Power
incandescent electric lamp. This and various other electric Company, generating electricity by means of a Brush
companies established by Edison will later be combined dynamo belted to a water turbine, lights up a set of
in what becomes the General Electric Company. Brush arc lamps to provide theater and storefront
illumination.
1879 Attorney George Selden of Rochester, New York
applies for a patent for his ‘‘road engine,’’ a vehicle 1880 Pierre and Jacque Curie discover that some crystal-
powered by an internal-combustion engine. This is the line materials, when compressed, produce a voltage
first automobile patent in the United States, though it is proportional to the applied pressure and that when an
not granted until 1895. Later Selden will sue Henry electric field is applied across the material, there is a
Ford for producing his own automobiles, and the courts corresponding change of shape. This is called piezo-
then declare the Selden patent too vague to be enforced. electricity or pressure electricity.

1879 English physicist William Crookes identifies a 1880 The Bradford Gas Company of Rixford, Pennsyl-
fourth state of matter in addition to solid, liquid, and vania begins using the first natural gas compressor.
gas, one in which a collection of electrons and ions 1880 Wabash, Indiana becomes the first city to be lit
move freely within a given space. Irving Langmuir later entirely by electric light, using the Brush dynamo and
applies the name plasma to this state. Plasmas make up arc light system.
about 99% of the visible matter in the universe and
offer the potential for a large-scale energy source. early 1880s A ‘‘current war’’ is underway over the choice
between DC current, promoted by Thomas Edison, and
1879 Thomas Edison in America and Joseph Swan in AC current, promoted by George Westinghouse. An
England independently produce carbon-thread electric intense battle for public opinion and political support
lamps. Edison’s first bulb burns for 40 continuous hours, ensues.
and only a year later he opens the first electric generation
station in London used primarily for lighting. 1880s John D. Rockefeller and Standard Oil base the first
decades of their business producing kerosene and
1879 The Siemens Company builds the world’s first
shipping it around the world on ships called ‘‘kerosene
electric train in which power for the train is supplied
clippers.’’ Today kerosene is used primarily as a heating
through the tracks rather than from overhead wires.
and aviation fuel, and as a solvent and thinner.
1879 William Adams, a British colonial official in India,
1880s Oil tanker barges are a major form of transportation
constructs a heating system with a series of large
for refined products in the Low Countries and Germany,
mirrors to concentrate the Sun’s radiation. He demon-
which have extensive networks of rivers and canals.
strates it by placing a piece of wood in the focus of the
mirrors where, he notes, ‘‘it ignited immediately.’’ This 1881 A hydroelectric generating station is operated on
system is similar to the one reportedly used by the Niagara River. An 85-foot cascade of water
Archimedes 2,000 years earlier. generates electricity to run the machinery of local mills
and to light some of the village streets.
1881 German naturalist Karl Semper publishes the
Natural Conditions of Existence as They Affect Animal
Life. This is regarded as one of the earliest studies of
1880–1889 energy flows in nature.
1881 Jacques D’Arsonval of France describes a method
1880 Charles Brush’s Electric Light and Power Company for using the temperature difference between the warm
successfully demonstrates an arc lighting system along surface sea water and cold deep ocean water to generate
670 Appendix/Chronology

electricity (later known as ocean thermal energy 1884 The French military officers Charles Renard and
conversion, or OTEC). Arthur Krebs make a flight of five miles in their airship
1881 Scottish engineer Sir Dugald Clerk patents his two- La France, in which they are able to guide the ship so
stroke internal combustion engine (in contrast with the that it lands at the point from which they begun the
four-stroke engine developed at around the same time flight.
by Nikolaus Otto). It will become widely used for 1884 The Serbian-American electrical engineer Nikola
motorcycles and other light engines. Tesla designs practical methods for generating alternat-
1882 Augustin Mouchout and his associate Abel Pifre ing current, a prerequisite for long-distance transmis-
demonstrate a solar power system in Paris in which solar sion of electricity. Called the ‘‘Master of Lighting,’’
energy is used to make steam to operate a printing press. Tesla will receive more than 100 patents relating to
electricity generation and transmission and radiocom-
1882 The first commercial hydroelectric power plant munications.
goes into operation on the Fox River in Appleton,
Wisconsin. It is used to power two paper mills and mid 1880s Steam-driven plows and threshing machines
eventually the town’s streetcar system as well. are in use on the prairies of North America, though
oxen and horses will remain the principal source of
1882 The Standard Oil Trust is formed by John D. power for some time to come.
Rockefeller, largely to shield himself against legal
challenges to his control of oil production and refining, 1885 A high-pressure manufactured gas transmission line
and against public outcry over this perceived monopoly. is installed between Oakland and Alameda under the
San Francisco Bay.
1882 The United States Electric Illuminating Company
establishes an electric power station in Charleston, 1885 A Westinghouse Company employee, William
South Carolina. Stanley, invents the transformer for shifting the voltage
and amperage of alternating current, enabling electricity
1882 Thomas Edison’s power generating company in
to be transported over long distances with relatively
New York City produces electricity for lighting. Three
little loss.
125-horsepower ‘‘Jumbo’’ generators at the Pearl Street
station provide power to 5,000 lamps in 225 homes. 1885 Carl Auer von Welsbach at the Bunsen laboratory
1883 Charles Fritts, an American inventor, describes the in Germany develops the Welsbach mantle, which
first solar cells made from selenium wafers. becomes a key technology for the utilization of
manufactured gas.
1883 John Ericsson designs and demonstrates his ‘‘Sun
motor,’’ a working solar heat engine. 1885 Gottlieb Daimler extends Otto’s work and invents
what is recognized as the prototype of the modern gas
1883 S. Podolinsky, a Ukrainian socialist, is the first to engine, with a vertical cylinder and with gasoline
explicitly describe the economic process from an energy injected through a carburetor (patented 1887). Daimler
perspective, and in particular agricultural energetics. uses the engine in a two-wheeled vehicle he calls the
His biophysical analysis leads him to conclude that Reitwagen (Riding Carriage). One year later he builds
limits to growth are imposed not by constraints on the world’s first four-wheeled motor vehicle.
production, but by physical and ecological laws.
1885 John Kemp Starley of England introduces the Rover
1883 Swedish engineer Carl Gustaf de Laval develops a Safety Bicycle, a vehicle with essentially the same design
high-speed steam turbine. His innovative use of special as the modern bicycle. It is an immediate success and is
reduction gearing allows a turbine rotating at high marketed by Starley and fellow bicycle innovator
speed to drive a propeller at comparatively slow speed, William Sutton through their Rover Company.
a principle having great value in marine engineering.
1885 Sylvanus F. Bowser of Fort Wayne, Indiana devel-
1883 The Chartiers Valley Gas Company is formed to
ops a workable gasoline pump and then founds a
produce, gather, and transport gas to Pittsburgh’s
company to manufacture the device.
industrial plants.
1885 The German mechanical engineer Karl Benz designs
1884 English engineer Charles Parsons invents the com-
and builds the world’s first practical automobile to be
pound steam turbine, which converts the power of steam
powered by a gasoline-burning internal combustion,
directly into electricity; it ultimately becomes the pre-
engine. The following year, Benz offers this vehicle for
ferred power plant of electric power stations and ships.
sale to the public.
1884 Paul Nipkow patents the world’s first electromech-
1885 The Massachusetts Gas Commission becomes the
anical image scanning system, consisting of a rapidly
first government agency to regulate the energy industry,
rotating disc with a pattern of holes. This is an
including the setting of prices.
important early step in the development of television;
in the 1920s John Logie Baird will use the Nipkow disc 1886 Charles Hall of the United States and Paul Hêroult
to transmit the first true television pictures. of France independently develop a molten electrolysis
Appendix/Chronology 671

process for the production of aluminum. The Hall– 1888 Charles F. Brush begins operation of an efficient
Héroult process is still the basic method of aluminum wind dynamo in Cleveland, Ohio, modifying existing
production. windmill technology to produce what is considered the
world’s first wind power plant.
1886 The first alternating current power plant in the
United States goes into operation in Great Barrington, 1888 Granville T. Woods develops and patents a system
Massachusetts. for overhead electrical conducting lines for railroads,
which is adopted for the railway system of various large
1886 The first oil tanker of modern design, Gluckauf, is
cities. Through this and other innovations in electricity
built at Newcastle, England for a Bremen, Germany
and telegraphy, the African-American inventor Woods
shipping company. The ship differs from previous
becomes known as ‘‘the Black Thomas Edison.’’
versions in that the liquid cargo is contained directly
in tankage integral with the hull, rather than in 1888 In Richmond, Virginia, Frank Julian Sprague
individual barrels. establishes what is regarded as the first large-scale,
successful streetcar system powered by electricity.
1887 Geographer and climatologist Eduard Bruckner
Similar systems are soon established in many other
makes pioneering studies of climate change and in
American cities and the streetcar becomes the preferred
particular of the effect of human activity on climate.
mode of urban mass transit.
1887 German physicist Heinrich Rudolf Hertz proves
1888 Oliver B. Shallenberger, an electrician at the
that energy is transmitted through a vacuum by
Westinghouse Electric Manufacturing Company, re-
electromagnetic waves. He detects and produces radio
ceives a U.S. patent for an ampere-hour meter, which
waves for the first time, with enormous implications for
accurately measures the amount of electricity used.
future technologies in radio, television, and radar.
1888 Wilhelm Hallwachs extends Hertz’s work on the
1887 High Grove Station in San Bernardino, California
photoelectric effect, noting that when illuminated with
becomes the first hydroelectric plant in the western
ultraviolet light, a neutral or negatively charged body (a
United States.
zinc plate) becomes slightly positively charged.
1887 In his studies of air and sound, Ernst Mach notes late 1880s Electric vehicles begin to appear on the streets
that air molecules behave irregularly when pushed of the United States and Britain, including an electric
faster than the speed of sound. bus company making regular trips in London.
1887 Scottish veterinarian John Boyd Dunlop experi- 1889 Norwegian-American engineer Edwin Ruud invents
ments with his son’s bicycle in an effort to improve upon the first device to store and automatically heat water.
the existing technology of solid rubber tires. He develops Ruud founds a company (still in operation) to produce
the first practical pneumatic tire, which becomes an water heaters for commercial and residential use.
essential component of the automobile industry.
1889 Paris becomes known as ‘‘The City of Light’’
1887 Solomon R. Dresser of Bradford, Pennsylvania during the 1889 World’s Fair, since it is the first large
develops a new type of coupling for pipe joints that city to switch to all electric lighting.
makes it possible to provide a leakproof pipeline over
extended distances. The company he founds becomes a 1889 Willamette Falls, Oregon provides the first com-
leader in the oil and gas industry. mercial, long-distance transmission of electric power in
the United States with a direct-current line to the city of
1888 Andrew Lawrence Riker founds the Riker Electric Portland.
Vehicle Company in Elizabethport, New Jersey, which
becomes one of the country’s largest manufacturers of
electric cars and trucks. Riker produces his first electric
car in 1894, using a pair of bicycles as a base.
1888 Austrian botanist Friedrich Reinitzer observes that 1890–1899
a substance called cholesteryl benzoate appears to have
two different melting points, one in which the solid 1890 French Engineer Clement Ader reports that his
changes to a cloudy liquid and a higher one in which it Eole, a steam-powered, bat-winged flying machine, is
becomes a clear liquid. German physicist Otto Lehmann the first full-sized aircraft to make a powered flight.
confirms this and coins the term ‘‘liquid crystal’’ to Witnesses describe a liftoff covering 50 meters at a
describe this distinct phase of matter. height of about 20 centimeters off the ground.
1888 Carl Gassner of Germany develops the first dry cell Historians differ as to whether this was truly an
battery, using a carbon rod as the positive electrode and airplane flight, or merely a ‘‘running hop.’’
zinc as the outer container and negative electrode. This 1890 The United Mine Workers of America is established
cell is easy to use and portable and it becomes the in Columbus, Ohio through the merger of two earlier
prototype for the dry battery industry. groups.
672 Appendix/Chronology

1890s Approximately 1,000 manufactured gas plants are the creation of modern Los Angeles. Later he will be at
in operation in the United States. the center of the Teapot Dome Scandal (see 1921).
1890s Ludwig Boltzman, an Austrian physicist, founds 1892 Electrical winders are in use in British coal mines.
the field of statistical mechanics. His interpretation of 1892 Inventor Aubrey Eneas founds the Solar Motor
the second law of thermodynamics introduces the Company of Boston to build solar-powered motors as a
theory of probability into a fundamental law of physics replacement for steam engines powered by coal or
and thus breaks with the classical precept that funda- wood.
mental laws have to be strictly deterministic.
1892 John Froelich develops a tractor running on an
1890s U.S. chemist W. O. Atwater constructs a calori- internal combustion engine; this will eventually sup-
meter and uses it to identify the energy content of plant the steam-powered tractor, which is less practical
different foods, using subjects who eat either a high fat because of its large size.
or high carbohydrate diet while riding a stationary
bicycle many hours per day. His ‘‘Atwater general 1892 R. E. Bell Crompton and H. J. Dowsing of England
factors’’ provide a good estimate of the energy content patent the first electric radiator.
of the daily diet. 1892 The first steel barges for oil transportation are put
into use by Standard Oil of New York. Steel barges are
ca. 1890 Coal takes the place of wood as the dominant
larger, stronger and safer than their wood predecessors.
fuel in the U.S. economy, as industry has replaced
human labor and draft animals with steam engines and 1892 The first U.S. geothermal district heating system is
other inanimate energy converters. in operation in Boise, Idaho.
1891 Clarence Kemp of Baltimore, Maryland patents the 1892 The Murex is the first tanker to pass through the
first commercially successful solar water heater. His Suez Canal, with a load of kerosene to be delivered from
invention is later marketed in California and becomes Batum, a Russian port on the Mediterranean, to
popular enough to heat one-third of the homes in the Singapore. Marcus Samuel, the owner of Murex, forms
city of Pasadena. Shell Trading and Transport, which eventually merges
with Royal Dutch to form one of the world’s largest oil
1891 German engineer Otto Lilienthal makes the first in companies.
a long series of successful glider flights. Lilienthal is a
pioneer in aerodynamics, especially wing design, and his 1892 The Sierra Club is founded in San Francisco ‘‘to do
work will greatly influence the Wright Brothers. something for the wilderness and make the mountains
glad.’’ John Muir is the club’s first president.
1891 German-American chemical engineer Herman
Frasch patents a process (Frasch process) to extract 1893 Julius Elster and Hans Geitel of Germany develop
sulfur compounds from oil using copper oxide powder; the first photoelectric cell. This is sensitive to both
until then, the foul smell of sulfur had prevented oil visible light and ultraviolet rays.
from being widely used as a fuel. 1893 Nikola Tesla begins a series of lectures and articles
1891 Inventor Poul la Cour, the ‘‘Danish Edison,’’ begins presenting his ideas for the fundamental methods of
a series of experiments with wind turbines. His work practical radio communication. Tesla thus precedes
will establish a foundation for modern use of wind Guglielmo Marconi, popularly known as the ‘‘Father of
energy. Radio,’’ though Marconi will state that he carried out
his own work without knowing of Tesla’s earlier efforts.
1891 Nikola Tesla invents the Tesla coil, an air-core
1893 Rudolf Diesel publishes a paper describing a new
resonant transformer that can generate extremely high
type of internal-combustion engine that will be named
voltages at high frequency. Tesla coils can produce
after him. Its distinctive feature is that it operates on the
spectacular lightning-like discharges and have often
principle of self-combustion; i.e., rather than relying on
been used in the film industry for special effects.
a separate energy source such as a spark plug, it heats
1891 The first extended natural gas pipeline in the United and compresses the fuel mixture to the point where it
States is built. It carries gas from wells in Indiana over a ignites itself.
distance of 120 miles to Chicago.
1893 With the idea that his three-wheeled motor vehicle
1891 The first long-distance high-voltage electricity line is unstable and uncomfortable, Karl Benz modifies the
is established between Lauffen and Frankfurt am Main, design to produce a four-wheeled vehicle. This is
Germany, a distance of over 100 miles. considered the world’s first inexpensive, mass-produced
1892 Edward L. Doheny begins the oil industry in Los car.
Angeles, California, supposedly after he notices oil 1894 Drilling begins at Alberta’s Athabasca tar sand site,
sticking to the wheels of a wagon and asks the driver the world’s largest accumulation of tar sands. Crews
where it had come from. Doheny becomes one of the strike a reservoir of natural gas that will blow wild for
wealthiest men in the United States and a major figure in 21 years.
Appendix/Chronology 673

1895 Conventional wisdom holds that the radio is born 1896 Svante August Arrhenius of Sweden presents a
at this time, when Guglielmo Marconi of Italy paper to the Stockholm Physical Society entitled, ‘‘On
demonstrates that it is possible to send signals by using the Influence of Carbonic Acid in the Air upon the
electromagnetic waves to connect a transmitter and a Temperature of the Ground.’’ This establishes the role
receiving antenna. However, the U.S. courts will later of carbon dioxide as a greenhouse gas.
conclude that Marconi relied upon the earlier work of 1896 The first subway on the European continent is
Nikola Tesla (see 1893). opened in Budapest.
1895 Colonel George E. Waring is appointed as New 1896 William Hadaway of the United States receives a
York City’s commissioner of street cleaning. Waring is a patent for an electric stove.
noted expert on drainage, sanitation, and urban public
ca. 1896 A Niagara Falls hydroelectric plant is in
health. Public sanitation becomes a major issue, and the
operation, including a one-mile tunnel under the town
first curbside pickups of garbage begin.
of Niagara Falls and the use by George Westinghouse of
1895 The Baltimore and Ohio Railroad becomes the first Nikola Tesla’s alternating current for long-distance
U.S. railway line to make regular use of an electric transmission of power to Buffalo, 26 miles away.
locomotive. 1897 Encouraged by reports of the successful 1892
1895 The Metropolitan West Side Elevated Railway flight of Clement Ader’s Eole flying machine, the
begins service in Chicago; it is described as the nation’s French government provides funding for a new craft,
first electric elevated rail line. named the Avion. Ader arranges a demonstration at a
military base near Versailles, but Avion never succeeds
1895 Wilhelm Roentgen of Germany discovers X rays, in becoming airborne and the experiments are aban-
and their medical implications are immediately recog- doned.
nized. Roentgen’s discovery will lead to the year 1895
1897 Ferdinand Braun of Germany invents the cathode-
being referred to as the beginning of the Nuclear Age in
ray oscilloscope, the precursor of the television picture
human history.
tube. Braun does not patent this because he wishes
mid-1890s A period of great popularity begins for electric it to be available to all scientists for research. Braun
cars in the United States. Over the next 20 years also makes important contributions to wireless tele-
about 35,000 electric vehicles will come into use. graphy, for which he shares the Nobel Prize with
Popular makes include the Riker, the Columbia, and Marconi.
the Baker. 1897 Henry Morris and Pedro Salom form the Electric
1896 ‘‘Permitted’’ explosives are introduced to British Carriage and Wagon Company to operate electric cabs
coal mining. These are industrial explosives that are on the streets of New York City. This is described as the
specially produced and tested for use in mines where first motor vehicle service in the United States. Prior to
firedamp and/or dangerous coal dust occur. this Morris and Salom had developed an electric car
known as the Electrobat.
1896 A Santa Barbara, California group headed by Henry
L. Williams drills wells from piers extending out into 1897 Joseph John Thomson shows that cathode rays are
the sea. This leads to the 1898 discovery of the particles with a negative electric charge, thus identifying
Summerland field, which is considered to be the first the electron, the first subatomic particle known. This
productive offshore oil facility in the world. (Similar leads to much greater understanding of electric and
offshore wells are reported in the Caspian Sea about five electronic processes.
years later.) 1897 Justus B. Entz, chief engineer of the Electric Storage
Battery Company of Philadelphia, develops what is
1896 An electrical battery is developed by William W. considered to be the first hybrid-electric vehicle (actu-
Jacques that produces electricity directly from coal. ally called the petro-electric car). It uses a gasoline
1896 Henri Becquerel of France discovers radioactivity engine as the primary drive and an electric motor to
when his experiments indicate that uranium emits assist when more power is required.
radiation without an external source of energy such as 1897 New York and other large cities have established
the Sun, as observed when the invisible rays darken a garbage ‘‘picking yards’’ to separate out materials that
photographic plate. have value for reuse, such as paper, metal, rubber, and
1896 Henry Ford’s automotive experiments culminate twine.
with the completion of his own self-propelled car, 1897 Nikola Tesla files his first U.S. patent application
the Quadricycle (so named because it runs on four for basic radio communication. The patent is granted in
bicycle type wheels). It is a four-wheeled vehicle built on 1900, the same year that Guglielmo Marconi’s applica-
a steel frame with no body; it is steered by a tiller, like a tion is turned down. However, a 1904 ruling will
boat. overturn this and award the radio patent to Marconi.
674 Appendix/Chronology

1898 Energy recovery from garbage incineration begins


in New York City; this is the first known example of a
waste-to-energy system.
1900–1909
1898 Pierre and Marie Curie of France isolate
1900 Electric cars outsell gasoline and steam-powered
and analyze radium and polonium, the elements
cars in the United States Electric vehicles do not require
that constitute most of the radioactivity in uranium
a hand starter or gearshift, and they are quieter and
ore.
operate with less vibration. Gas-powered cars take over
1898 The Sulzer Brothers firm of Switzerland builds its in the 1920s due to cheap gasoline, the elimination of
first diesel engine. (Years earlier Rudolph Diesel had the hand crank, mass production, and the relatively
begun his career as an apprentice in Sulzer’s engine limited range and speed of electric vehicles.
works.) The company will become a world leader in the
1900 German physicist Max Planck is the first to describe
production of diesel engines.
photons when he tries to explain the ‘‘black body’’
1898 The Winton Motor Carriage Company of Cleve- distribution of wavelengths in the light emitted by a
land, Ohio produces the first American truck, a gas- solid hot object. ‘‘Planck’s constant’’ becomes a uni-
powered delivery wagon with a single-cylinder, six- versal constant that is fundamental to all quantum
horsepower engine. theory.
1898–1900 Phillip Lenard, a German physicist, is the first 1900 Gregor Mendel’s work on heredity is rediscovered
to cause cathode rays to pass from the interior of a by three different biologists working independently in
vacuum tube through a thin metal window into the air, separate countries. They finally give publicity and
where they produce luminosity. credence to Mendel’s theories, establishing the field of
ca. 1898 Albert Champion opens the Champion Ignition genetics.
Company to manufacture spark plugs for the develop- 1900 Paul Ulrich Villard observes gamma rays, proving
ing automobile industry. Champion later joins forces them to be a form of radiation more powerful than
with General Motors and becomes the leader in the X rays.
field. (Various others have been credited with inventing
the spark plug, such as Edmond Burger, Oliver Lodge, 1900 Standard Oil of New Jersey dominates in the United
and Robert Bosch.) States with more than 80% of the market share in crude
oil supplies, refining capacity, and kerosene and gasoline
late 1890s A vital solar hot water heater industry emerges sold. In the following decade independent Texas oil
in Southern California; it later collapses due to the companies will emerge to make inroads into this market
availability of cheap fossil fuels. share, and in 1911 Standard Oil is broken up by the
late 1890s The manufacture of automobiles is in full government.
swing in western Europe and North America, led by
1900 The first dirigible to make a successful flight is built
industry pioneers such as Rene Panhard and Emile
by Count Ferdinand von Zeppelin of Germany. The
Levassor, Armand Peugot, Charles and Frank Duryea,
name zeppelin will come to be a synonym for aircraft of
and Ransome Eli Olds. This creates a great demand for
this type.
gasoline. (Prior to this, kerosene for heating had been
the main oil product.) 1900 The first transmission of a human voice over radio
is made by Reginald Aubrey Fessenden, who transmits
late 1890s The United States takes over the lead in coal
‘‘words without wires’’ over a distance of 1,600 meters
production. Britain now ranks second, after having been
between two aerial systems on an island in the Potomac
the world leader since the beginnings of the industry in
River. Fessenden will make the world’s first radio
the 1500s. Germany is third, an indication of her
broadcast on Christmas Eve in 1906.
growing industrial power relative to continental rival
France. ca. 1900 Charles Seeberger of the Otis Elevator Company
1899 A leading American magazine, the Literary Digest, develops a working escalator, improving upon an earlier
analyzes the future of the automobile and declares that design by Jesse Reno.
‘‘the ordinary horseless carriage is at present a luxury 1901 At an oil field near Beaumont, Texas, a drilling
for the wealthy; and although its price will probably fall crew supervised by Austrian engineer Anthony Lucas
in the future, it will never, of course, come into (such) unexpectedly exposes a huge gusher of oil shooting 250
common use as a bicycle.’’ feet in the air. This becomes the site of the famous
1899 Waldmar Jungner of Sweden invents the nickel- ‘‘Spindletop’’ well which will reportedly produce as
cadmium battery, which uses nickel for the positive much as 100,000 barrels of oil per day, a rate thousands
electrode and cadmium for the negative. Two years of times greater than existing wells.
later, Edison produces an alternative design by replacing 1901 Azerbaijan ranks as the world’s most productive oil
cadmium with iron. region, thanks to an oil boom in the area around the city
Appendix/Chronology 675

of Baku. A large refining industry also exists to turn 1902 Willis Haviland Carrier designs the first industrial
crude oil into kerosene. air-conditioning system; in the following decades he and
the Carrier Air Conditioning Corporation carry out
1901 The first Federal Water Power Act is enacted in the
various other innovations, culminating with the first air-
United States, beginning an era of large hydropower
conditioned stores and theaters in 1924 and a practical
projects in the West.
home air-conditioner in 1928.
1901 The King Edward, the first merchant vessel fitted
ca. 1902 French auto pioneer Louis Renault is credited
with steam turbines, is launched in Scotland.
with the invention of the internal expanding drum
1901 Using an antenna he invented in 1895, Marconi brake, a great improvement in stopping power for
broadcasts the first radio signals across the Atlantic motor vehicles.
Ocean from Cornwall, England to Newfoundland,
1903 Brothers Wilbur and Orville Wright make the first
Canada, a distance of more than 2,000 miles.
successful flight of a controlled, powered, heavier-than-
1901 What is now known as the Centennial Light Bulb is air machine, for 59 seconds over a distance of 850 feet
first lit at a firehouse in Livermore, California. It is a at Kitty Hawk, North Carolina.
hand-blown bulb with a carbon filament, using 1903 Henry Ford and a group of financial backers found
approximately 4 watts of electricity. The bulb has the Ford Motor Company in Detroit, Michigan.
now been burning continuously for over 100 years.
1903 Konstantin Tsiolkovsky of Russia publishes The
1902 A large gusher of oil spews forth in the Cotella Investigation of Outer Space by Means of Reactive
(Katalla) region along the Gulf of Alaska. This is the Devices, which suggests the use of liquid propellants for
first successful oil well in Alaska and provides evidence rockets to achieve greater range. This is one of many
of the area’s potential as an energy source. writings by Tsiolkovsky on space flight, in which he
1902 An anthracite coal strike in the United States puts forth ideas such as multistage rockets, artificial
severely disrupts the national economy. The power of satellites, and manned space stations.
the United Mine Workers union grows as its member- 1903 The 1903 Nobel Prize for Physics is jointly awarded
ship goes from less than 10,000 members before the to Pierre and Marie Sklodowska Curie and Henri
strike to over 100,000 members afterward. The UMW Becquerel for their pioneering work on radioactivity.
becomes the nation’s largest trade union. Marie Curie is the first woman to win a Nobel Prize.
1902 Arthur Korn of Germany develops a photoelectric 1904 Beltram Borden Boldwood proves that uranium
scanning system for the transmission and reproduction changes into radium through the process of radioactive
of photographs. He goes on to establish a commercial decay. He later expands his theory, showing that radium
picture transmission system linking Berlin, London, and decays into lead and that, in general, radioactive
Paris; this is the world’s first fax (facsimile) network. substances eventually decay into non-radioactive ones.
1902 Ernest Rutherford of New Zealand and Frederick 1904 English electrical engineer John Ambrose Fleming
Soddy of England publish their theory of radioactive patents the thermionic valve, which is the first electronic
decay, stating that atoms of a radioactive element emit rectifier of radio waves. Along with the amplifier grid of
charged particles (alpha or beta) and in doing so change Lee de Forest (see 1906), Fleming’s invention is the
into atoms of a different element. forerunner of the triode and other vacuum tubes and
1902 Marie and Pierre Curie measure the atomic weight thus a foundation of the modern electronics industry.
of radium. 1904 Prince Piero Ginori Conti of Italy successfully
1902 Philipp Lenard studies the photoelectric effect, produces electricity from geothermal energy in an
showing that electrons are emitted from certain metals experimental ‘‘indirect cycle,’’ using pure steam pro-
when illuminated by ultraviolet light. He observes that duced from a heat exchanger.
the number of electrons released is proportional to the 1904 Swedish-American electrical engineer Ernst Alex-
intensity of the light, while their speed is independent of anderson develops a high-frequency alternator that
this and is determined by the wavelength of the light. provides the means for effective long-distance radio
1902 The first municipal oil-gas plant in the western communication.
United States is erected in Oakland, California for 1904 The earliest large-scale U.S. aluminum recycling
lighting purposes. operations begin in Chicago and Cleveland.
1902 The U.S. Congress establishes the Bureau of 1904 The first official New York City subway system
Reclamation to administer money from the sale of opens in Manhattan, the Interborough Rapid Transit
public lands to build dams and irrigation projects for (IRT). It consists of 28 stations from City Hall to 145th
western states. By 2000 the Bureau operates 60 dams Street, along 9 miles of track. The IRT extends to the
with a total capacity of 14,757,668 kilowatts. Bronx in 1905, Brooklyn in 1908, and Queens in 1915.
676 Appendix/Chronology

1904 The Kern River oil field in Bakersfield, California 1907 An explosion in a coal mine in Monongah, West
reaches a peak production level of 17.2 million barrels Virginia results in the death of 362 miners, virtually the
per year, roughly equivalent to the output of the entire entire work force in the mine at that time. This is the
state of Texas. worst coal mine disaster in American history and
1905 Albert Einstein proposes that light can be described consequently Congress is impelled to create the Bureau
as a stream of separate particles of energy. This explains of Mines to study mine safety and conduct inspections.
the photoelectric effect, which had been extensively 1907 Coal reaches the historic high point (78%) of its
studied by his predecessors such as Hertz, Hallwachs, share of the U.S. energy supply.
and Lenard, but which could not be accounted for by
Newtonian physics, with its assumption that light is a ca. 1907 Russian scientist Boris Rosing succeeds in
continuous wave. transmitting and reproducing black-and-white silhou-
ettes of simple shapes, using a mechanical mirror-drum
1905 In a second major paper, Einstein presents his apparatus as a camera and a cathode-ray tube as a
special theory of relativity. He proposes that the laws of receiver. In the 1920s, Rosing’s student Vladimir
nature have the same application in all frames of Zworykin will become a key figure in the development
reference. This applies to the speed of light, which is of television technology in the United States.
said to be constant, independent of any relative motion
between the light source and the observer. Einstein ca. 1907 The first electric-powered washing machine is
describes mass and energy as equivalent (E ¼ mc2). developed by Alva J. Fisher and marketed by the Hurley
Machine Company of Chicago.
1905 In a third landmark paper of 1905, Einstein
calculates how molecular movement causes Brownian 1908 A. A. Campbell-Swinton proposes a television
motion (the irregular movement of microscopic parti- system in which images are stored in the form of
cles suspended in a fluid). This confirms the validity of electric charge in a camera tube and reproduced on a
the atomic theory of matter. picture tube, in the manner now employed in modern
television broadcasting.
1905 New York’s Long Island Railroad is the first major
rail carrier to install extensive main line electrification. 1908 Ernest Rutherford and his assistant Hans Geiger
1905 The concept of a limiting factor in photosynthesis is develop the Geiger counter to detect radiation levels.
shown by Frederick Frost Blackman. Photosynthesis is 1908 With a commission from the Shah of Persia (Iran)
limited by the supply of carbon dioxide, temperature, to explore for oil in the region, Englishman William
and light intensity. The rate of photosynthesis is Knox D’Arcy and his team make the first major
controlled by the factor in the shortest supply. commercial oil discovery in the Middle East at
1905 The gas pump innovator Sylvanus F. Bowser Masjid-i-Suleiman. D’Arcy then forms the Anglo-
develops a self-measuring pump that dispenses precise Persian Oil Company (later British Petroleum) to
amounts of fuel. exploit this discovery.
1906 In his statement of the third law of thermody- 1908 Henry Ford revolutionizes the manufacturing pro-
namics, Walther Nernst proposes that absolute zero is a cess when he sets up the first assembly line in his Model
point that can be closely approached, but never actually T factory. The inexpensive Model T makes automobile
reached. ownership possible for the average American and it
1906 Lee de Forest of the United States invents the triode, becomes the largest-selling car model of its era.
a vacuum-tube device that amplifies weak electric 1908 Hermann Minkowski publishes Space and Time,
signals. It is first used as a detector of radio waves, proposing time as a fourth dimension for the study of
then as an amplifier for long-distance telephone calls, the universe.
and eventually as a major technology of the radio
transmitter, sound films, loudspeakers, and many other 1908 The history of superconductors begins with the
electronic devices. successful liquefication of helium by the Dutch scientist
Keike Kamerlingh Onnes at a temperature of just 4 K.
1906 The British battleship Dreadnought is launched, the
best-armed and fastest battleship in the world. Its 1908 The Wisconsin Railroad Commission orders gas
presence in the Royal Navy sets off a competition companies to use British Thermal Units (BTUs) as the
among rival nations to build other ships of this class in new heating measurement standard.
the years leading up to World War I. 1909 ‘‘England’s isolation has ended once and for all’’ is
1907 American chemist Bertram Borden Boltwood is the the judgment of one English newspaper after French
first to use radiometric dating to estimate the age of the aviator Louis Bleriot becomes the first to fly across the
Earth. Using the half-life of uranium as a standard, he English Channel. Bleriot will later found an aircraft
estimates the Earth’s age at 2.2 billion years. This is a company that produces thousands of the famous SPAD
dramatic increase over previous estimates of Earth’s age. warplane for the Allies in World War I.
Appendix/Chronology 677

1909 Leo Hendrik Baekeland of Belgium invents bake- concentrated in a tiny nucleus. The nuclear model of the
lite, a dense synthetic polymer (a plastic) that is used to atom is born.
make jewelry, game pieces, engine parts, radio boxes,
1911 Famed photojournalist Lewis W. Hine produces his
switches, and many other objects. Bakelite is the first
classic ‘‘Breaker Boys’’ series of photos depicting harsh
industrial thermoset plastic, i.e., a material that does
child labor conditions in the United States. Breaker boys
not change its shape after being mixed and heated.
are employed in coal mines to separate coal from
1909 The Hughes Tool Company makes the first rotary unwanted stone and slate, a grueling task that requires
rock bit, which makes it possible to drill through hard them to spend the day sitting suspended above a
rock formations with a rotary rig. conveyer belt as the coal rushes by.
1911 George von Hevesy of Hungary conceives the idea
of using radioactive tracers, which will have great
applications in medical and ecological research. He first
applies this method to a biological problem in 1923,
1910–1919 when he traces lead absorbed by plants.
1911 The U.S. output of kerosene is eclipsed for the first
1910 A California gusher shoots forth a huge column of time by a formerly discarded byproduct—gasoline.
oil. The well, between the towns of Taft and Maricopa,
1912 C. V. Boys and Frank Shuman’s solar-powered
will eventually reach an uncontrolled rate of 100,000
steam boiler begins pumping irrigation water from the
barrels and destroy its derrick. Its estimated output of 9
Nile River. This is the world’s largest solar plant and
million barrels of oil is a record for the time, though
Shuman envisions one even larger, a gigantic facility
reportedly less than half of this could be saved.
covering thousands of square miles in the Sahara Desert.
1910 American engineer Elmer A. Sperry establishes the World War I intervenes and Shuman’s dream is never
Sperry Gyroscope Company (with himself as the lone realized.
employee) to market the innovative ballistic gyrocom-
1912 George Sarton, a Belgian-born professor at Har-
pass he had created two years earlier.
vard University, founds Isis, which will evolve into the
1910 Georges Claude displays the first neon lamp in premier international journal dedicated to the history of
Paris. science. Sarton will edit Isis until 1952, and he is widely
considered to be the father of the history of science.
ca. 1910 Farms in North America are home to about 25
million horses and mules. These animals supply the 1912 The General Motors Company approves the
power for general transportation and for essential farm installation of Charles Kettering’s automatic self-starter
tasks such as plowing, seeding, cultivating, and harvest- in its Cadillac line of automobiles. This is one of many
ing. Following World War I, the mechanized tractor will innovations in auto starting, ignition, and lighting
take over this role, and on today’s farms animal power accomplished by Kettering, first with his Delco com-
is a rarity. pany and then with General Motors after it acquires
Delco.
1911 Austrian physicist Victor F. Hess discovers cosmic
radiation. He is not certain what this phenomenon is, 1912 The world’s largest ocean liner, Titanic, sinks on her
and it is poorly understood even today. maiden voyage.
1911 Dissolution of the Standard Oil trust is ordered by ca. 1912 Robert Bosch of Germany develops what is
the U.S. Supreme Court. John D. Rockefeller’s empire is considered to be the first successful fuel injection
broken up into many smaller companies, including system.
Standard Oil of New Jersey, Standard Oil of New York,
1912–1914 First Lord of the Admiralty Winston Church-
Standard Oil of California, Standard Oil of Ohio (later
ill, fearing conflict with Germany, hastens the conver-
part of BP), Standard of Indiana (later Amoco),
sion of British battleships from coal to oil. Oil-powered
Continental Oil (Conoco), and Atlantic Oil (Arco).
ships are faster, they can be refueled at sea, and they
1911 Dutch physicist Heike Kamerlingh Onnes discovers require less on-board labor. The Royal Navy eventually
superconductivity—the loss of electrical resistance in overcomes the largely coal-based German fleet in World
mercury near absolute zero temperatures. It is soon War I.
determined that other metals and alloys become super-
1913 Austrian Victor Kaplan invents an improved
conductors at very low temperatures.
turbine. The Kaplan turbine features movable blades
1911 Ernest Rutherford conducts experiments with the that rotate, or ‘‘feather,’’ to handle different conditions;
scattering of alpha particles off atoms, from which he this allows hydroelectric power stations to operate with
concludes that the atom’s mass and positive charge are greater efficiency.
678 Appendix/Chronology

1913 Canadian engineer Sidney Ells advocates the hot ca. 1913 Fritz Haber and Carl Bosch of Germany devise
water flotation method of separating bitumen from the an industrial process in which nitrogen from the
tar sands of Athabasca. His is one of several unsuccess- atmosphere and hydrogen under high temperature and
ful attempts to develop the Athabasca sands. Decades pressure react to form ammonia. The Haber-Bosch
later, oil sands will re-emerge as a viable energy source. process becomes an effective way to produce ammonia-
based fertilizers.
1913 Electric refrigerators for home use begin to appear
on the market in the United States. 1913–1914 Ford Motor Company installs the first mov-
ing assembly line for the manufacture of automobiles.
1913 Frederick Soddy formulates the concept of isotopes,
Once the system is in full operation, Henry Ford
stating that certain radioactive elements may exist in
announces that his workers will be paid $5 per day,
two or more forms which have different atomic weights
more than double the usual wage at the time, while also
but which are indistinguishable chemically.
having their work day reduced. This makes Ford a hero
1913 French physicist Charles Fabry discovers the ozone to the American work force.
layer, the thin shield in the upper atmosphere that acts 1914–1918 World War I engulfs Europe. Newer forms of
as a screen to protect life on the surface of Earth from warfare are employed, such as tanks, airplanes,
the ultraviolet rays of the Sun. submarines, machine guns, and poison gas. Railroads
1913 Friedrich Bergius, a German chemist, invents a and motor vehicles transport troops and war matériel.
process he calls ‘‘destructive hydrogenation’’ of coal, However, military tactics lag behind technology, and in
which later comes to be known as direct liquefaction. the slaughterhouse of trench warfare millions of lives
Bergius liquefies coal by reacting it with hydrogen at are lost in fruitless assaults on heavily defended
high temperature and pressure. positions.
1913 In the famous ‘‘oil drop experiment,’’ Robert 1914 A version of the modern traffic light is put into
Andrews Millikan measures the charge of a single operation in Cleveland, Ohio, with red and green lights
electron to be sixteen-quintillionths of a coulomb. and a warning sound to indicate when the light is
changing. Three-color lights with yellow as the warning
1913 Irving Langmuir develops an improved incandes- will be introduced in 1920.
cent lamp by filling the lamp with an inert gas so that
the atoms of tungsten evaporate more slowly. This is the 1914 Acid mine drainage from abandoned coal mines in
first major advance in the incandescent lamp since the the United States receives considerable attention when
days of Edison, and it remains a standard technology the Army Corps of Engineers begins an extensive
today. investigation of the problem in the Ohio River basin.
Municipalities are concerned about the increased costs
1913 Niels Bohr applies the quantum theory to the atom of water filtration and pipe corrosion.
and concludes that electrons have fixed orbits around
the nucleus and that they emit or absorb specific 1914 Data compiled from annual mine inspector reports
amounts of energy, or quanta, when they jump into leads to the conclusion that about 90,000 people have
another orbit. died or suffered injury in the mines of Great Britain in
the period from 1850 to 1914. Most of the deaths are in
1913 The first geothermal power plant is built at coal mines.
Larderello in Tuscany, Italy, employing heat from a
dry steam field to generate a constant flow of electricity. 1914 Ernest Rutherford suggests that the positive nucleus
of atoms contains protons that balance the charge of
1913 The percentage of the world’s energy consumption electrons but have a much greater mass.
coming from coal peaks at 61%.
1914 Professor Robert Hutchings Goddard of Worcester,
1913 U.S.S. Jupiter, a transport and coal carrying vessel, Massachusetts receives two U.S. patents, one for a
is commissioned in California. This is the first surface rocket that uses liquid fuel, the other for a two- or three-
ship in the U.S. Navy to be propelled by electric motors. stage rocket using solid fuel. This is considered the first
1913 Using radiometric dating, the English geologist step in the era of rocket propulsion.
Arthur Holmes proposes the first geological time scale. 1914 The first regularly scheduled airline in the United
He estimates the Earth’s age at 4 billion years, far older States begins operation. The Benoist Company, using a
than prevailing wisdom. flying boat, carries passengers across Florida’s Tampa
Bay, between St. Petersburg and Tampa. The flights will
1913 William Burton of the Standard Oil Company
last for only about six months.
receives a patent for a thermal cracking process (the
application of steady heat and pressure to crack, or 1914 The Panama Canal opens, linking the Atlantic and
break down, heavier hydrocarbons into lighter ones). Pacific Oceans and drastically reducing the sailing time
This greatly increases the proportion of gasoline from Europe or eastern North America to the West
obtainable from crude petroleum. Coast.
Appendix/Chronology 679

1914 Through studies of earthquake waves, Beno Guten- one of the most productive oil and gas fields in the
berg determines that there is an inner and outer core at world, and within a few years Amarillo and other
the center of the earth measuring about 4,200 miles in nearby towns of the Panhandle region will double and
diameter, with a sharp dividing line between the mantle even triple in size.
and the outer core (now known as the Gutenberg
1918 U.S. production of anthracite coal peaks at 100
discontinuity).
million tons per year. Located primarily in the state of
1915 German-American blacksmith August Fruehauf Pennsylvania, anthracite is a relatively clean burning
builds the first semi-trailer type of truck, in which the form of coal that enjoys extensive use in home heating.
load-carrying vehicle has wheels only at the rear and is By 2000 production drops to about 4 million tons, due
towed and supported by a powered vehicle in front. largely to the depletion of the resource base.
1916 Edward Ardern and William Lockett, workers at a ca. 1918 Summing up the role of energy supply in World
wastewater treatment plant in Manchester, England, War I, British Foreign Secretary Lord Curzon is said to
demonstrate the activated sludge process, which will remark that ‘‘The Allies floated to victory on a sea of
become the most widespread technology for wastewater oil.’’ (Other versions of this comment are reported, and
purification. it has also been attributed to Winston Churchill.)
1916 Einstein publishes his General Theory of Relativity, 1918–1920 The air-cooled radial engine comes into
or Theory of Gravitation, equating gravitational and widespread use in military aircraft, with cylinders
inertial mass and showing space to be curved. arranged to extend radially outward from its hub, like
spokes of a wheel.
1916 Gilbert Newton Lewis and Irving Langmuir in-
dependently formulate a system of chemical bonding 1919 Captain John Alcock and Lieutenant Arthur Whit-
based on the number of electrons in each shell of an ten Brown of Great Britain make the first aircraft flight
atom. across the Atlantic, flying from Newfoundland, Canada
to Ireland in about sixteen and a half hours. Their plane
1916 The Goose Creek oil field on Galveston Bay
is a Vickers Vimy, a two-engine biplane.
becomes the first offshore drilling operation in Texas
and the second in the United States. The Goose Creek 1919 Less than one month after the transatlantic flight of
area will soon become the site of one of the largest oil Alcock and Brown, the British airship R-34 makes the
refineries in the United States. first two-way trip across the Atlantic, going from
Scotland to New York and then back to England.
1916 Using Einstein’s general theory of relativity, Karl
Schwarzschild postulates on the existence of what are 1919 Observations of a total eclipse of the Sun show a
later named black holes. gravitational deflection of light that supports Einstein’s
general theory of relativity.
1917–1921 Russian oil production and exports drop
sharply as a result of the Russian revolution in 1917, 1919 The American Petroleum Institute (API) is orga-
and the nationalization of the oil fields by the nized in Chicago, Illinois, for the purpose of standardiz-
Communists in 1920. Production strengthens by the ing engineering specifications for drilling and
mid-1920s due to an infusion of foreign investment production equipment.
from the West. 1919 The first U.S. tax on gasoline is adopted by the
1918 A U.S. Revenue Act restores the depletion allow- Oregon state legislature to raise money for the main-
ance for minerals and fossil fuels, reducing taxes for tenance of state highways. By 1929, all states impose a
owners of such resources to compensate for the tax on gasoline, and three years later a Federal tax of
exhaustion of an irreplaceable capital asset. Critics one cent per gallon is enacted.
argue that the allowance is a huge subsidy because these 1919 The German scientist W. Schroeder makes the first
resources are valuable enough to justify high levels of estimate of global net primary production of carbon:
investment without tax incentives. 36.2 gigatons (1015). Subsequent estimates are in the
1918 The American Gas Association is formed through range of 100 gigatons.
the consolidation of smaller gas organizations. It
represents companies involved in all areas of the
transmission and distribution of natural gas in the
United States.
1918 The first major U.S. gasoline pipeline is established 1920–1929
to transport gasoline over a 40-mile distance in
Wyoming.
1920 Isopropyl alcohol becomes the first commercial
1918 The first well of the Panhandle field north of petrochemical, initially produced at Standard Oil’s
Amarillo, Texas goes into operation. This will become Bayway, New Jersey, plant.
680 Appendix/Chronology

1920 Radio station KDKA of Pittsburgh receives a 1921 Charles F. Kettering and his assistant Thomas A.
broadcasting license and goes on the air with news Midgley discover that the addition of a slight quantity
reports on the U.S. Presidential election. This is the of tetraethyl lead will reduce ‘‘knock’’ (imperfect
nation’s first commercial radio broadcast; by 1925 there burning), which is a common drawback of the gasoline
are more than 600 commercial stations in the United engines of this era.
States and Canada. 1921 John D. Grant begins drilling in Geyser Canyon
1920 The Federal Power Act is enacted in the United north of San Francisco with the dream of harnessing the
States. It creates the Federal Power Commission (FPC) steam power there. Grant builds a power plant that is
and empowers it to regulate the electric power and one of the first U.S. facilities to generate electricity from
natural gas industries, including the licensing of non- geothermal power.
Federal hydroelectric projects, the regulation of inter- 1921 Regularly scheduled passenger airline service is
state transmission of electrical energy, and the rates for underway on various routes, such as Paris to London
that electricity’s sale. (by several French and British companies), Amsterdam
1920 The number of automobiles in the United States to London (by KLM), Berlin to Weimar, Germany (by a
exceeds nine million as gas stations open everywhere. forerunner of Lufthansa) and Los Angeles to San Diego,
Because of this increased use of gasoline, oil now California (by a company owned by famous film
provides almost one-fourth of the total U.S. energy director Cecil B. DeMille).
consumption. 1921 Without competitive bidding, oil barons Edward
1920s Henry Ford and others promote the use of ethanol- Doheny and Harry Sinclair receive exclusive rights to
blended gasoline, which they call gasohol. A fermenta- valuable Federal oil reserves at Elk Hills, California and
tion plant to manufacture ethanol specifically for motor Teapot Dome, Wyoming. The Teapot Dome Scandal
fuels is built in Atchison, Kansas, and in the 1930s, ensues, and U.S. Interior Secretary Albert B. Fall is
more than 2,000 service stations in the Midwest sell convicted of bribery for getting ‘‘loans’’ from Doheny
gasohol. Low oil prices in the 1940s end gasohol use and Sinclair prior to granting them the rights.
until the 1970s. 1922 Frederick Soddy, a Nobel laureate in chemistry,
1920s The technique of pulverizing coal into a fine publishes a critique of standard economic thought for
powder for burning comes into use. This process brings its lack of consideration of how thermodynamics and
advantages such as a higher combustion temperature, other biophysical laws constrain human economic
improved thermal efficiency, and a lower air require- aspirations.
ment for combustion. 1922 The aircraft carrier Hosho enters service in Japan.
This is the first ship to be launched specifically as an
ca. 1920 From his studies of the chemical composition of
aircraft carrier (as opposed to a flight deck being grafted
gasoline, British engineer Harry Ricardo establishes a
on another type of vessel).
measurement system that is the basis of today’s standard
classification of fuels according to octane rating. 1922 The first peer-reviewed, continuously running
Ricardo also makes important improvements to diesel journal pertaining exclusively to energy is published:
and airplane engines. Fuel, The Science and Technology of Fuel and Energy.
early 1920s French engineer Eugene Jules Houdry dis- 1922 The first well of the Hugoton gas field is discovered
covers a revolutionary method for cracking low-grade in southwestern Kansas. This massive field now includes
crude oil into high-test gasoline. In the 1930s he moves acreage in Kansas, Texas, and Oklahoma and is defined
to the United States and works with American oil as the largest natural gas field in North America and the
companies to develop the Houdry process as a large- second largest in the world.
scale commercial enterprise. Later he will also be 1923 Arthur Holly Compton illustrates the dual wave
credited with the invention of the catalytic converter. and particle nature of X rays and gamma rays by
1921 A 4,500 metric ton stockpile of ammonium nitrate showing how their wavelengths increase when they
and ammonium sulfate explodes at a chemical plant in collide with electrons.
Oppau, Germany. The blast and subsequent fire kill 600 1923 California ranks as the leading oil-producing state
people, injure 1,500, and leave 7,000 homeless. in the United States. The foremost site is Signal Hill
1921 Albert Einstein is awarded the Nobel Prize in (Long Beach), which is the richest field in the world
Physics for ‘‘his services to theoretical physics, and based on output per area. Signal Hill will eventually
especially for his discovery of the law of the photo- produce over 1 billion barrels of oil and continues
electric effect.’’ (The citation does not specifically pumping at a rate of 1 million barrels per year into the
mention Einstein’s theory of relativity, though today 1990s.
this is often described as the most important advance in 1923 German chemist Matthias Pier of the BASF
physics since Newton.) corporation develops a process to produce synthetic
Appendix/Chronology 681

methanol. By 1926 U.S. companies such as DuPont will 1924 U.S. biologist Alfred Lotka describes evolution in
also begin synthetic methanol production. energy terms, stating that the advantage goes to
organisms whose energy-capturing devices are more
1923 German coal researchers Franz Fischer and Hans
efficient in directing available energies into favorable
Tropsch discover a method of producing synthetic
conditions for the preservation of the species.
liquid fuel from coal gas. The Fisher–Tropsch process
has significant contemporary applications, such as to 1925 Robert Millikan coins the term ‘‘cosmic rays’’ to
convert biomass into fuel or to utilize associated gas at describe the phenomenon discovered in 1913 by Victor
oil fields. Hess. Millikan, Hess, and others will confirm the
extraterrestrial origins of this radiation.
1923 Hermann Oberth writes The Rocket into Inter-
planetary Space, a book that has been described as the 1925 Scottish inventor John Logie Baird provides the first
first accurate prediction of the events that would unfold true television picture when he transmits live images to
in the Space Age. Later, Oberth’s pupil Wernher Von a screen in an adjoining room. He uses a mechanical
Braun will lead the rocket program of Germany, and scanning system based on Nipkow’s disc of 1884.
that of the United States as well. Baird’s first image is the head of a dummy; he then
televises the face of his young office assistant.
1923 Russian-American engineer Vladimir Zworykin
applies for a patent for his iconoscope, a camera tube 1925 The Magnolia Gas Company builds the first all-
for television broadcasting. Based on this and his welded pipeline, over 200 miles in length, from north-
subsequent kinescope, Zworykin is often described as ern Louisiana to Beaumont, Texas.
the originator of U.S. television, but it is not definitely 1925 Wolfgang Pauli proposes a fourth quantum number
established that he constructed a working system prior for energy levels of atomic electrons and theorizes that
to his viewing the work of Philo T. Farnsworth (see no two electrons with the same quantum number can
1927). occupy the same atom. This theory accounts for the
1923 The first ethyl gasoline in the United States goes on chemical properties of elements.
sale at a gas station in Dayton, Ohio. Leaded gasoline 1925–1927 Werner Heisenberg, Max Born, and later
becomes the dominant fuel for cars, although it is Erwin Schrödinger formulate quantum mechanics, a
eventually shown to be a major health hazard, leading branch of physics that deals with matter at the atomic
to laws that prohibit its manufacture. level. In 1927 Heisenberg states his famous uncertainty
1923 The first oil field in Iraq is discovered in the Naft principle, i.e., that it is impossible to measure both
Khana area. energy and time (or position and momentum) with
completely accuracy at the same time.
1923 The number of coal miners in the United States
reaches a historic high of 705,000. U.S. coal production mid 1920s The practice of filling in wetland areas near
will reach higher levels in the future but with a reduced cities with garbage, ash, and dirt becomes a popular
labor force, due to mechanization. disposal method in Europe and North America.

1924 A conveyor belt is successfully installed in a 1926 Arthur Wood and David Gray of the Corning, New
Pennsylvania anthracite mine to carry coal to a string York Glass Works develop the ‘‘Ribbon’’ machine to
of cars at the mine entry. make light bulbs. Bulbs can be made at speeds of one
thousand per minute.
1924 Dr. H. S. Hele-Shaw and T. E. Beacham of Great
Britain develop a variable-pitch propeller; this allows 1926 Britain is paralyzed when, in support of a strike by
the angle of the propeller blades to be adjusted to suit coal miners over threatened wage cuts, the Trades
different flight conditions while the engine speed Union Congress calls a general strike. The strike ends
remains the same. after nine days due to government emergency measures
and lack of public support. The miners eventually return
1924 Scotsman Daniel Dunlop leads the organization of to work, accepting lower wages and longer hours.
the First World Power Conference in London, among
the first international meetings on energy. The name is 1926 Fritz Winkler introduces a process for commercial
changed to the World Energy Council (WEC) in 1968. fluidized-bed coal gasification at a BASF plant in Leuna,
The WEC remains an important global energy organi- Germany.
zation, with member committees in over 90 countries. 1926 Robert Goddard launches the first rocket propelled
1924 The first seismic discovery of an oil-producing salt by liquid fuel.
dome is made at the Orchard field in Fort Bend County, 1926 The Federal Oil Conservation Board of the United
Texas, using the refraction method. States estimates that the nation has only enough oil to
1924 The first successful oil drilling platform over water last for another six years.
is erected by the Lago Petroleum Company in Lake 1926 Georg Ebert of Germany produces a synthetic
Maracaibo, Venezuela. rubber from butadiene. During the following decade
682 Appendix/Chronology

this evolves into various types of ‘‘buna’’ rubber, so Presidential election, with Franklin D. Roosevelt
named from the two materials used to make them, arguing for consumer-controlled systems.
butadiene and natrium (sodium).
1929 Manufactured gas suppliers in the United States
1927 A huge flow of oil begins at the Baba Gurgur oil annually distribute about 450 billion cubic feet of gas,
fields near Kirkuk, about 140 miles north of Baghdad, more than twice the amount delivered per year prior to
marking the beginning of the oil industry in Iraq. Peak World War I. Over 50% of this is water gas, about 40%
flow rates are estimated at 95,000 barrels per day. This coal gas, and about 6% oil gas.
is at the ancient site where a natural oil spring known as
1929 The first ocean thermal energy conversion (OTEC)
the Eternal Fire burned for centuries.
facility is built by Georges Claude of France in
1927 British ecologist Charles Elton publishes Animal Mantanzas Bay, Cuba. The plant produces 22 kilowatts
Ecology, in which he outlines the importance of feeding of electricity but requires about 80 kilowatts to run its
(energy) relationships among organisms as the basis for equipment.
understanding nature. Elton’s perspective is a precursor
to modern ecological theory. 1929 The first particle accelerator, originally known as
an ‘‘atom-smasher,’’ is devised by John Douglas
1927 Brothers Conrad and Marcel Schlumberger of Cockcroft and Thomas Sinton Walton. The following
France develop the technique of wireline logging as a year Ernest Lawrence expands on their idea to create
method of obtaining downhole data in oil and gas wells. the cyclotron. This leads to studies of the atomic
They commercialize this process and the Schlumberger nucleus and the forces holding it together.
company becomes a leading provider of petroleum
technology services. 1929–1931 The Panhandle Eastern, Northern Natural,
and Natural Gas Pipeline Company of America are
1927 Charles A. Lindbergh flies from New York, United organized to deliver Southwestern gas to Midwestern
States to Paris, France to complete the first solo non- markets.
stop flight across the Atlantic Ocean.
1927 George Lemaitre proposes the earliest version of
what is now known (and generally accepted) as the ‘‘Big
Bang’’ theory of the origin of the Universe.
1927 U.S. inventor Philo T. Farnsworth produces the first
successful transmission of a television image by wholly
1930–1939
electronic means at his San Francisco laboratory. His
‘‘Image Dissector’’ system differs from John Logie ca. 1930 The human population reaches 2 billion.
Baird’s earlier mechanical transmission system, which 1930 British engineer Frank Whittle registers the first
by the early 1930s will be supplanted by electronic patent for a jet propulsion engine. In 1934 Hans von
transmission. Ohain of Germany, working independently of Whittle,
late 1920s The U.S. natural gas industry expands greatly patents a jet engine design similar in concept but
as large new fields are developed in the Southwest and different in internal arrangement. Both inventors go on
California. Eventually natural gas will completely to test their engines successfully in 1937.
replace the older technology of manufactured gas in 1930 German engineer Rudolf Erren presents data on a
the United States. hydrogen engine at the World Power Conference in
1928 A patent is assigned to Marvin Pipkin for an electric Berlin. In the mid-1930s Erren will convert hundreds of
light bulb coated on the inside, which is stronger and gasoline vehicles to run on hydrogen or hydrogen/
has less glare than existing outside-coated bulbs. He gasoline mixtures. Apparently none of these engines
goes on to develop an improved version of this in 1947. survived World War II.

1928 Station WGY of Schenectady, New York begins the 1930 The first analog computer is invented by Vannevar
first regularly scheduled television broadcasting. A half Bush to solve differential equations.
hour program is broadcast three days a week. 1930 The giant East Texas oil field is discovered. It is
1928 The first diesel-electric passenger locomotive in the larger than the next 20 fields in the United States
United States is built by the American Locomotive Co. combined and will become the largest oil-producing site
for use on the New York Central Railroad. in the contiguous United States. The first productive
wells in the area are drilled by promoter Columbus
1928 The U.S. Federal Trade Commission commences a
Marion ‘‘Dad’’ Joiner.
massive four-year investigation of the nation’s private
electric companies. The FTC’s report runs to 84 1930 The Royal Institute of British Architects develops
volumes and documents a vast number of financial the heliodon to help architects determine the potential
abuses. Utility ownership becomes an issue in the 1932 effects of the Sun on new buildings.
Appendix/Chronology 683

1930s Edward A. Birge and Chauncey Juday, American heat and thermal expansion in the Earth’s mantle, he
aquatic scientists, carry out studies to measure the suggests, drive the continents toward or away from one
energy budget of lakes. They develop the idea of another, creating new ocean floors and building
primary production, i.e., the rate at which food energy mountain ranges.
is generated, or fixed, by photosynthesis.
ca. 1931 The Lurgi process for coal gasification is
1930s German architects lead a renaissance in solar developed in Germany.
building during the 1930s that spreads throughout
ca. 1931 U.S. physicist Robert Jemison Van de Graaff
Europe; many of these architects later flee to the United
introduces his electrostatic generator, which is capable
States when the Nazis condemn functional architecture
of producing extremely high voltages. It is a more
as Jewish.
efficient particle accelerator than the earlier Cockroft-
1930s The DuPont Company begins the manufacture of Walton machine. Van de Graaff’s ‘‘atom smasher’’ will
Freon (chlorofluorocarbon or CFC), a substance that play an important role in the early years of nuclear and
does not carry the hazards of earlier refrigerants. Freon particle physics.
leads to much greater consumer use of refrigerators and
1932 After years of speculation, the existence of the
air-conditioners. In the 1990s Freon will be banned
neutron in an atom is demonstrated by James Chad-
because of concerns over its role in the depletion of the
wick. Based on this discovery, Werner Heisenberg
ozone layer.
proposes that an atom nucleus is composed of protons
1930s The first windowless buildings are built, reflecting and neutrons, explaining the existence of isotopes.
the growing dependence on electric lighting in archi-
1932 British engineer Francis Thomas Bacon develops
tecture.
the first practical modern fuel cell. Bacon (a descendant
1930s The Texas Railroad Commission begins to regulate of scientific pioneer Sir Francis Bacon) continues work-
oil drilling, production, and prices in Texas, in an effort ing on this device and eventually produces an effective
to damp the boom-and-bust nature of the industry. The working model in 1959.
TRC will restrain production and thus establish a price
1932 Hermann Honnef of Germany proposes a multi-
floor. Other states follow the TRC’s lead. The power of
turbine wind generator 160 meters wide that would be
TRC wanes in the 1970s as production begins to
capable of 20 megawatt output. He urges the Nazi
decline.
regime to adopt it, but the device is never built.
1931 André Clavier demonstrates the potential value of
1932 John Cockcroft and E. T. S. Walton of Great Britain
microwaves when he uses them for a radio transmission
split the atom on their linear accelerator in Ernest
across the English Channel.
Rutherford’s Cavendish Laboratory at Cambridge Uni-
1931 Auguste Piccard and his associate Paul Kipfer set an versity. Their experiment substantiates Einstein’s theory
altitude record by ascending to almost 52,000 feet in a of relativity.
balloon. This can be considered the first successful flight
1932 The positron, a positively charged electron and the
into the stratosphere; it is one of several flights above
first form of antimatter to be discovered, is detected in
50,000 feet made in the 1930s by Auguste Piccard and
cosmic-ray tracks by Carl David Anderson.
his twin brother Jean.
1933 A team led by Reginald Gibson and Eric William
1931 Ernst Ruska of Germany designs the first electron
Fawcett discover polyethylene, one of the earliest
microscope; he then builds a working model of this in
plastics to come into common use.
collaboration with his mentor Dr. Max Knoll.
1933 Edwin Armstrong demonstrates his frequency
1931 French engineer Georges J. M. Darrieus patents a
modulation (FM) system for the almost static-free
new type of wind turbine with a distinctive ‘‘eggbeater’’
transmission of radio waves; FM is one of many
or ‘‘skipping rope’’ design. This becomes known as a
fundamental advances in radio broadcasting credited
vertical axis wind turbine (VAWT).
to Armstrong.
1931 Harold Hotelling of the United States publishes the
1933 King Abdel Aziz ibn Saud of Saudi Arabia
economic theory of the optimal depletion of nonrenew-
establishes an agreement with Standard Oil of Califor-
able resources, which is still the dominant paridigm
nia (Chevron) to develop the oil resources of the
today in economics.
country’s Eastern Province. In 1936 Texas Oil (Texaco)
1931 U.S. chemist Harold Clayton Urey devises a method joins the venture and it is named the Arabian-American
for the concentration of any possible heavy hydrogen Oil Company, or Aramco. It grows to become the
isotopes by the fractional distillation of liquid hydrogen; largest oil company in the world.
this leads to the discovery of deuterium.
1933 The Texas Company introduces the submersible
ca. 1931 English geologist Arthur Holmes provides the drilling barge for oil exploration on the Gulf Coast of
energetic explanation of continental drift. Currents of Louisiana; this allows drilling to be done on the bottom
684 Appendix/Chronology

of coastal marshes without the need to sink pilings and 1936 British mathematician Alan Turing publishes a
build a platform. paper describing an abstract device (Turing machine),
1933 The U.S. Congress passes legislation to create the which ‘‘can be made to do the work of any special-
Tennessee Valley Authority (TVA), beginning a period purpose machine, that is to say to carry out any piece of
of large hydropower projects in the eastern United computing, if a tape bearing suitable ‘instructions’ is
States. Electricity provided by the TVA will be crucial to inserted into it.’’ This is often described as a prediction
the U.S. industrial effort in World War II. of the modern computer.

1934 Enrico Fermi of Italy irradiates uranium with 1936 Hoover Dam (Boulder Dam) is completed at Black
neutrons and believes he has produced the first Canyon on the Colorado River between Arizona and
transuranic element. Later it will be recognized that Nevada, one of the major engineering feats of modern
the reaction produced by this neutron bombardment times and the source of much of the electric power
actually is atomic fission. consumed in the Southwest.
1934 Husband and wife team Frederic and Irene Joliot- 1936 Japanese television pioneer Kenjiro Takayanagi
Curie develop the first artificially radioactive element, builds an all-electronic television set with 245 scanning
an isotope of phosphorus. lines. Earlier Takayanagi had transmitted an image on a
1934 The Technocracy Movement in the United States Braun electric tube (1926) and had demonstrated a
argues that the antidote to the Great Depression is to cathode ray tube system (1928).
replace politicians with scientists and engineers who have 1936 The airship Hindenburg becomes the largest air-
the technical expertise to manage the nation’s economy craft ever to fly, at more than 800 feet long and 135 feet
and natural resources. Technocrats use growth and in diameter. After making several transatlantic trips, the
decline curves to predict a wide range of societal trends. Hindenburg catches fire on May 6, 1937 while making
1935 British scientist A. G. Tansley proposes the word a landing at Lakehurst, New Jersey. Thirty-five people
ecosystem as a descriptive term for the fundamental are killed and this tragedy effectively ends the use of
ecological unit. airships for passenger transportation.
1935 Charles Richter invents a scale to measure the 1936 The Rural Electrification Act is signed into law by
strength of earthquakes. President Franklin D. Roosevelt to address the fact that
1935 Scottish engineer Robert Alexander Watson-Watt (a rural America is still largely without electricity. Within
descendant of James Watt) uses microwaves to devise a two years cooperative projects financed by the REA will
radio detection and ranging system, better known as provide electricity to 1.5 million farms, and by the mid-
radar. By the outbreak of World War II Britain has a 1950s virtually all American farms will be electrified.
chain of radar stations along the east and south coast of 1937 Carl David Anderson discovers the muon, a
England. subatomic particle larger than an electron but smaller
1935 The first era of electric vehicles in the United States than a proton.
ends when Detroit Electric, the best known company in
1937 Lockheed Aircraft produces the first airplane with a
the field, stops production after 30 years in business
fully pressurized cabin, a modified version of its Electra
(though orders will still be taken into the early 1940s).
model.
Reportedly Clara Ford, wife of Henry Ford, drove a
Detroit Electric car rather than a Ford because she 1937 Theodor Dobzhansky publishes Genetics and the
disliked gasoline-powered cars. Origin of the Species, providing the link between
1935 The first isotope of uranium, U-235, is discovered Darwin’s evolutionism and Mendel’s theory of mutation
by Arthur Jeffrey Dempster. in genetics.
1935 The General Electric Company introduces the first 1938 Commercial quantities of oil are discovered at the
fluorescent lamp. Burqan field in southern Kuwait. In the same year
Aramco makes a major discovery at the Dammam field
1935 The U.S. Bureau of Reclamation authorizes funding
in Saudi Arabia.
for California’s Central Valley Project, a long-term plan
for use of the water of the Sacramento River basin. 1938 Congress enacts the Natural Gas Act, giving the
1935 Wallace Carothers of DuPont discovers a strong Federal Power Commission the authority to regulate
polyamide fiber that resists both heat and solvents; this commercial activity in the U.S. natural gas industry.
is named Nylon and it quickly comes into widespread 1938 G. S. Callendar publishes The Artificial Production
use, most notably for women’s stockings and then later of Carbon Dioxide and Its Influence on Climate, in
in many military applications. which he directly implicates fossil fuel combustion as an
1936 American astrophysicist Charles Greeley Abbott agent of climate change. He is largely ignored or derided
invents an efficient solar boiler. for this claim, but history proves him to be prophetic.
Appendix/Chronology 685

1938 Otto Hahn and his associates Lise Meitner and ground assaults (blitzkreig), aircraft carriers, rocket
Fritz Strassman of Germany are the first to split a bombs, jet planes, and most notably, nuclear weapons.
uranium atom, although they hesitate to call their New technologies include radar, sonar, battlefield
success nuclear fission. radios, and electronic coding/codebreaking devices.
1938 The Bonneville Dam is completed on the Columbia
River about 40 miles of Portland, Oregon, and begins
supplying power to the Pacific Northwest.
1938 The British steam locomotive Mallard reaches a
speed of 126 miles per hour (201 kph) running on a 1940–1949
downward grade in Lincolnshire, England. This still
stands as the world speed record for a steam locomo- 1940 Martin Kamen and Samuel Ruben, chemists at the
tive. University of California, Berkeley, use a cyclotron to
1939 Franklin D. Roosevelt receives a letter from Albert bombard a graphite target with a beam of deuterium
Einstein (written with Leo Szilard) that describes the nuclei. The result is carbon-14, which, with a half-life of
possibility of an extremely powerful uranium bomb. 5,000 years, becomes a powerful tool to trace carbon’s
Einstein calls for ‘‘watchfulness, and if necessary, quick movement through photosynthesis and many other
action on the part of the Administration.’’ He urges biochemical processes.
FDR to provide government support for Fermi and 1940 The American Association of Oilwell Drilling
colleagues in their work on chain reactions. Contractors is founded in Dallas, Texas; it is now
1939 Hans Bethe recognizes that the fusion of hydrogen known as the International Association of Drilling
nuclei to form deuterium releases energy. He suggests Contractors (IADC).
that much of the energy output of the Sun results from 1940 The first residential use of geothermal energy for
nuclear fusion reactions. space heating begins in the Moana area of Reno,
1939 John Randall and Henry Boot develop a resonant- Nevada.
cavity magnetron, providing a microwave transmission 1940 W. G. Templeman observes the effects of naphthal-
system for radar that is a significant advance on the acetic acid, a highly selective compound that is toxic to
existing meter-wave system. broad-leafed plants but less harmful to grasses. This
leads to the development of the herbicide 2,4-D in 1944,
1939 The first jet airplane takes flight with a turbojet
which revolutionizes weed control in cereal plants.
engine developed by Hans von Ohain of Germany. This
is followed by a 1941 flight by a British jet developed by 1940s Important new industrial materials are developed,
Frank Whittle. such as polyethylene (electrical insulation and food
packaging), silicones (lubricants, protective coatings,
1939 The first practical gas turbine used to generate
and high-temperature electronic insulation), and epoxy
electricity operates at Neuchatel, Switzerland, devel-
(a very strong adhesive).
oped by the Brown Boveri Company.
1941 After Japan seizes part of Indochina, the United
1939 The Packard Motor Car Company of Detroit
States responds by freezing Japanese assets. This leads
engineers the first air-conditioned automobile.
to sanctions against the sale of American oil to Japan (at
1939 The VS-300, the first workable single-rotor heli- the time about 75% of Japan’s oil supply came from the
copter, is produced by Russian-American aeronautical United States). Following this the Dutch government in
engineer Igor Sikorsky, following other important exile in London bars the sale of oil to Japan from the
advances made by French aviation pioneers Louis Dutch East Indies (Indonesia).
Breguet and Rene Dorand (1935) and by Germans
1941 Having been denied access to oil supplies from the
Heinrich Focke and Gerd Achgelis (1936). Sikorsky’s
United States and the Dutch East Indies, the Japanese
craft makes its first free flight in 1940.
government concludes that if existing conditions con-
1939–1942 John Vincent Atanasoff of Iowa State Uni- tinue they will run out of oil within a short time. This is
versity collaborates with his graduate student Clifford cited by historians as probably the chief reason for
E. Berry to develop the first digital electronic computer. Japan’s decision to launch a surprise attack on the U.S.
Though the better-known ENIAC machine (see 1946) is naval base at Pearl Harbor (December 7th).
often given this honor, a 1973 court decision found that
1941 Nazi Germany surprisingly invades the Soviet
the design of ENIAC was based on the earlier work of
Union, after having formed a nonaggression pact with
Atanasoff.
the Soviets just two years earlier. The primary military
1939–1942 World War II rages around the globe. As in objective of this operation is to capture the valuable
World War I, new forms of warfare come into use, such Caucasus oil fields, since Germany’s own supply is
as large-scale bombing of cities, combined aerial and relatively meager and dependent on synthetic oil.
686 Appendix/Chronology

1941 On a hilltop in Rutland, Vermont known as territories and possessions.’’ The PAW rations civilian
‘‘Grandpa’s Knob,’’ a 1.25 megawatt wind generator petroleum use to insure adequate military supplies. The
provides power to the local grid during the World War PAW is terminated in 1946.
II era. This is considered the first use of wind energy to
1942 Ulrich Hütter of Germany writes a graduate thesis
supply public power on a large scale.
in which he provides the first statement of the
1941 Plutonium, a new element, is identified by chemist theoretical basis for modern wind turbines.
Glenn Seaborg and his team at the University of
1942 Under the football stands of Stagg Field at the
California, Berkeley. Seaborg will discover 10 atomic
University of Chicago, Enrico Fermi leads a team of
elements in all, including one that now bears his name.
scientists in successfully creating the first controlled
Forms of plutonium become the main explosive
nuclear chain reaction. This development will lead
ingredient of nuclear bombs and an important energy
directly to the assembly and detonation of an atomic
source for nuclear power reactors.
bomb.
1941 Russell Ohl of the Bell Laboratories (United States)
discovers that semiconductors can be ‘‘doped’’ with 1942–1944 Because transporting oil by sea is endangered
small amounts of foreign atoms to create interesting by German submarines, the United States constructs the
new properties. He develops the first silicon solar cell Big Inch and Little Big Inch pipelines to carry oil from
that converts available light into electrical energy. East Texas to the northeastern United States, a distance
of about 1,500 miles.
1941 The first commercial plant for liquefied natural gas
(LNG) is built in Cleveland, Ohio. 1943 A patent dispute stretching over a half century is
finally resolved when the U.S. Supreme Court strikes
1942 A team of inventors at Exxon’s Research and down the Guglielmo Marconi patent of 1904 for the
Engineering Company develop the technique known invention of radio in favor of Nikola Tesla’s 1897
as fluid catalytic cracking, a process that now produces patent.
over half of the world’s gasoline.
1943 DDT, a powerful and effective pesticide, comes into
1942 Aquatic scientist Raymond Lindeman studies Cedar
widespread use. At first DDT is hailed as a miraculous
Creek Bog, a senescent lake in Minnesota, and describes
advance and its developer, Paul Müller of Switzerland,
the area in a classic paper titled ‘‘The Trophic-Dynamic
wins the Nobel Prize in 1948. However, DDT later is
Aspect of Ecology’’ (published after his death at the age
targeted as harmful to wildlife (see 1962), and
of 27). Lindeman’s analysis establishes trophic dy-
eventually its use will be widely banned.
namics as the energetic basis of modern ecology.
1942 General Leslie R. Groves is appointed to head what 1943 Los Angeles, California experiences its first recog-
becomes known as the Manhattan Project, the top- nized episode of smog as visibility is reduced to three
secret effort by the United States to build an atomic blocks and people suffer from eye irritation, breathing
bomb before the Germans can do so. difficulty, and nausea. Fearful citizens at first believe the
city is undergoing a gas attack, but eventually a wartime
1942 On the Baltic coast of Germany at Peenemunde, synthetic rubber plant is identified as the pollution
Wernher von Braun launches the A-4 rocket. Breaking source.
the sound barrier, it reaches an altitude of 60 miles. This
is the world’s first launch of a ballistic missile and the 1943 The Rockefeller Foundation establishes the pre-
first rocket to ascend to the fringes of space. cursor to the International Maize and Wheat Improve-
ment Center in Mexico, providing the research thrust on
1942 Swedish physicist Hannes Alfven argues that an high-yield variety crops that will eventually launch the
electromagnetic wave can propagate through a highly Green Revolution.
conducting medium. This discovery eventually forms
the basis of magnetohydrodynamics (MHD), which 1943 The Soviet Union sets up a nuclear research
studies the motions of electrically conducting fluids, program under the direction of physicist Igor Kurcha-
such as plasmas and liquid metals, and their interactions tov, with the goal of building an atomic bomb.
with magnetic fields. 1943 The U.S. Army Air Force begins a series of large-
1942 The Grand Coulee Dam is completed in Washing- scale raids on Ploesti, Romania, a city that Sir Winston
ton, United States to harness the power of the great Churchill calls ‘‘the taproot of German might’’ because
Columbia River. It is the largest hydroelectric dam in it is where the Nazi war machine obtains much of its oil.
the world at this time (in fact the largest concrete When the Ploesti refineries are finally rendered inop-
structure of any kind), and still remains the largest dam erative in late 1944, there is virtually no fuel left for the
in North America. German military.
1942 The Petroleum Administration for War (PAW) is 1943 U.S. anthropologist Leslie White proposes that like
established to assure ‘‘the most effective development biological systems, cultures evolve around the strategies
and utilization of petroleum in the United States and its that they use to exploit energy.
Appendix/Chronology 687

1944 Based on experiments with pneumococci, Oswald place since 1942. In Britain fuel rationing will not end
T. Avery determines that DNA is the material carrying until 1950.
genetic properties in nearly all living organisms.
1945 The Food and Agriculture Organization (FAO) is
1944 In FPC v. Hope Natural Gas Co., the U.S. Supreme formed by the United Nations, with a mandate to raise
Court rules that a regulatory body may fix rates, levels of nutrition and standards of living, improve
provided the return to the utility company is ‘‘just and agricultural productivity, and better the condition of
reasonable’’ to allow it to operate successfully and rural populations.
compensate investors for the risks they assume. FPC v.
1946 Architect Arthur Brown designs the world’s first
Hope becomes the basis for most U.S. court decisions
solar-heated public building, the Rose Elementary
on energy pricing regulation.
School in Tucson, Arizona. It obtains over 80% of its
1944 Massachusetts Institute of Technology professor heat from solar energy for the next decade.
Maria Telkes designs a portable, solar-powered sea-
1946 In return for the withdrawal of Soviet troops
water distiller for the life rafts of pilots shot down over
occupying its northwestern provinces, Iran makes a
the ocean. Telkes will develop many solar-powered
long-term agreement to provide oil to the Soviet Union.
devices, including the first residential solar heating
However, the following year the Iranian parliament
system in 1948.
nullifies this agreement.
1944 President Franklin D. Roosevelt writes to Winston
Churchill that the U.S. concern with maintaining a 1946 John W. Mauchly and J. Presper Eckert demon-
sufficient oil supply is not a sign that he is ‘‘making strate an electronic digital computer at the University of
sheep’s eyes (looking with envy) at your oil fields in Iraq Pennsylvania. ENIAC (Electronic Numerical Integrator
or Iran.’’ Churchill responds in kind, ‘‘We have not and Computer) uses punched cards for input and output
thought of trying to horn in upon your interests and data, contains 17,000 vacuum tubes, weighs over 30
property in Saudi Arabia.’’ tons, and occupies 1,500 square feet of space.

1944 Tennessee Gas and Transmission Company com- 1946 The Magnolia Petroleum Company (later part of
pletes a pipeline to bring natural gas from Texas to Mobil) builds an oil drilling platform in the Gulf of
Appalachia to fuel wartime industry. Mexico off the coast of Louisiana, considered the first
oil exploration effort in open ocean waters. It is a dry
1944 The first full-scale nuclear reactor begins operation hole, but the following year Kerr-McGee brings in a
at the U.S. Army’s Camp Hanford (Richland, Washing- producing well in the same area.
ton). Hanford is part of the Manhattan Project and
produces plutonium for use in an atomic bomb. 1946 The U.S. Atomic Energy Act is signed into law by
President Harry Truman. It establishes the Atomic
1944 The Shasta Dam is completed in northern Califor- Energy Commission (AEC), a civilian body to control
nia after six years of construction. The waters of the nuclear weapons development and explore peaceful uses
Sacramento, McCloud, and Pit rivers, plus dozens of of nuclear energy.
smaller streams, back up to create Lake Shasta.
1946 The United States carries out the first subsurface
1944 Wernher von Braun’s A-4 rocket is renamed the V-2 detonation of a nuclear weapon at Bikini Atoll in the
and converted to a combat weapon. The V is for Pacific, followed by demonstrations in Times Square,
‘‘Vergeltung’’ (revenge), since this is Hitler’s retaliation New York against nuclear testing.
against Allied bombing of German cities. When the first
V-2 hits London, von Braun is said to have remarked, 1947 Barium titanate is the first piezoelectric (electricity
‘‘The rocket worked perfectly, except for landing on the produced by mechanical pressure) ceramic to be used
wrong planet.’’ commercially, in its application as a phonograph needle.
1945 The Atomic Age begins, and the U.S. Manhattan 1947 Cecil Frank Powell discovers the pion, a particle
Project reaches its goal, on July 16th at a test site at with mass between that of electrons and protons that
Alamogordo, New Mexico. A team of scientists headed interacts with neutrons and protons in the atomic
by J. Robert Oppenheimer detonate the world’s first nucleus. It is believed to be the meson-particle predicted
nuclear explosive. by Hideki Yukawa 12 years earlier.
1945 The atomic bomb nicknamed Little Boy is dropped 1947 The coal industry of Great Britain is completely
on Hiroshima, Japan on August 6th. Three days later, nationalized under the auspices of the National Coal
another bomb, Fat Man, is dropped on Nagasaki, Board.
Japan. The first bomb is uranium-235 based and the 1947 The Grandcamp, a barge loaded with fertilizer
other is plutonium-based. Japan surrenders on August grade ammonium nitrate, catches fire and explodes,
15, ending World War II. destroying a nearby city and killing an estimated 570
1945 The end of gasoline rationing in the United States is people in what would later become known as the
announced after the surrender of Japan; this had been in ‘‘Texas City Disaster.’’
688 Appendix/Chronology

1947 The microwave oven is introduced by Raytheon, make Americans generally aware of the health hazards
which developed the device after one of the company’s of air pollution.
engineers, Dr. Percy Spencer, accidentally discovered
1949 A major advance is made in the measurement of
that the candy bar in his pocket had melted due to
time with the development of the first atomic clock,
microwave energy. Microwave ovens for the home are
designed by Dr. Harold Lyons of the National Bureau of
introduced in the early 1950s and by the mid-1970s
Standards in 1949, using a molecule of ammonium.
their sale will surpass that of gas ranges.
1949 The first natural gas deliveries to the New York
1947 The Texas Eastern Transmission Corporation pur- City area arrive at Staten Island through the New York
chases the Big Inch and Little Big Inch and begins the and Richmond Gas Company.
process of converting them from oil to natural gas.
1949 The Soviet Union’s first atomic bomb (known as
1947 The U.S. Atomic Energy Commission establishes Joe-1) is detonated at Semipalatinsk, Kazakhstan. It is a
the Brookhaven National Laboratory, a major research copy of the Fat Man bomb that the United States
facility on eastern Long Island, New York. dropped on Nagasaki, Japan, with a yield of 21
1947 U.S. Air Force test pilot Charles E. ‘‘Chuck’’ Yeager kilotons. The nuclear arms race between the United
flies the Bell X-1 rocket plane faster than the speed of States and the Soviets is now underway.
sound, becoming the first pilot to break the sound
barrier.
1947 Willard Frank Libby introduces a method of dating
archaeological objects by determining the concentration
of radioactive carbon-14 in the item of interest. 1950–1959
1948 Carl Nielsen of Ohio State University is credited
with building the first ground-source heat pump. 1950 Alan Turing proposes the Turing Test as a means of
1948 George Gamow, Ralph Alpher, and Robert Herman determining whether a machine can be described as
formulate the Big Bang theory, explaining the origin of intelligent. He suggests that computers should be able
the universe in terms of a huge explosion producing a ‘‘learn’’ from experience and then modify their activity
burst of energy. accordingly; this provides the basis for the field of
artificial intelligence.
1948 John Bardeen, William Shockley, and Walter
1950 Great Britain’s first plutonium production reactor,
Brattain, scientists at the Bell Telephone Laboratories
Windscale’s Number 1 Pile, begins operation.
in Murray Hill, New Jersey, demonstrate the first
transistor, a device composed of semiconductor material 1950 Oil begins to flow through the Trans-Arabian
that can both conduct and insulate. By 1952, transistors Pipeline (Tapline). Oil fields in Saudi Arabia are now
are being used in radios and hearing aids. linked with the Mediterranean Sea at Sidon, Lebanon,
over 1,000 miles away. The pipeline greatly reduces the
1948 Norbert Weiner publishes Cybernetics, a detailed
number of tankers required to transport oil around the
account of the mathematics of communication and a
Arabian Peninsula through the Suez Canal to the
forerunner of computer science.
Mediterranean.
1948 The basic-oxygen steelmaking process comes into
1950 Russian scientists Andrei Sakharov and Igor Tamm
use in Switzerland (Linz-Donawitz process).
present an idea for a controlled thermonuclear fusion
1948 The first nuclear reactor in France, the Zoe, begins reactor, the Tokamak (abbreviated from the Russian
operation at Fontenay-aux-Roses, using uranium from term for Toroidal Chamber with Magnetic Coil). The
the Belgian Congo. Tokamak design becomes one of the most popular in
1948 The first successful continuous miners are intro- subsequent fusion energy research.
duced in U.S. underground coal mining. These machines 1950 The first European offshore oil well is drilled 1.5
break up the coal with huge bits or teeth, eliminating miles from land in the North Sea at the mouth of the
the need for blasting, and then load the broken coal Elbe River in Cuxhaven, Germany.
directly into shuttle cars.
ca. 1950 Oil has replaced coal as the dominant fuel in the
1948 The Ghawar Field is discovered in Saudi Arabia; it U.S. economy, as the discovery of cheap, abundant oil
is the largest conventional oil field in the world (about and the development of the internal combustion engine
80 billion barrels). cause the coal-fired steam engine to be abandoned. Coal
thereafter is used almost exclusively in power genera-
1948 Twenty people die when a ‘‘killer fog’’ hovers over
tion and steel production.
Donora, Pennsylvania. About 7,000 others are hospita-
lized or become ill, about half the population of the early 1950s Home ownership of a television set becomes
entire town. This is described as the first incident to commonplace in the United States.
Appendix/Chronology 689

1951 At the National Reactor Testing Station in Arco, 4,000 people die from respiratory ailments within the
Idaho, the Experimental Breeder Reactor I (EBR-1) following week. This leads to major reforms in air
becomes the first nuclear reactor in the world to quality controls for Britain.
produce useable quantities of electric power, lighting
1952 The keel for the U.S. Navy’s first nuclear sub-
four 100-watt light bulbs.
marine, Nautilus, is laid at Groton, Connecticut.
1951 Mauchly and Eckert follow up on their ENIAC Nautilus is launched in 1954 and will set many records
computer by creating UNIVAC I, the first electronic for submerged speed and distance traveled.
computer to store data on magnetic tape and to be
1953 Britain and the United States take part in Operation
mass-produced.
Ajax, a plan to oust nationalistic Iranian Premier
1951 Philip Edwin Ohmart of Cincinnati, Ohio invents Mohammed Mossadegh. The coup succeeds and the
the radioactive cell, a battery that converts nuclear pro-Western Reza Shah Pahlavi establishes a new oil
energy to electrical energy. consortium that restores Iran’s oil to the West. The
1951 The first full-fledged offshore drilling in the Persian United States then replaces Britain as the major foreign
Gulf is carried out in 19 feet of water, 3 miles from player in the Iranian oil industry.
shore, and 20 miles south of Ras del Misha’ab. 1953 Discovery of the Great Global Rift in the Atlantic
1951 The first mechanized U.S. longwall mining system is Ocean by Maurice Ewing and Bruce Charles Heezen
in use; longwall is a high-extraction method in which a establishes the study of plate tectonics and revolution-
large rectangular block of coal is isolated and then izes geology.
extracted in a single continuous operation by an 1953 Eugene P. Odum of the University of Georgia
automated cutting head moving parallel to the coal face. publishes Fundamentals of Ecology, with the aid of his
1951 The Iranian parliament votes to nationalize Iran’s brother Howard. This is the first textbook in the field; it
oil industry; oil production then comes to a virtual employs a ‘‘top-down’’ approach starting at the
standstill as British technicians leave the country. In ecosystem level and describes energy as a currency
response to Iran’s action, Britain imposes a worldwide shared among the Earth’s various life forms.
embargo on the purchase of Iranian oil, freezes Iran’s 1953 James Watson of the United States and Francis
sterling assets, and bans the export of goods to Iran. Crick of Britain describe the double-helical structure of
1952 A group led by Edward Teller develops and DNA, leading to a revolution in the science of biology.
explodes a hydrogen bomb at the Eniwetok atoll, in 1953 President Dwight D. Eisenhower, in a famous
the Marshall Islands of the Pacific. This is the first ‘‘Atoms for Peace’’ speech, proposes to the General
thermonuclear device to employ the enormous power of Assembly of the United Nations the creation of an
nuclear fusion. It is described as 700 times more organization to promote the peaceful use of nuclear
powerful than the atomic bomb dropped on Hiroshima energy; this eventually leads to creation of the Interna-
in 1945. tional Atomic Energy Agency.
1952 Britain’s De Havilland Comet becomes the first 1953 Prime Minister Winston Churchill authorizes the
commercial jetliner, with a flight from London to South development of Calder Hall in West Cumbria, a
Africa. However, crashes due to metal fatigue then complex of four reactors that is the world’s first
cause the plane to be grounded for several years, and by commercial nuclear power facility. Queen Elizabeth
the late 1950s two U.S. rivals, the Boeing 707 and officially opens the first of these in 1956.
Douglas DC-8, take over the lead in commercial jet
service. 1953 The British begin nuclear testing at the Maralinga
nuclear test site, a tract of Aboriginal land in the state of
1952 Canada’s Chalk River nuclear reactor experiences a
South Australia. The area will later be the target of a
potential calamity when human error causes an unin-
massive clean up campaign.
tended reaction. The resulting explosion blows the four-
ton lid off the reactor, spurting radioactive water and 1953 The deepest known well dug by means of cable tool
setting off warnings of lethal radiation levels. Fortu- drilling, normally used for wells a few hundred feet
nately the building is evacuated and there are no deep, is completed when the New York Natural Gas
casualties. Corporation drills a well to a depth of 11,145 feet.
1952 The first offshore well in California with no 1953 The EBR-I reactor demonstrates the feasibility of
connection to land is drilled, in 45 feet of water 1.5 the breeder reactor concept; a team led by Walter Zinn
miles offshore from Seal Beach. shows that uranium can be ‘‘bred,’’ or transformed, into
plutonium, thus making it possible to use virtually all of
1952 The Great Smog of London occurs after an
the energy in natural uranium.
exceptionally cold winter forces homes and factories
to burn large quantities of coal. A temperature inversion 1953 The first gas-turbine, propane-fueled locomotive is
forms, trapping pollutants above the ground. More than placed in service by the Union Pacific Railroad.
690 Appendix/Chronology

ca. 1953 Architect Frank Bridgers designs the Bridgers- 1955 Geneva, Switzerland hosts the first United Nations
Paxton Building in Albuquerque, New Mexico; this is International Conference on the Peaceful Uses of
the first office building to use passive solar heating. Atomic Energy. About 1,500 delegates attend, repre-
senting 73 countries.
1954 Charles Townes and Arthur Schawlow invent a
highly precise timing device called the maser (micro- 1955 Lewis Strauss, chairman of the U.S. Atomic Energy
wave amplification by stimulated emission of radiation). Commission, predicts that electricity produced by
This is a forerunner of the laser, which Townes and nuclear power will soon be so abundant that ‘‘It is not
Schawlow describe in theory in 1958 but do not too much to expect that our children will enjoy in their
actually produce (see 1960). homes electrical energy too cheap to meter.’’
1954 Gerald Pearson, Calvin Fuller, and Daryl Chapin, 1955 The Atomic Energy Basic Law is passed in Japan,
researchers at New Jersey’s Bell Laboratories, develop a limiting the use of nuclear technology to peaceful
method of producing electricity directly from sunlight, purposes. Japan imports its first commercial nuclear
using an array of silicon-based solar cells. power reactor from the United Kingdom and begins
1954 President Dwight Eisenhower signs the first major power production in 1966. By 2000, Japan gets about
amendment of the original Atomic Energy Act, giving one-third of its power from nuclear plants.
the civilian nuclear power program further access to 1955 The first World Symposium on Solar Energy is held
nuclear technology. in Phoenix, Arizona, where engineers and scientists
1954 Researchers at RCA describe the photovoltaic effect from around the world assemble to review the current
in cadmium sulfide; eventually a large segment of the state of the field. Accompanying this meeting is an
solar energy industry will use cadmium in its photo- exhibition, ‘‘The Sun at Work,’’ attended by about
voltaic modules. 30,000 people.

1954 South African Synthetic Oil Limited begins opera- 1955 W. Fred Cottrell, a sociologist at Miami (Ohio)
tion of SASOL One, the first civilian coal-to-fuel plant University, is the first to comprehensively apply the
in the world. concept of net energy and energy surplus to the analysis
of economic and social development.
1954 The Association for Applied Solar Energy (AFSE) is
founded in the United States to encourage the use of mid-1950s Many factories now employ electrostatic
renewable energy. The organization later becomes precipitators to filter out some pollutants from smoke-
known as the American Solar Energy Society (ASES). stack emissions before they reach the atmosphere.

1954 The first purpose-built submersible drilling unit is mid-1950s Various workers in the United States and
used in the Gulf of Mexico by Odeco (Offshore Drilling Europe report that bundles of glass fiber can be used for
and Exploration Company). image transmission. One of them, Indian-born research-
er Narinder Singh Kapany, reportedly coins the phrase
1954 The Soviet Union begins operation of the first ‘‘fiber optics’’ to describe this technology.
nuclear reactor built for the peacetime production of
power at the Obninsk plant. It is known as AM-1, with 1956 At the urging of President Eisenhower, the U.S.
the letters being a Russian-language acronym for Congress enacts the Federal Aid Highway Act, a
‘‘peaceful atom.’’ program of interstate highway construction that greatly
expands the U.S. network of modern roadways.
1954 The U.S. Supreme Court rules that interstate
Originally conceived as a system of military transport,
natural gas producers are subject to regulation by the
its eventual effect will be to ensure the demise of the
Federal Power Commission. An era of regulated gas
railroad as a major form of interstate transportation.
prices is established, based on the cost of providing gas
rather than its market value. This keeps prices low, 1956 British engineer Christopher Cockerell invents the
encouraging demand, but it discourages exploration Hovercraft, a vessel that travels over water on a cushion
and thus contributes to shortages in the 1970s. of air.
1954 UNESCO (United Nations Educational, Scientific 1956 Celilo Falls, a traditional Indian salmon fishing site,
and Cultural Organization) and the government of is flooded by the waters of The Dalles Dam on the
India sponsor a symposium on solar and wind power in Columbia River. This leads to controversy over the
New Delhi. conflict between tribal rights and hydropower develop-
ment.
1955 Arco, Idaho, population about 1,300, becomes the
first town in the United States to receive its entire supply 1956 French engineer Felix Trombe develops the Trombe
of power from a nuclear source. The experimental wall, a solar collector consisting of a south-facing glass
boiling water reactor BORAX-III produces approxi- wall with an air space between it and a blackened
mately 2,000 kilowatts of electrical power for about concrete wall. The blackened wall is heated by sunlight
two hours. passing through the glass, and it then releases heat,
Appendix/Chronology 691

causing warm air to rise in the space between the glass does not come into use until the 1970s and to date it has
and the concrete. not had a major commercial impact.
1956 The Atomic Energy Commission (AEC) authorizes 1957 IBM introduces the Model 608 computer, the first
construction of the world’s first two large, privately solid-state computer for the commercial market.
owned nuclear power plants, one at Indian Point, New 1957 Japanese physicist Leo Esaki discovers the tunnel
York and the other in Grundy County, Ilinois. diode, a high-speed current-switching device that is the
1956 The first transatlantic telephone cable is laid first semiconductor quantum electron structure.
between Newfoundland and Scotland; this links the 1957 Melvin Calvin, a U.S. chemist, uses radioactive
phone networks of Canada and the United States with carbon-14 to map the complete route that carbon
the United Kingdom, and, via London, with various travels through a plant during photosynthesis, starting
nations on the European continent. from its absorption as atmospheric carbon dioxide to its
1956 The National Academy of Sciences in the United conversion into carbohydrates and other organic
States recommends deep geologic disposal of the long- compounds. This becomes known as the Calvin Cycle.
lived, highly radioactive wastes from nuclear reactors, 1957 Nobel laureate Linus Pauling writes and lectures on
suggesting that buried salt deposits and other rock types the dangers posed by nuclear fallout for human life and
be investigated for permanent repositories. the environment. In the following year he presents a
1956 The Suez Crisis erupts as Israel, supported by petition to the United Nations opposing further nuclear
Britain and France, attacks Egypt after that country weapon testing, signed by more than 11,000 scientists
nationalizes the Suez Canal. The crisis ends when the from 49 different countries.
United States and the Soviet Union force a cease-fire. 1957 Novelist Jack Kerouac publishes On the Road; it
The resulting loss of prestige and influence for Britain is becomes a best seller and eventually will be known as
often described as the final step in her decline as a the ‘‘Bible of the Beat Generation.’’ The author’s
colonial power. memorable descriptions of marathon car trips across
1956 To retaliate for the actions of Britain and France the American continent epitomize the love affair
against Egypt in the Suez War (see above), King Saud of between mid-century Americans and their automobiles.
Saudi Arabia cuts off oil supplies to Britain and France. 1957 Oil is discovered at Alaska’s Kenai Peninsula near
This marks the first time such a step is taken by an Arab the Swanson River, the first significant oil discovery in
state. the state.
1956 U.S. geologist Marion King Hubbert predicts that 1957 Power from a civilian nuclear unit is generated for
oil production in the lower 48 states will peak in around the first time by the Sodium Reactor Experiment at
1970, which in fact it does. Hubbert’s work becomes a Santa Susana, California. The unit provides power until
lightning rod for debate about oil supplies for decades 1966.
to come.
1957 Roger Revelle of the United States and Hans Suess
1956–1957 Engineer Johannes Juul develops the first of Austria demonstrate that carbon dioxide has
alternating current windmill for the electricity company increased in the atmosphere as a result of the use of
SEAS at the Gedser coast in southern Denmark. For fossil fuels. Revelle concludes that ‘‘Human beings are
many years the Gedser turbine remains the largest in the now carrying out a large scale geophysical experiment
world. of a kind that could not have happened in the past nor
1957 A converted version of the U.S. B-57 military be reproduced in the future.’’
aircraft flies with power from a liquid hydrogen fuel 1957 The cooling system of a radioactive waste contain-
system. ment unit malfunctions and explodes at a nuclear
1957 A reactor fire at England’s Windscale (Sellafield) facility in Chelyabinsk province of the Soviet Union.
nuclear power plant burns out of control for about 24 About two million curies are released, exposing a
hours. An estimated 20,000 curies of radioactive iodine quarter of a million people to radiation. The facility
escapes along with other isotopes such as plutonium, also is responsible for decades of dumping that release
caesium, and the highly toxic polonium. Prime Minister large amounts of radiation.
Macmillan orders news of the accident to be suppressed 1957 The first long-distance coal pipeline goes into
for fear of alarming the public (see also 1982). commercial service. It moves coal slurry (a mixture of
water, fine coal particles, and other wastes from
1957 Felix Wankel operates his rotary engine, an idea he
washing coal) from a mine in Ohio to a power station
first conceived in the mid-1920s. This is a four-cycle
over 100 miles away.
internal combustion engine that does not use pistons.
Though the Wankel engine has great simplicity of 1957 The Price-Anderson Act provides financial protec-
operation and an excellent power-to-weight ratio, it tion to the American public and Atomic Energy
692 Appendix/Chronology

Corporation licensees and contractors if a major 1958 Sam Cohen, formerly of the Manhattan Project,
accident occurs at a nuclear power plant. develops the concept for a neutron bomb, a ‘‘smart’’
type of nuclear weapon modified to have a smaller
1957 The Space Age begins on October 4th with the
overall blast effect but to release high-energy neutrons
launching of the first artificial satellite, Sputnik 1, by the
that will take lives far beyond the blast area.
Soviet Union. In the following month Sputnik 2 is
launched with the first animal to go into in space, a dog 1958 The U.S. Army Ballistic Missile Agency launches
named Laika. Explorer I, the first artificial satellite placed into orbit
by the United States. In the same year the United States
1957 The United Nations creates the International
will launch five more Explorer satellites (some of which
Atomic Energy Agency (IAEA) in Vienna, Austria, to
reach orbit and others not), as well as Vanguard I,
promote the peaceful use of nuclear energy and prevent
which is now the oldest satellite still in orbit.
the spread of nuclear weapons around the world.
1958–1959 Engineers Jack Kilby and Robert Noyce of the
1957 The world’s first large-scale nuclear power plant
United States separately invent the integrated circuit, a
begins operation in Shippingport, Pennsylvania. The
miniaturized electronic circuit that will make possible the
plant reaches full power three weeks later and supplies
development of much smaller, cheaper, and more power-
electricity to the Pittsburgh area.
ful computers and other modern electronic devices.
1957 Three physicists at the University of Illinois, John
1959 An oil well drilling platform is constructed in over
Bardeen, Leon Cooper, and J. Robert Schrieffer, develop
200 feet of water offshore from Louisiana.
the ‘‘BCS’’ model of why superconductors behave as
they do. They show that electrons in a superconductor 1959 British scientist Francis Bacon demonstrates a fuel
condense into a quantum ground state and travel cell device that can produce 5 kilowatts of power,
together collectively and coherently. enough to run a welding machine. This is the culmina-
tion of nearly 30 years of effort by Bacon to produce a
1957 U.S. ecologist Howard T. Odum publishes a land-
workable fuel cell. Later that same year, Harry K. Ihrig
mark paper that quantifies the energy flow among the
of Allis-Chalmers displays the first fuel cell vehicle, a
trophic levels in the ecosystem of Silver Springs, Florida.
20-horsepower tractor.
1958 A geothermal power station begins operation at
1959 The Dresden-1 Nuclear Power Station in Illinois, the
Wairakei, New Zealand; this is the second commercial
first U.S. nuclear plant built entirely without government
geothermal plant in the world (after Larderello, Italy)
funding, achieves a self-sustaining nuclear reaction.
and the first to exploit a wet geothermal resource.
1959 The first man-made object lands on the moon, the
1958 After years of unsuccessfully trying to harness
Soviet Lunik II rocket.
fusion, scientists from the United States, Britain, and
the Soviet Union declassify their fusion research at the 1959 U.S. brewing company Coors sells beer in alumi-
second United Nations Conference on the Peaceful Use num cans for the first time, and other beverage
of Atomic Energy, held in Geneva. companies soon follow suit. By the 1970s aluminum
cans will replace bottles as the leading type of drink
1958 Based on the work of Willard Thomas Grubb and
container, giving rise to a huge recycling program to
Leonard Niedrach, the General Electric Company
recover the used cans.
develops the first commercially successful fuel cell,
which will be used by NASA in the Gemini Earth-orbit 1959 Verner Suomi, a U.S. meteorologist, uses data from
space program. the Explorer VII satellite to estimate the global
radiation heat budget of the Earth–atmosphere system.
1958 Chrysler introduces the first mass-produced elec-
This is the first use of a satellite to characterize the
tronic fuel injection system, designed by Bosch. It is not
Earth’s energy balance.
welcomed by consumers and in the 1960s the Bendix
patents are sold to Bosch; that company then develops
an improved version that becomes successful.
1958 Construction begins on the world’s first nuclear-
powered merchant ship, the N.S. Savannah, in Camden,
New Jersey. The ship is launched the following year 1960–1969
1958 In response to the 1957 launch of Sputnik, the
ca. 1960 The human population reaches 3 billion.
United States forms the Advanced Research Projects
Agency (ARPA) within the Defense Department to 1960 Physicist Theodore Harold Maiman designs the
promote the development of new technologies with first working laser (light amplification by stimulated
military application. ARPA will be a catalyst for the emission of radiation), using a pink ruby medium.
development of the modern computer, the Internet, and Within two years, the laser is being employed in eye
other information technology. surgeries. The term ‘‘laser’’ was reportedly coined earlier
Appendix/Chronology 693

by Gordon Gould, and he will eventually win several aircraft carrier with the ability to operate for distances
key laser patents. up to 400,000 miles without refueling.
1960 President Eisenhower establishes the Arctic Na- 1961 U.S. physicist Murray Gell-Mann and others
tional Wildlife Refuge in Alaska, which will eventually propose a system for classifying subatomic particles
consist of more than 19 million acres. Later this area which Gell-Mann terms ‘‘the eightfold way.’’ The
will become the focus of an intense debate between system is the foundation of the quark theory.
environmentalists and developers over whether to allow
oil drilling in the coastal plain of the Refuge (see 1980). 1961 U.S. President Kennedy says that citizens can
survive a nuclear attack if they take refuge in a fallout
1960 The final steam locomotive is built by British shelter. A national survey identifies large buildings and
Railways, the Evening Star. other sites such as mines, caves, and tunnels that could
1960 The first large-scale geothermal power plant in the protect people from fallout radiation; these areas are
United States begins operation at The Geysers geother- designated as public shelters.
mal field in northern California. The Geysers soon
ca. 1961 Small nuclear-power generators are first used in
becomes the world’s largest steamfield, reaching its peak
remote areas to power weather stations and to light
production in 1987, when it produces enough electricity
buoys for sea navigation.
to supply 1.8 million people.
early 1960s Regulations to limit harmful emissions from
1960 The Organization of Petroleum Exporting Countries
motor vehicles are introduced in the United States and
(OPEC) is announced in Baghdad with five original
other nations. Emission control devices are then
members: Iraq, Iran, Kuwait, Saudi Arabia, and Vene-
installed in new vehicles.
zuela. Qatar joins OPEC in 1961, followed by Indonesia
and Libya (1963), the Emirates of Abu Dhabi (1968), early 1960s The Pratt and Whitney Division of United
Algeria (1969), Nigeria (1971), Ecuador (1973), and Aircraft (now United Technologies) takes out a license
Gabon (1975). The latter two leave OPEC in the 1990s. on the fuel cell patents of Francis Bacon (see 1932) and
1960 The transition in the United States from manufac- uses the concept of the Bacon cell to provide electrical
tured gas to natural gas is virtually complete. However, power for the Apollo spacecraft.
environmental concerns still exist because of toxic 1962 A trash fire in an open-pit anthracite coal mine in
byproducts remaining in soil and groundwater at the Centralia, Pennsylvania ignites an exposed vein of coal.
sites of former manufactured gas plants. This in turn burns through old coal mines under the
1960 The Yankee Atomic Electric Company plant town, and fire, smoke, and toxic gases reach the surface
(Yankee Rowe) begins operation on the Deerfield River and eventually force the abandonment of most of the
at Rowe, Massachusetts. The company is formed by 12 town’s buildings. As of this writing, the fire still burns.
New England utilities to supply electrical power.
1962 General Electric scientist Nick Holonyak creates
Yankee Rowe operates for more than 30 years until
the first light-emitting diode (LED). LED displays will
being shut down due to reactor vessel embrittlement.
become a universally used light source in consumer
1960 West Germany builds its first industrial nuclear electronics, traffic signals, public information messages,
reactor, the Kahl am Obermain experimental nuclear and many other applications.
power plant. It will operate until 1985.
1962 In Natick, Massachusetts, a solar furnace is built by
1961 Self-advancing hydraulic longwall supports are the U.S. Army to simulate radiation burns and to
introduced to U.S. coal mining. These provide greater experiment with pigs wearing sunscreen lotions that
support for the roof of the mine and also reduce defor- might protect soldiers from nuclear radiation.
mation, fracture, and movement around the coal face.
1962 Rachel Carson publishes Silent Spring, the first
1961 The first use of a radioisotope thermoelectric widely read work to describe the effect on health and
generator for space applications is on the U.S. Navy the environment of human-produced toxic chemicals,
Transit 4A spacecraft. These generators provide elec- such as the insecticide DDT. This book is often given
trical power for spacecraft by direct conversion of the credit for launching the modern environmental move-
heat generated by the decay of plutonium-238. ment at the popular level.
1961 The Soviet Union sends the first human into space,
1962 The U.S. Congress creates the Communications
Yuri Gagarin, who orbits Earth in a 108-minute mission
Satellite Corporation (COMSAT). Agencies from 17
aboard the Vostok I. The following month, Alan
other countries join with COMSAT in 1964, forming an
Shepherd becomes the first American in space when he
international consortium to establish a satellite com-
makes a suborbital flight of 15 minutes.
munications network. By this time the United States has
1961 The U.S. Navy commissions the world’s largest launched a series of satellites, beginning with Echo I in
ship, the U.S.S. Enterprise. It is a nuclear-powered 1960.
694 Appendix/Chronology

1962 The U.S. Navy constructs a nuclear power plant at 1964 Three U.S. nuclear-powered surface ships, the
McMurdo Sound, Antarctica, to supply power for the Enterprise, Long Beach, and Bainbridge, complete
American research installations there. ‘‘Operation Sea Orbit,’’ an around-the-world cruise.
1963 Ffestiniog Power Station in Wales goes into opera- 1964 U.S. President Lyndon Johnson signs the Private
tion, the United Kingdom’s first major pumped storage Ownership of Special Nuclear Materials Act, which
power facility. Pumped storage involves two reservoirs allows the nuclear power industry to own the fuel for its
at different levels. Water is pumped to the higher of the units.
two, then released to flow downward through high-
1965 A year of major advances in space technology, with
pressure shafts linked to turbines, thus generating
the Soviets making the first space walk, the United
power for electricity.
States launching the first nuclear reactor in space
1963 Harold Barnett and Chandler Morse publish the (SNAP, or systems for nuclear auxiliary power), the
first empirical analysis of the supply of natural resources Americans completing the first space rendezvous be-
in the United States. It shows that the cost of timber, tween two satellites, and the Soviets sending out a space
fish, minerals, and fuels generally declined from 1870 to probe that lands on Venus.
1957 due to what they call ‘‘self-generating technolo- 1965 Geologists discover oil and natural gas in the West
gical change.’’ This is used by some to argue that human Sole Field of the North Sea, off the coast of Great
ingenuity can overcome natural resource constraints. Britain. Eventually North Sea oil will make Britain
1963 Japan installs a 242-watt photovoltaic array on a roughly self-sufficient in energy and also bring great
lighthouse, the world’s largest array at that time. prosperity to Norway, which will become one of the
world’s leading oil exporters.
1963 The Jersey Central Power and Light Company
announces its commitment for the Oyster Creek nuclear 1965 The Great Blackout of 1965 covers 80,000 square
power plant, the first time a nuclear plant is ordered as miles of the northeastern United States and Canada. The
an economic alternative to a fossil-fuel plant. failure affects four million homes in the New York City
area, and leaves between 600,000 and 800,000 people
1963 Semisubmersible platforms are in use for offshore stranded in the city’s subway system. The events of the
oil drilling. In semisubmersible technology, ballasted, blackout become the subject of a Hollywood film,
watertight pontoons below the sea surface and its wave Where Were You When The Lights Went Out?
action provide a base for columns that penetrate the
water surface and support the operating deck. mid-1960s Both the United States and the Soviet Union
have deployed a full-scale system of intercontinental
1963 The U.S. Congress passes the first Clean Air Act, ballistic missiles (ICBMs).
legislation intended to ‘‘improve, strengthen, and
accelerate programs for the prevention and abatement mid-1960s The era of the supertanker is underway as
of air pollution.’’ Various other Clean Air Acts will ultra-large vessels are used to transport oil around the
follow in the 1960s and after. globe, especially from the Middle East to western
Europe and the United States.
1964 George Heilmeier heads a research group at RCA
that produces the first liquid crystal display (LCD). This mid-1960s U.S. ecologist Eugene E. Likens describes the
becomes a widely used technology for various electronic phenomenon of acid rain in North America, based on
applications, such as watches and clocks, computer observations at Hubbard Brook, New Hampshire, a
displays, and eventually television screens (the original leading research site he co-founded for studies in
use envisioned by the RCA team). ecosystem science and biogeochemistry. Acid rain will
be tied directly to pollutants from the combustion of
1964 Japan’s Shinkansen (also known as the Bullet Train) fossil fuels.
becomes the world’s first high-speed railway system. It
runs between Tokyo and Shin-Osaka at a maximum 1966 The world’s largest tidal power plant goes into
business speed of over 200 kilometers per hour (130– operation at the mouth of the La Rance river in
160 mph). northern France. The tide is channeled through the
narrow entrance to the river, across which is a dam with
1964 Murray Gell-Mann and George Zweig indepen- turbines and generators.
dently introduce the three-quark model of elementary
1966 U.S. economist Kenneth Boulding publishes The
particles.
Economics of the Coming Spaceship Earth, the first
1964 The Baltimore Light Station on the Chesapeake Bay explicit application of the law of conservation of matter
in Maryland becomes the first nuclear powered light- to describe the physical limits to economic growth.
house in the United States.
1967 Egypt, Syria, and Jordan oppose Israel in the third
1964 The General Electric PEM fuel cell represents the Arab–Israeli War. This becomes known as the ‘‘Six-Day
first successful application of a fuel cell in space. War’’ because of the swift Israeli victory. The war results
Appendix/Chronology 695

in territorial gains for Israel and increased tensions 1968 The U.S. Congress creates the Wild and Scenic
between the Arab World and the West (see next). Rivers System, which will ‘‘preserve selected rivers or
sections thereof in their free-flowing condition to
1967 Saudi Arabia leads an Arab oil embargo against the
protect the water quality of such rivers and to fulfill
United States and Britain, who were accused of aiding
other vital national conservation purposes.’’
Israel against Arab countries in the Six-Day War. The
boycott, however, lasts for only two months and does 1968 U.S. space scientist Peter Glaser presents the
not significantly affect the Western economies. concept for the Solar Power Satellite system, to supply
power from space for use on the Earth. The SPS system
1967 The first barrel is shipped from the Great Canadian
would have a huge array of solar cells, perhaps tens of
Oil Sands Project, the first commercially successful
square miles, that would generate electrical power to be
operation to tap the rich Athabasca oil sands in the
beamed to Earth in the form of microwave energy.
province of Alberta. The project ushers in an era of
rapid development of this oil sand resource base. late 1960s The advent of more powerful digital electronic
computers make it possible to model the global general
1967 The Oroville Dam on the Feather River in northern atmospheric circulation for the first time. By the 1970s,
California is completed; it is the tallest dam in the general circulation models (GCMs) are the central tool
United States. of climate scientists such as Syukuro Manabe and Kirk
1967 The supertanker Torrey Canyon runs aground on a Bryan, and they will play a key role in describing
reef near the coast of Cornwall in southwestern climate change.
England. The ship spills an estimated 30 million gallons late 1960s The agricultural movement known as the
of oil into the sea, producing environmental damage on Green Revolution is underway, featuring the wide-
a scale not even imagined before that time and blighting spread use of new, high-yielding crop varieties and new
the entire region for years to come. technologies such as increased use of irrigation,
1968 A coal mine explosion in Farmington, West Virginia fertilizer, and pesticides. This increases harvests for
results in the death of 78 miners. This mine is just a few millions of farmers, although with some negative social
miles away from Monongah, the site of the worst mine and environmental impacts.
disaster in U.S. history (see 1907). 1969 An offshore oil drilling platform at Santa Barbara,
1968 Large oil deposits are discovered in Alaska at California, suffers a natural gas blowout, releasing
Prudhoe Bay, but it is not until 1977 that the first oil is about 200,000 gallons of crude oil. The spill mars 35
shipped via the Trans-Alaska Pipeline. miles of coastline and causes extensive environmental
damage, especially to the local populations of marine
1968 Lev Asimovich, director of the Soviet controlled- mammals and seabirds.
fusion program, announces that the Soviet T-3 tokamak
has confined a plasma at a temperature of more than 10 1969 ARPANET, the technological forerunner of today’s
million degrees centigrade for more than 10 thou- Internet, is established. It links four nodes: the
sandths of a second. Europe, Japan, and the United University of California at Los Angeles, University of
States all strive to develop tokamak designs. California at Santa Barbara, University of Utah, and
Stanford Research Institute. Its basic services of remote
1968 OPEC Resolution XVI.90 sets forth major new log-in, file transfer protocol, and electronic mail
demands; this signals an era of stronger national control continue as functions of the Internet.
of Mideast oil, and the declining ability of Western
multinational oil companies to control the global oil 1969 Big Muskie, described as the world’s largest earth-
supply. moving machine at over 200 feet in height and weighing
some 13,500 tons, is put into use in Cumberland, Ohio.
1968 The Odeillo solar furnace, the most powerful in the Big Muskie is what is known as a walking dragline, a
world, is built at Font-Romeu in the Eastern Pyrenees machine designed to expose deeply buried coal seams
region of France. It has 10,000 small mirrors that that smaller machines could not reach.
concentrate the Sun’s energy into useable power.
1969 Boeing’s 747, the first ‘‘jumbo jet,’’ goes into
1968 The Soviet Union operates an experimental tidal commercial service. Jumbo jets such as the 747, the
power station near Murmansk. Lockheed L-1011, and the McDonnell Douglas DC-10
will be the stars of air travel in the coming decade, but
1968 The Soviet Union’s Tupolev Tu-144 becomes the
rising fuel costs later cause the airlines to turn to smaller
first supersonic transport plane (SST) to take flight,
planes. Today only a single model of the 747 is a
preceding the Concorde by two months (see 1969). The
holdover from the jumbo jet era.
TU-144 begins service in 1975 and makes its last
commercial flight in 1978. The United States funds its 1969 Ted Hoff of Intel proposes the microprocessor, a
own SST project in the 1960s, but the program is new type of computer architecture based on a single-
dropped in 1971 without any aircraft ever being flown. chip general-purpose central processing unit (CPU).
696 Appendix/Chronology

Intel will release the first working CPU in 1971; this 1970 The Geothermal Steam Act is enacted by Congress;
single chip has as much computing power as the ENIAC it authorizes and governs the lease of geothermal steam
computer, which filled an entire room. and related resources on public lands. The Geothermal
Resources Council is formed to encourage the develop-
1969 The British-French supersonic aircraft Concorde
ment of geothermal resources worldwide.
makes its first flight. It will begin transcontinental
commercial passenger flights in 1976. The Concorde 1970 The level of production of crude oil in the United
ceases flying in 2003 because of safety concerns and the States reaches its all-time high.
high cost of operation relative to passenger revenue.
1970 The U.S. Congress adopts a law requiring federal
1969 The Cuyahoga River, flowing through Cleveland, agencies, including the Atomic Energy Agency, to
Ohio, catches fire from oil and chemical pollution. The consider thermal pollution in their licensing process.
paradoxical image of a burning body of water becomes This is the first time that environmental issues are
a rallying point for passage of the Clean Water Act. seriously raised in the context of nuclear power, and is a
1969 The first person to step on the moon is Neil A. harbinger of more intense scrutiny of nuclear power’s
Armstrong of the United States, followed by Buzz potential impact.
Aldrin, with Michael Collins orbiting the moon in the 1970 The United States, Great Britain, the Soviet Union,
Apollo 11 spacecraft. and 45 other nations sign the Treaty for the Non-
1969 The S.S. Manhattan, an ice-breaking tanker, be- proliferation of Nuclear Weapons.
comes the first commercial ship to sail the fabled 1970–1974 Paul Crutzen and Harold Johnston identify
Northwest Passage, a dream of navigators for 500 an ozone-destroying catalytic cycle involving oxides of
years. The purpose of the expedition is to test the nitrogen. Richard Stolarski and Ralph Cicerone propose
feasibility of using the Northwest Passage to transport another such cycle involving chlorine, and Mario
oil from Alaska’s North Slope to the markets of the Molina and F. Sherwood Rowland link this cycle to
eastern United States and Europe. ozone depletion by chlorofluorocarbon (CFC) emis-
sions.
1971 For the first time, surface mined coal production in
the United States exceeds the amount of coal mined
underground.
1970–1979 1971 Howard T. Odum publishes Environment, Power,
and Society, a classic and comprehensive application of
1970 At California’s Geysers project, the injection of thermodynamics and ecological energetics to the analy-
spent geothermal fluids back into the production zone sis of human economic and social systems.
begins, as a means to dispose of waste water and 1971 Nicholas Georgescu-Roegen, a Hungarian-born
maintain reservoir life mathematician and economist, publishes The Entropy
1970 Earth Day is celebrated for the first time in the Law and the Economic Process, in which the second
United States as a nationwide demonstration advocating law of thermodynamics plays a central role in produc-
environmental protection and preservation. This de- tion theory. This work becomes a cornerstone of the
monstration is conceived by Gaylord Nelson, U.S. fields of ecological and evolutionary economics.
Senator from Wisconsin, and organized by Denis Hayes. 1971 Ray Tomlinson of Bolt Beranek and Newman, Inc.
1970 IBM introduces an eight-inch ‘‘floppy disk’’ as a sends the first e-mail message across the ARPANET
medium for data storage in its 370 computer. system. The content of the message is chosen at random,
probably something like ‘‘qwertyuiop’’ or ‘‘Testing 1-2-
1970 Premier Zhou-Enlai of China delivers a speech
3.’’
emphasizing the necessity for exploring the peaceful use
of nuclear energy. The first nuclear reactor in China will 1971 Twenty-two commercial nuclear power plants are
not come on line until the 1990s. in full operation in the United States. They produce
2.4% of U.S. electricity at this time.
1970 The Environmental Protection Agency (EPA) is
formed in the United States, with the mission to early 1970s Ecologists Robert Whitaker, Eugene Likens,
‘‘protect human health and to safeguard the natural H. Leith, and other biologists quantify the net primary
environment—air, water, and land—upon which life production and plant biomass for the Earth’s major
depends.’’ biomes.
1970 The first silica fiber optical cable is produced at the early 1970s Kalundborg, Denmark, a small coastal town,
Corning Glass Works (New York), using chemical vapor begins a web of energy and material exchanges among
deposition techniques to reduce attenuation and im- several firms seeking income-producing uses for waste
prove signal transmission. products. Eventually, the firm managers and town
Appendix/Chronology 697

residents realize they are generating environmental 1973 A huge pumped-storage facility goes into operation
benefits as well. The term ‘‘industrial symbiosis’’ is used on Lake Michigan. The Ludington power plant pumps
to describe this system. water uphill from the lake to a storage reservoir when
early 1970s Russian-born chemist Ilya Prigogine extends demand is low, then releases the water to flow back
the second law of thermodynamics to systems that are downhill and generate electricity as needed by turning
far from equilibrium, and shows that stable, coherent giant turbines.
patterns could emerge under such conditions. He calls 1973 A total of 109 nuclear power plants operating in the
these ‘‘dissipative structures’’; this concept is used to United States generates 610 billion kilowatt-hours of
describe phenomena such as the growth of cities and the net electricity, providing about one-fifth of the nation’s
physics of car traffic. electricity.
1972 Ford Motor Company develops a sodium-sulfur 1973 America’s public and private utilities form the
battery for use as a power source in electric vehicles. Electric Power Research Institute (EPRI) in Palo Alto,
1972 The Clean Water Act is passed, establishing the California. EPRI will grow to be one of the world’s most
basic structure for regulating the discharge of pollutants influential electric power research and development
into the waters of the United States. organizations.

1972 The Club of Rome publishes The Neo-Malthusian 1973 An international journal known as Energy Policy
Limits to Growth, warning that if the world’s con- begins publication. This is the first social science journal
sumption patterns and population growth continue at pertaining to the study of energy.
the same high rates of the time, various calamities will 1973 Chemist Nathaniel Wyeth receives a patent for PET
befall the Earth and humankind. (polyethylene terephthalate) beverage bottles. This is
1972 The first large-scale commercial waste-to-energy the first practical plastic that is strong enough to hold
facility is used by the Union Electric Company’s carbonated beverages without bursting, and it soon
Meramec Plant in St. Louis, Missouri. Refuse is becomes a recyclable material.
shredded and burned with coal to generate electricity. 1973 Conventional natural gas production peaks in the
1972 The U.S. Environmental Protection Agency an- United States. Abundant quantities of unconventional
nounces a ban on the pesticide DDT. This is part of a gas (deep gas, coalbed methane, tight gas) still remain
trend in which DDT is generally banned worldwide. In today, but their economic, technological, and environ-
recent years, however, critics have argued that the ban mental viability are the subject of considerable debate.
should be lifted because of the huge numbers of deaths 1973 Egypt and Syria launch a surprise attack against
in the developing world from the mosquito-borne Israel (October 6th) in what will become known as the
disease malaria. Yom Kippur War. Many other Arab states, including
1972 The United Nations Conference on the Human Iraq and Saudi Arabia, also provide troops and supplies.
Environment (UNCHE), is held in Stockholm, Sweden, 1973 Members of the Organization of Arab Petroleum
with 113 countries represented; this is the first global Exporting Countries (OAPEC) meet in Kuwait as the
environmental summit. Treatment of energy is largely Yom Kippur War goes on. They reach agreement on a
limited to the environmental effects of energy extrac- coordinated policy of cuts in oil production coupled
tion, processing, and consumption. with price increases.
1972 U.S. scientist Paul Berg assembles the first DNA 1973 The Arab oil-producing states impose a complete
molecules that combine genes from different organisms. embargo on oil shipments to the United States in
In the following year Herbert Boyer and Stanley Cohen retaliation for American support of Israel in the Yom
report the construction of functional organisms that Kippur War. The embargo will later be extended to The
combine and replicate genetic information from differ- Netherlands. Japan and other nations in Europe will
ent species. also be hard hit by the combination of price increases
ca. 1972 The U.S. Atomic Energy Commission an- and production cuts.
nounces that a salt mine at Lyons, Kansas, will be 1973 The Black Mesa coal pipeline becomes operational,
developed as a high-level radioactive waste repository. transporting coal slurry 273 miles from a mine on
The decision is reversed in 1972 after geologists learn Navajo Indian land in northern Arizona to the Mojave
that the site is riddled with abandoned oil and gas Generating Station at Laughlin, Nevada. This is
exploration boreholes. currently the only coal slurry pipeline in operation in
1972–1982 More than 100 orders for nuclear power the United States.
plants in the United States are canceled, due mainly to 1973 The first major energy crisis in the United States
cost overruns, a decline in the demand for power, and occurs as a result of the Arab oil embargo. By the
public concerns about safety. The number of cancella- following year the price of crude oil will be four times
tions grows to 124 by 2000. its level of 1972. The oil embargo will be lifted in
698 Appendix/Chronology

March of 1974, but the United States and other Western Development Administration (ERDA), to carry out
nations will continue to feel its effects for years to come. research and development, and the Nuclear Regulatory
Commission (NRC), to regulate nuclear power.
1973 U.S. President Richard Nixon announces a series of
measures to cope with fuel shortages, such as a national 1975 As a result of the oil crisis of 1973–1974, the U.S.
55 miles per hour speed limit, year-round daylight Congress enacts the Energy Policy and Conservation
saving time, and a ban on Sunday sale of gasoline. Act (EPCA). EPCA sets minimum fuel economy
Various states will also impose forms of rationing, e.g., standards for cars and light trucks, and also establishes
sale of gas to motorists on alternate days depending on the Strategic Petroleum Reserve, an emergency oil store
a car’s license number. intended to counteract a severe supply interruption.
1974 A well that bottoms out at 31,441 feet is drilled in 1975 EPCA also requires that home appliances such as
Oklahoma, the deepest well ever drilled in the United refrigerators, air-conditioners, and washing machines be
States at the time. It is a dry well. sold with a label to indicate their energy usage. West
1974 Entrepreneur Robert Beaumont revives the con- Germany introduces a similar voluntary energy labeling
sumer electric vehicle market with his CitiCar. Several program in the same year.
thousand of these will be produced, due to interest in
1975 Opinion polls in the United States show that about
alternative vehicles spurred by the oil crisis of 1973.
20% of the public is opposed to the construction of
However, the CitiCar is essentially a glorified golf cart,
more nuclear power plants. On the eve of the accident
and by the late 1970s it is no longer produced.
at the Three Mile Island nuclear plant in 1978, that
1974 Faced with rising oil prices and a heavy dependence number had risen to nearly 40%. By the time of the
on imported oil, the French government embarks on an Chernobyl disaster in 1986, opposition had grown to
ambitious plan to develop nuclear power. By 2000, about 80%.
France has built 58 reactors that supply nearly three-
1975 The development of microchips makes possible the
quarters of its power.
first personal computer to have a significant public
1974 Howard Georgi and Sheldon Glashow develop the impact, the Altair, with 256 bytes of memory. It is sold
first Grand Unified Theory (GUT) to unite strong, weak, by MITS, Inc. of Albuquerque, New Mexico. Bill Gates
and electromagnetic forces. The attempt to develop a and Paul Allen then develop a BASIC software program
unified field theory was the focus of Einstien’s work for for the Altair.
many years.
1975 The U.S. Geological Survey releases the first
1974 The American Wind Energy Association (AWEA) is national estimate and inventory of geothermal re-
founded to advocate the development of wind energy as sources.
a reliable, environmentally superior form of alternative
energy in the United States and around the world. ca. 1975 The human population reaches 4 billion.
1974 The Energy and Resources Institute (TERI) is 1976 A U.S. Federal court rules that the Environmental
formed in New Delhi, India. TERI will grow to be Protection Agency has the authority to regulate leaded
one of the world’s leading organizations focusing on all gasoline. The lead phase-out begins, and by June 1979,
forms of natural and human resources, with a special nearly half of all U.S. gasoline is unleaded.
interest in sustainable energy and the environment.
1976 An Energy Modeling Forum is established at
1974 The first International Conference on Hydrogen Stanford University to provide a structured forum
Energy and the Hydrogen Economy is held in Miami within which energy experts from government, industry,
Beach, Florida. From this meeting springs the Interna- universities, and other research organizations can meet
tional Association for Hydrogen Energy (IAHE), the to study important issues of common interest.
first professional society dedicated to hydrogen energy.
1976 British journalist Anthony Sampson publishes The
1974 The first known use of the term ‘‘Internet’’ appears Seven Sisters: The Great Oil Companies and the World
in a paper on Transmission Control Protocol (TCP) by They Made, a history of the large multinational firms
Vinton Cerf and Robert Kahn. that have historically dominated the oil industry.
1974 The International Energy Agency is created, a Sampson’s ‘‘Seven Sisters’’ are Exxon, Mobil, Socal
forum for 26 member countries who are committed to (Chevron), Texaco, Gulf, British Petroleum, and Royal
taking joint measures to meet oil supply emergencies. Dutch/Shell.
IEA collects and publishes a wide array of energy and
1976 In a watershed year for the personal computer,
environmental data and research reports.
Steve Wozniak and Steve Jobs form the Apple Computer
1974 The U.S. Atomic Energy Commission is dissolved. Company and introduce their first Apple computer. The
The Energy Reorganization Act divides its functions trade name ‘‘Microsoft’’ is registered, and Bill Gates and
between two new agencies: the Energy Research and Paul Allen begin to work full time for the company.
Appendix/Chronology 699

1976 U.S. President Jimmy Carter enacts legislation Throughout the 1980s and 1990s, TAPS carries as
which authorizes the U.S. Department of Energy to much as 20% of total U.S. oil production.
conduct an Electric and Hybrid Vehicle (EHV) program. 1977 The first shipment of oil, approximately 412,000
1976 The Alaska Natural Transportation Act calls for a barrels of Saudi Arabian light crude, is delivered to the
pipeline to transport natural gas from deposits in Alaska U.S. Strategic Petroleum Reserve, an emergency oil
through Canada to the lower 48 United States. The plan supply stored in huge underground salt caverns along
remains stalled for decades due to opposition from the coastline of the Gulf of Mexico.
environmental groups, cost considerations, uncertainty 1977 The International Association for Energy Econom-
about future gas prices, and Canada’s proposal for a ics (IAEE) is founded. IAEE is the largest non-profit
different route. professional organization devoted exclusively to energy,
1976 The U.S. Resource Conservation and Recovery Act with members in 70 countries. IAEE publishes one of
gives the Environmental Protection Agency (EPA) the the most respected academic journals on energy.
authority to control hazardous waste from ‘‘cradle-to- 1977 The non-governmental organization Alliance to
grave.’’ This includes the generation, transportation, Save Energy is founded in the United States. The
treatment, storage, and disposal of hazardous waste. Alliance will play a major role in the education,
1977 Congress abolishes the Joint Committee on Atomic communication, and political aspects of energy effi-
Energy, which was established in 1946 to oversee the ciency in the United States.
Atomic Energy Agency. With the demise of the JCAE, 1977 The Solar Energy Research Institute (SERI), later to
supporters of nuclear power lose control of strategic become the National Renewable Energy Laboratory
junctures of policy-making that had been favorable to (NREL), begins operation in Golden, Colorado.
the industry. Jurisdiction is now spread over many
agencies. 1977 The U.S. Surface Mining Control and Reclamation
Act is enacted. It sets federal mining standards for coal,
1977 New York City and neighboring Westchester as well as standards for the reclamation of mining sites.
County are plunged into darkness as lightning downs
major transmission power lines. Looting and violence 1977 The Voyager spacecraft is launched; it is powered
erupt, and within a span of two days, police arrest by thermoelectric generators that produce energy from
nearly 4,000 looters and the city suffers an economic the radioactive decay of plutonium.
loss estimated at $300 million. 1978 A 15% energy tax credit is added to an existing
1977 President Carter installs solar panels on the White 10% investment tax credit, providing incentive for
House and promotes incentives for solar energy capital investment in solar thermal generation facilities
systems. President Ronald Reagan removes these panels for independent power producers.
in 1980 and eliminates many of the policy incentives for 1978 CFCs (chlorofluorocarbons, or Freons) are banned
renewable energy. in the United States as spray propellants because of fears
1977 Scientists develop the first hot dry rock reservoir at over their role in the depletion of the ozone layer.
Fenton Hill, New Mexico to ‘‘mine’’ geothermal energy 1978 In the same vein as the first Earth Day earlier in the
from beneath the earth. decade, people around the world celebrate ‘‘Sun Day’’ to
1977 The Apple II becomes the first highly successful focus on the use of solar energy as a replacement for
mass-produced personal computer. fossil fuel sources.

1977 The Department of Energy (DOE) is established as 1978 President Carter signs the National Energy Con-
a cabinet-level agency in the United States; the DOE servation and Policy Act, which includes various specific
takes over the activities of the Energy Research and acts to promote conservation and develop greater
Development Administration and the Federal Energy energy efficiency.
Administration. 1978 Shortages of natural gas prompt the U.S. Congress
1977 The Federal Energy Regulatory Commission to pass the Natural Gas Policy Act, which effectively
(FERC) is established in the United States, succeeding ends decades of natural gas price controls by the federal
the Federal Power Commission. FERC is a quasi- government. The goal of the legislation is to deregulate
independent agency within the DOE with jurisdiction natural gas prices over time, to encourage exploration,
over such issues as interstate electricity sales, wholesale and to reduce the price differentials between interstate
electric rates, hydroelectric licensing, natural gas and intrastate markets.
pricing, and oil pipeline rates. 1978 The last two orders for new nuclear power plants in
1977 The first oil flows through the Trans-Alaska Pipe- the United States are placed during this year.
line (TAPS). Actual construction began in 1974 and it 1978 The U.S. Department of Transportation issues
ultimately will cost $8 billion, at the time the largest CAFE (Corporate Average Fuel Economy) standards
privately funded construction project in history. for passenger cars, with an original standard of 18 miles
700 Appendix/Chronology

per gallon and an increase to 27.5 miles per gallon This ship is over 1,500 feet long and can carry more
within seven years. DOT also establishes standards for than 4 million barrels of crude oil.
light trucks, starting with the following model year. 1979 The worst accident in U.S. commercial reactor
1978 The U.S. Public Utility Regulatory Policies Act history occurs on March 28th at the Three Mile Island
(PURPA) mandates the purchase of electricity from nuclear power station near Harrisburg, Pennsylvania. It
qualifying facilities (QFs) meeting certain technical is caused by a loss of coolant from the reactor core due
standards regarding energy source and efficiency; this to a combination of mechanical malfunction and human
especially favors independent sources that are not fossil error. No one is injured, and no overexposure to
fuel-based, helping wind and other renewables. radiation results from the accident.
late 1970s German automobile makers Daimler-Benz and
BMW begin the experimental development of hydro-
gen-powered internal-combustion engine vehicles.
late 1970s Japanese automobile brands such as Toyota,
Honda, and Datsun (Nissan) now play a major role in 1980–1989
the U.S. market; these vehicles appeal to American
buyers looking for greater fuel efficiency in an era of 1980 A solar power system is installed at Natural Bridges
rapidly increasing gas prices. National Monument (NBNM) in Utah by a partnership
1979 A blowout of the experimental Ixtoc-1 well off the of the Massachusetts Institute of Technology, the U.S.
coast of Mexico releases about 140 million gallons of Department of Energy, and the National Park Service.
crude oil. This is the largest non-war related oil spill to The system provides uninterrupted electricity to NBNM
date (though its environmental impact is relatively for 10 years until being retired (restored in the 1990s).
small). 1980 Heating oil is the first energy product sold on the
1979 At the Papago Indian Reservation in Schuchuli, New York Mercantile Exchange (NYMEX) futures
Arizona, NASA’s Lewis Research Center completes a market. This is followed by crude oil (1983), natural
3.5-kilowatt photovoltaic system; this is the world’s first gas (1990), and electricity (1996).
village PV system. 1980 In a public referendum in Sweden, voters choose to
1979 In a time of rising energy prices and fuel shortages, build no new nuclear power plants, which at the time
President Carter gives a speech in which he speaks of a provide about 50% of their power. However, in 2003
crisis in the American spirit. He calls for import quotas, the Swedish government admits that it cannot close the
a tax on oil profits, development of synthetic fuels, and first few reactors on schedule because it has not find a
individual energy conservation. Now known as the suitable alternative source of power.
‘‘malaise’’ speech, it is poorly received by the public and 1980 Southern California Edison begins operation of a
contributes to Carter’s loss in the next election. 10-megawatt experimental power plant at the Brawley,
1979 Iran’s pro-Western ruler Reza Shah Pahlavi is driven California geothermal field, with steam produced by
from power and replaced by exiled Islamic leader Unocal (Union Oil Company of California). This is the
Ayatollah Ruhollah Khomeini. Iranian militants seize first geothermal flash plant in the United States.
the U.S. embassy in Tehran, holding more than 60 staff 1980 The Alaska National Interest Lands Conservation
members hostage. In response, President Carter places Act greatly expands the Arctic National Wildlife Refuge
an embargo on importing Iranian oil into the United (ANWR). However, the act leaves future lawmakers the
States. option of authorizing oil and gas exploration in the
1979 Oil prices rise sharply following the revolution in area. ANWR becomes the focus of an intense debate
Iran, largely because of fears that overall supplies from over the balance between environmental protection and
the Persian Gulf will be disrupted. By 1981 they will energy security.
reach an all-time high of $36.47 per barrel or nearly 1980 The U.S. Department of Energy initiates the Three
triple the price prior to the revolt. Once again political Mile Island research and development program to
events of the Middle East cause an energy crisis in the develop technology for disassembling and de-fueling
United States. the damaged reactor. The program will continue for 10
1979 Seventy-two licensed nuclear reactors generate years and make significant advances in nuclear safety
12% of the electricity produced commercially in the technology.
United States. 1980 The drama series Dallas begins a five-year run as
1979 T.T. Jahre Viking, the world’s largest oil super- the most popular show on U.S. television, and also wins
tanker (in fact the largest floating object on Earth) large audiences abroad. It features a family of Texas oil
returns to the high seas after extensive repair work; she millionaires, and it continues the image established by
had been sunk by Iraqi jets during the Iran–Iraq war. Hollywood films such as Boom Town (1940) and Giant
Appendix/Chronology 701

(1956) of the American oil business as a world of early 1980s The Energy Research Group at the University
dynamic, risk-taking individualists. of Illinois (Urbana) pioneers the use of input–output
1980 The Energy Security Act is signed by President analysis to study energy flow in economic and
Carter, with provisions for energy conservation, solar ecological systems. The group publishes more than
and geothermal energy, and biomass and alcohol fuels. 300 studies on the subject.
The act also creates the Synthetic Fuels Corporation (see 1982 The Shippingport, Pennsylvania Power Station is
next), with an initial authorization of $20 billion to be shut down after 25 years of service. Decommissioning
allocated for joint projects with private industry. will be completed in 1989; this is the first U.S. nuclear
power plant to be decommissioned.
1980 The Synthetic Fuels Corporation is established to
develop tar sands and shale oils so as to reduce the 1982 Solar One, the first commercial solar-thermal
nation’s dependence on imported oil. It enjoys little power plant in the United States, opens near Daggett,
commercial success due to low energy prices, lack of California.
interest from the private sector, and the high cost of 1982 The British National Radiological Protection Board
synfuel production. Congress ends the Corporation in issues an official estimate of the health impact of the
1985. 1957 fire at the Windscale nuclear plant. This indicates
1980–1983 The Greens establish a political party in West that 32 deaths and at least 260 cases of cancer could be
Germany and gradually develop into an important attributed to the radiation released by the fire. However,
faction. They attract support with their anti-nuclear other analysts claim that the fire actually caused more
campaign slogan: ‘‘Atomkraft? Nein, Danke’’ (Nuclear than 1,000 deaths.
Power? No, Thanks). Eventually they will form part of 1982 The Tokamak Fusion Test Reactor at the Princeton
a coalition that wins the German popular vote. Plasma Physics Laboratory produces power from
1980s Bicycle production in China reaches 40 million nuclear fusion. Tokamak will set records for high
units per year, which at the time is greater than the total plasma temperatures and make other advances in fusion
world output of automobiles. technology; the reactor is decommissioned in 1997 in
the wake of cutbacks in funding for fusion research.
1980s High efficiency (greater than 50%) is achieved for
combined cycle gas/steam turbine power plants. 1983 A fire aboard the tanker Castillo de Bellver, off
South Africa, releases 78.5 million gallons of crude oil,
1981 An aircraft known as the Solar Challenger flies
the largest tanker-related oil spill to date.
across the English Channel powered entirely by energy
from the Sun. 1983 Eastman Chemicals of Rochester, New York is the
first coal-to-chemicals facility to produce acetyl chemi-
1981 An explosive growth of wind farms in California
cals from coal rather than petroleum. The use of
begins as a result of favorable government support.
domestic high-sulfur coal displaces oil previously used
1981 French president Franc¸ois Miterrand inaugurates to produce acetyl chemicals.
service for the high-speed French railway program
1983 Kary Mullis conceives and helps develop polymer-
known as TGV (Train à Grande Vitesse). The first
ase chain reaction (PCR), a technology for rapidly
TGV train with paying passengers leaves Paris five days
multiplying fragments of DNA. This technique will
later.
have application in a wide range of scientific fields, such
1981 Ormat Technologies successfully demonstrates the as molecular biology, gene analysis, biomedical re-
technical feasibility of larger-scale commercial binary search, clinical diagnosis, paleontology, and forensic
power plants for geothermal energy, in the Imperial science.
Valley of California.
1983 Microsoft announces Windows, an extension of the
1981 The Chinese government approves a proposal to MS-DOS operating system that will provide a graphical
build a pressurized light water reactor at Haiyan in operating environment for PC users.
Zhejiang province. The Qinshan 1 nuclear reactor will
1983 President Reagan signs the Nuclear Waste Policy
take a decade to complete.
Act (NWPA), the first comprehensive U.S. nuclear waste
1981 The Columbia, a manned, reusable space shuttle, is legislation. NWPA establishes a program for the
successfully launched into space and then returned to disposal of high-level radioactive waste, including spent
earth. fuel from nuclear power plants.
1981 U.S. President Ronald Reagan signs an executive 1983 The Itaipu Dam, a joint project of Brazil and
order effectively ending price controls on crude oil and Paraguay on the Parana river, begins operation of its
refined petroleum products. These controls on energy first unit. When completed Itaipu will become the
prices were the last legacy of the comprehensive wage largest hydroelectric power facility in the world and will
and price controls that President Richard Nixon had eventually supply about one-fourth of Brazil’s electrical
enacted in 1971. power and nearly all of Paraguay’s.
702 Appendix/Chronology

1983 The U.S. Congress cuts off funding for the Clinch efficiency will produce greater consumption, not less.
River Breeder Reactor Project, an ambitious but highly This supports Jevon’s paradox (see 1865).
controversial plutonium-based breeder reactor program
1985 Richard Smalley and others at Rice University in
near Oak Ridge, Tennessee.
Texas identify a new form of pure carbon (in addition to
1983–1986 Faced with reduced demand for its oil and graphite and diamonds), a large molecule of 60 carbon
increased oil production from non-member nations, atoms resembling a soccer ball. This is called a ‘‘bucky
OPEC oil production is cut by more than one-half; a ball’’ for architect Buckminister Fuller, who designed a
‘‘free-for-all’’ situation prevails with a rapid rise in Saudi geodesic dome with the same shape.
Arabia’s production, culminating in an oil price collapse
in July, 1986 with Arab Light selling at less than $8 per 1985 Scientific concerns about damage to the ozone layer
barrel. prompt various governments to adopt the Vienna
Convention on the Protection of the Ozone Layer,
1984 Advanco Corporation and McDonnell Douglas which establishes an international legal framework for
demonstrate the potential for a high-efficiency 25- action.
kilowatt solar dish.
1984 Nuclear power overtakes hydropower to become 1985 The U.S. Institute of Nuclear Power Operations
the second largest source of electricity in the United forms a national academy to accredit every nuclear
States, after coal. Eighty-three nuclear power reactors power plant’s training program.
provide about 14% of the electricity produced in the 1985 Wind energy facilities totaling more than 1,000
nation. megawatts are installed in California on the Tehachapi
1984 The Annapolis Royal power station is established Pass between Barstow and Bakersfield and on the
on the Bay of Fundy coastline of Nova Scotia, the first Altamont Pass east of Oakland.
tidal power plant in North America. The Bay of Fundy mid-1980s A policy is introduced to set fixed subsidy
is known for the largest tidal changes in the world (a tariffs for the purchase by utilities of electricity from
difference between high and low tides of as much as 50 renewable electricity providers (especially in North
feet). America and Europe).
1984 The first in a series of commercial solar thermal
1986 Ahmed Zaki Yamani, the flamboyant oil minister
electricity generation plants is established in California,
for Saudi Arabia, is fired by King Faud. Sheik Yamani
based on parabolic trough technology.
was a powerful figure within OPEC who steered Saudi
1984 The Great Plains Synfuels Plant goes into operation policy—and, indeed, much of OPEC policy—through
in Beulah, North Dakota, the first commercial coal the roller-coaster period of price increases and decreases
gasification plant in the United States. The plant of the 1970s and early 1980s.
converts North Dakota’s abundant lignite coal to
methane. 1986 At the University of California’s Lawrence Liver-
more Laboratory, the world’s most powerful laser,
1984 The Macintosh computer is introduced by Apple, Nova, creates a one-billionth of a second fusion
the first affordable personal computer with a graphical reaction with temperatures and pressures greater than
user interface and a 3.5-inch floppy disk drive. It has a the Sun.
CPU speed of 8 Mhz and initially sells for $2,495.
1984 The University of Wisconsin introduces the Domain 1986 Britain announces that canaries in coal mines will
Name System. In 1985 Symbolics Technology, Inc. be replaced by electronic sensors. For centuries caged
registers the first domain name: symbolics.com. The canaries had been brought into mines to signal the
second registration is made by BBN Corporation, presence of dangerous gases, the idea being that a
followed by several universities (Carnegie-Mellon, canary would succumb quickly to the gas and thus warn
Purdue, Rice, and University of California, Berkeley). the miners to get out. ‘‘Canary in a coal mine’’ is a
metaphor for an early warning of oncoming danger.
mid-1980s Many passenger cars are now available with
diesel engines, as a fuel economy strategy in response to 1986 Human error causes a core meltdown at the
price shocks of the preceding decade. For the most part Chernobyl nuclear power plant in the Ukraine (former
consumers will decide that the saving in fuel cost is not Soviet Union), the world’s most severe nuclear accident.
enough to compensate for other disadvantages of the Thirty-one people die in the accident or soon after, and
diesel engine, and today a relatively small percentage of another 134 are treated for acute radiation syndrome.
passenger cars are diesel-powered. Total related deaths probably number in the thousands.
1990s Scholars use the term ‘‘rebound effect’’ to describe 1986 Karl Alex Muller and Johannes Georg Bednorz
the relationship between an increase in energy efficiency discover a superconductor that operates at about 35 K.
and the ensuing rate of consumption. They argue that This sets off a flurry of research on ‘‘higher’’ tempera-
the rebound effect can exceed 100%; i.e., improved ture superconductors.
Appendix/Chronology 703

1986 Leaded gasoline is banned in the United States due 1988 OPEC abandons a fixed-price system, replacing it
to its health effects. By 2000 many other countries have with an agreement on ‘‘target prices.’’
also banned leaded gasoline, though it continues in use
1988 The government of Saudi Arabia officially estab-
in the developing world.
lishes the Saudi Arabian Oil Company (Saudi Aramco).
1986 The International Thermonuclear Experimental This is the successor to the Arabian American Oil
Reactor (ITER) group is formed, an international Company (Aramco), the original developer of oil in the
collaborative aimed at demonstrating the scientific and country, which the Saudi government had gradually
technological feasibility of commercial fusion energy. taken over beginning in the early 1970s.
1986–1988 OPEC abandons the practice of fixed oil 1988 The Intergovernmental Panel on Climate Change
prices and switches to netback pricing, a market-based (IPCC) is formed; it becomes the leading scientific
system that guarantees purchasers a certain refining authority on climate change.
margin. This enables Saudi Arabia to recapture a
late 1980s A flowering of modern European wind
significant market share from the rest of OPEC; it also
technology takes place; wind energy also experiences
contributes to a collapse in oil prices. The netback
dramatic growth worldwide.
system lasts just two years.
1989 New York State Governor Mario Cuomo an-
1986–1992 The Deep Gas Project in Sweden drills
nounces that the Shoreham Nuclear Power Plant,
experimental wells in the Siljan Ring, a crater formed
although already completed, will not go into service,
by a meteor impact, to test a theory that methane
due to intense opposition from local citizens.
migrates upward from the inner regions of the Earth.
Two wells are drilled, one to a depth of nearly five miles, 1989 The Berlin Wall falls, as East Germany opens its
but they encounter no commercial amounts of hydro- borders with West Germany.
carbons. 1989 The Long Valley Exploratory Well project com-
1987 OPEC changes its pricing system of using Saudi mences near Mammoth Lakes, California. Theoreti-
Arabian Light as the reference price for other OPEC cally, wells completed to depths near a magma body
crudes and replaces it with a ‘‘basket’’ of seven crudes as could bring that heat to the surface, and thus provide a
reference: Sahara Blend of Algeria; Dubai Crude; Saudi new source of geothermal energy.
Arabia’s Arab Light; Minas of Indonesia; Bonny Light
1989 The oil tanker Exxon Valdez runs aground on
of Nigeria; Tia Inana of Venezuela; Isthmus of Mexico.
Alaska’s Bligh Reef and spills an estimated 10.8 million
1987 The Montreal Protocol on Substances That Deplete gallons of crude oil, fouling the waters of Prince
the Ozone Layer is signed, requiring industrialized William Sound and eventually more than 1,000 miles
countries to reduce their consumption of chemicals of beach in south-central Alaska. This causes wide-
harming the ozone layer; requirements are strengthened spread environmental damage, which according to a
through later amendments (1990–1999). December 2003 study continues even to this day.
1987 The U.S. Department of Energy announces Pres- 1989 The world’s first hybrid (organic Rankine/gas
ident Reagan’s approval of the construction of the engine) geopressure-geothermal power plant begins
Superconducting Super Collider (SSC), planned as the operation at Pleasant Bayou, Louisiana, using both the
world’s largest and most advanced particle accelerator. heat and the methane of a geopressured resource.
Congress decides to halt the project in 1993 after two
billion dollars had been spent.
1987 The U.S. Nuclear Waste Policy Act (NWPA) is
amended. Congress directs the Department of Energy to
study only the potential of the Yucca Mountain,
Nevada, site for the disposal of high-level radioactive
1990–1999
waste.
1990 Iraq’s Oil Minister demands that OPEC curb
ca. 1987 The human population reaches 5 billion. supplies until petroleum prices have risen to $25 a
1988 Alaska’s oil production at Prudhoe Bay peaks at 2 barrel (from the existing $15 level). Iraq President
million barrels per day. Saddam Hussein wants a price increase to help pay off
the country’s debt, and charges that Kuwait had
1988 In the midst of record heat and drought in the
conspired with the United States to depress world oil
United States, NASA scientist James Hansen tells a
prices through overproduction
Congressional hearing he can say ‘‘with 99% con-
fidence’’ that a long-term warming trend is underway, 1990 Kuwait is invaded by Iraqi forces and Saddam
and that the greenhouse effect is to blame. The news Hussein declares the country to be a province of Iraq.
media publicize Hansen’s statements, bringing about a Crude oil prices rise to above $30 a barrel amid great
new level of public awareness of climate change. uncertainty in world markets. The United Nations then
704 Appendix/Chronology

embargoes the export of oil from Iraq in response to the addition, 240 million gallons of crude oil are released to
invasion. the marine environment from oil terminals and tankers,
the largest oil spill ever.
1990 Results of a Gallup poll indicate that about 75% of
Americans consider themselves to be ‘‘environmental- 1991 Operation Desert Storm causes the U.S. govern-
ists.’’ ment to make a decision to withdraw oil from the SPR
(Strategic Petroleum Reserve). This is the only occasion
1990 The annual production of coal in the United States
to date when the United States has made use of this
tops 1 billion tons for the first time.
emergency supply.
1990 The city of Tokyo has approximately 1.5 million
1991 Sony offers the first commercial version of the
buildings with solar water heaters (more than in the
lithium ion (Li-Ion) battery. Li-Ion and its contempor-
entire United States); Israel uses solar water heating for
ary the NiMH (nickel metal hydride) battery offer
approximately 30% of its buildings and all new homes
greater capacity and will largely replace the earlier
there are required to install solar water heating systems.
nickel cadmium version.
1990 The number of vehicle-miles per year traveled by 1991 Sweden introduces the first tax aimed specifically at
Americans exceeds 2 trillion for the first time. reducing emissions of the greenhouse gas carbon
1990 The U.S. Clean Air Act Amendments require many dioxide. Consumers pay a tax of 0.25 SEK/kg (about
changes to gasoline and diesel fuels to make them $100 per ton) on the use of oil, coal, natural gas,
pollute less, including mandated sale of oxygenated liquefied petroleum gas, petrol, and aviation fuel.
fuels in areas with unhealthy levels of carbon monoxide. Renewable fuels are largely excluded, and industry pays
This helps resurrect production of gasohol, an ethanol- a substantially lower rate.
blended gasoline, which had been used in the early days 1991 The European Energy Charter is adopted by 51
of the auto industry. nations. Its objectives are to facilitate energy coopera-
1990 The unified German government closes the last of tion between countries, to improve the security of
eight nuclear power plants in the formerly Communist energy supplies, and to provide greater efficiency in the
East Germany (DDR). production, conversion, transport, distribution, and use
of energy, as well as technology transfer.
1990 Tim Berners-Lee, working with Robert Cailliau at
CERN (European Organization for Nuclear Research), 1991 The first commercial nuclear reactor in China,
proposes a distributed information system, based on Qinshan 1, is connected to the power grid.
hypertext, a way of linking related pieces of information 1991 The First National People of Color Environmental
stored on computers. The name ‘‘World-Wide Web’’ is Leadership Summit is held in Washington, D.C., with a
chosen for this system. focus on environmental justice (the principle that
1990 With natural gas prices decontrolled, the New York underrepresented groups are disproportionately im-
Mercantile Exchange (NYMEX) launches its first pacted by the negative effects of power plant siting,
natural gas futures contracts. Natural gas can now be uranium mining, and other energy-related facilities).
bought and sold by consumers and producers at a pre- 1991 The United States operates 111 nuclear power
determined time in the future. This leads to short-run plants with a combined capacity of 99,673 megawatts.
volatility, but in principle, greater long-term price These plants produce almost 22% of the electricity
stability. generated commercially in the country.
1990s Russia, after having become the world’s largest oil 1991 U.S. oceanographer John Martin stirs debate when
producer in the late 1980s, experiences a decade-long he suggests that by sprinkling a relatively small amount
slide in production. The causes are resource depletion, of iron into certain areas of the ocean, one can create
poor management, reduced maintenance, and curtailed large algal blooms that could take in so much carbon
exploration, all of which are exacerbated by the from the atmosphere that they could reverse the
economic crisis following the collapse of the Soviet greenhouse effect and cool the Earth.
Union.
early 1990s China passes the United States and becomes
1991 In what will become known as the Persian Gulf the world’s largest producer of coal. Coal production
War, the United States and allied countries launch has doubled in just 10 years due to the expansion of
Operation Desert Storm against Iraq to end its invasion power generation and steel production to drive China’s
of Kuwait. After about six weeks of fighting Iraqi forces rapidly expanding economy.
are expelled from Kuwait and a cease-fire is declared.
early 1990s Vaclav Smil of Canada and Peter Vitousek of
1991 More than 600 oil wells are set ablaze in Iraq and the United States independently show that nitrogen
Kuwait by retreating Iraqi forces. The fires burn for fixation from human activity (fossil fuels and fertilizer
more than nine months, creating giant oil lakes in the production/use) is greater than that from natural
desert and massive regional air and water pollution. In nitrogen fixation (terrestrial systems plus lightning). In
Appendix/Chronology 705

doing so, they document the extent of human alteration 1994 The Energy Charter Treaty is signed; the signatories
of global biogeochemistry. include various nations of Europe, as well as the
1992 A National Energy Policy Act is signed into law European Union itself, Japan, and Australia. The
under the Clinton administration. It makes several treaty’s objective is to facilitate Western investment in
important changes in the licensing process for nuclear the development of energy resources in Eastern Europe
power plants. and the former Soviet Union.

1992 CERN releases the World-Wide Web. By the 1995 A United Nations resolution allows partial resump-
beginning of 2004 there are an estimated 50 million tion of Iraq oil exports in ‘‘oil for food’’ deal; an
web sites. embargo on Iraqi oil had been in effect since 1990 as a
result of Iraq’s invasion of Kuwait.
1992 Daniel Yergin receives the Pulitzer Prize for general
nonfiction for his work The Prize: The Epic Quest for 1995 An Intergovernmental Panel on Climate Change
Oil, Money and Power, which traces the history of oil (IPCC) concludes that ‘‘the balance of evidence suggests
and its social, political, strategic, and economic a discernible human influence on global climate.’’ By
importance. 2001 the IPCC states ‘‘there is new and stronger
evidence that most of the warming observed over the
1992 The U.S. Environmental Protection Agency intro-
last 50 years is attributable to human activities.’’
duces Energy Star, a government-backed labeling
program that helps businesses and individuals adopt 1995 The European Union enacts energy labeling stan-
technologies with greater energy efficiency. dards for household refrigerators and freezers, followed
by energy efficiency standards (MEPS) in 1999.
1992 The United Nations Conference on Environment
and Development (UNCED), popularly known as the 1995 The nongovernmental organization ENERGIA
Earth Summit, is held at Rio de Janeiro, Brazil, bringing (the International Network on Gender and Sustain-
together nearly 35,000 participants. Treatment of able Energy) is founded after the Fourth World
energy expands from environmental effects to economic Conference on Women in Beijing. ENERGIA coordi-
importance as well. nates diverse initiatives, individuals, and organizations
1992 The University of South Florida fabricates a to strengthen the role of women in sustainable energy
15.89% efficient thin-film PV (photovoltaic) cell, development.
exceeding the 15% efficiency level for the first time. 1996 The U.S. Department of Energy announces the
1993 A new tax on fuels is proposed by U.S. President National Center for Photovoltaics, headquartered in
Bill Clinton, based on the heat content of oil, gas, and Golden, Colorado.
coal. The tax would raise the price of gasoline by about 1997 Qatar installs the world’s first significant liquid
7.5 cents per gallon (gas price then about $1.05 per natural gas (LNG) exporting facility.
gallon). Congress rejects the tax in the face of
opposition from special interest groups and from some 1997 Ridership in the Moscow subway system, the
segments of the public. world’s largest, reaches a total of 3.2 billion riders per
year (followed by Tokyo, Seoul, Mexico City, and New
1993 NEMS (National Energy Modeling System) is
York). The system, built in 1935, also is one of the
released by the Energy Information Administration. It
world’s longest, with 340 kilometers of track.
is the first computer-based, energy-economy modeling
system of national energy markets for the express 1997 The first modern hybrid-electric vehicle is marketed
purpose of answering policy questions. in Japan, the Toyota Prius.
1993 President Clinton pledges that the United States will 1997 The so-called Kyoto Protocol is adopted by the
reduce its output of greenhouse gases to 1990 levels by United Nations Framework Convention on Climate
the year 2000. Vice President Al Gore reaffirms this two Change at a convention in Kyoto, Japan; this commits
years later. the signing nations to binding cuts in greenhouse gas
1993 The 33M-VS, developed by Kenetech Windpower emissions.
(U.S. Windpower), becomes one of the first commer- 1997 Widespread protests against shipments of high-level
cially available, variable-speed wind turbines. nuclear waste take place in Germany; in 1998 the
1993–1994 U.S. oil imports exceed domestic oil produc- government temporarily halts the transport of nuclear
tion for the first time; import dependence will continue waste. Waste shipments, and protests in response, will
to grow in the coming years. begin again in 2000.
1994 California Energy becomes the world’s largest 1997–1999 Registered lobbyists for the oil and gas indus-
geothermal company through its acquisition of Magma try report expenditures averaging $60 million per
Power. Near-term international markets gain the inter- year to influence the energy policies of the U.S.
est of U.S. geothermal developers. government.
706 Appendix/Chronology

1998 Based on annual growth rings in trees and chemical 1999 The United States withdraws from the International
evidence contained in marine fossils, corals, and ancient Thermonuclear Experimental Reactor, an international
ice, scientists at the University of Massachusetts collaborative aimed at demonstrating the scientific and
conclude that the 20th century was the warmest one technological feasibility of commercial fusion energy,
in 600 years, and that 1990, 1995, and 1997 were the after Congress eliminates the funding required for U.S.
warmest years in all of the 600-year period. participation.
1998 The Protocol on Environmental Protection (Madrid
Protocol) is approved by a body of nations; it imposes a
moratorium on mining and oil exploration in Antarctica
for a minimum of 50 years.
21st Century
1998 The World Commission on Dams is formed with
initial funding from the World Bank and IUCN, and
subsequent support from many other organizations 2000 The year 2000 (Y2 K) begins and with it the
around the world. The Commission’s mandate includes possible onset of the ‘‘Y2 K Problem,’’ a widely
evaluating the effectiveness of dams and developing publicized potential disaster caused by failure of the
standards for construction, operation, and decommis- world’s computer systems to accommodate dates
sioning of dams. beyond 1999. In fact Y2 K produces no significant
negative effects; analysts disagree as to whether this is
1998–1999 In a wave of oil company mergers, BP because of adjustments made beforehand or because the
announces plans to acquire Amoco for $48.2 billion; problem was exaggerated.
BPAmoco then acquires Atlantic Richfield (Arco).
Chevron Corporation acquires Texaco for about $36 2000 The Chernobyl nuclear facility is permanently shut
billion, and Exxon acquires Mobil for about $80 billion down.
to create the world’s largest oil company. Total Fina and
2000 The world’s first commercial wave power station on
Elf Aquitaine agree to merge, as do Conoco and
the Scottish island of Islay is connected to the electrical
Phillips.
grid. Devices are placed on the shoreline or at sea, using
late 1990s After increasing steadily for nearly two wave motion to drive turbines or hydraulic pumps by
decades, improvements in new vehicle fuel efficiency means of compressed air.
in the United States, level off at about 28 miles per
gallon. This is due to the expiration of government 2000–2001 Millions of people in California experience a
regulations (corporate average fuel economy standards) new energy phenomenon known as a ‘‘rolling black-
that mandated efficiency improvements, and consumer out’’; this is a planned series of temporary, controlled
demand for vehicles. power outages intended to prevent heavy demand from
crashing the state’s electrical grid. Californians are faced
late 1990s Green certificate trading is introduced in
with a combination of increased energy prices and
Europe, the United States, and Australia. Generators
reduced, uncertain supply.
of electricity from renewable resources receive a
certificate for a predetermined unit of energy produced. ca. 2000 The human population reaches 6 billion.
These certificates have a market value, thus providing a
financial incentive for the use of renewable energy. 2001 Enron, an energy services corporation, goes bank-
rupt. It had become the seventh-largest U.S. company
1999 A severe accident at the uranium processing plant at by buying electricity from generators and selling it to
Tokaimura, Japan exposes 55 workers to radiation. consumers, and was praised in the business media as the
1999 An ice core two miles long, drilled out of an model for a new type of energy company. In reality
Antarctic ice sheet, shows that levels of greenhouse Enron had been losing vast amounts of money and
gases are higher now than at any time in the past disguising the losses by false reports and accounting
420,000 years. tricks.
1999 Azerbaijan, Georgia, and Turkey agree to the Baku- 2001 In the wake of the September 11th attacks on New
Ceyhan route for a major new pipeline for Azeri oil York’s World Trade Center and the Pentagon, the city of
exports. It will run a total of 1,038 miles (1,730 km) Boston bars the liquefied natural gas (LNG) carrier
and cost up to 4 billion dollars. Oil is set to flow in Matthew from Boston Harbor because of fear of a
2005. terrorist attack. The event highlights the heightened
1999 Japan announces ‘‘Top Runner,’’ a new set of energy concerns in the United States about the vulnerability of
efficiency standards for improved performance of cars, energy facilities.
appliances, and other products.
2001 The Center for Disease Control in the United States
1999 The first modern hybrid-electric vehicle is marketed lists 15,196 deaths in 717 disasters since the 1830s in
in the United States, the Honda Insight. the nation’s mines, most of them in coal mines.
Appendix/Chronology 707

2001 The Ecuadorean tanker Jessica runs aground on sinks off Spain’s northwest coast. The tanker’s slow
rocks off the Galapagos Islands, releasing about two- demise releases thousands of tons of oil into the waters
thirds of its cargo of 240,000 gallons of oil. The of the Atlantic, causing one of Europe’s worst environ-
accident occurs in the prophetically named Shipwreck mental disasters.
Bay, outside the tiny harbor of San Cristobal Island. 2002 The World Summit on Sustainable Development
2001 The first oil flows through the Caspian Pipeline (WSSD) is held in Johannesburg, South Africa. Treat-
Consortium (CPC) pipeline, a 1,700-kilometer pipeline ment of energy extends to its overarching role in
originating in Tennis, Kazakhstan, and terminating near sustainable development, i.e., the integration of envir-
the port of Novorossiysk, Russia, on the Black Sea. The onmental stewardship, economic development, and
CPC pipeline is the first to connect the oil-rich region of human well-being.
central Asia with significant export terminals. 2002–2003 Oil prices increase by 50% between Novem-
2001 The U.S. Office of Scientific and Technical Informa- ber and March due to strikes in the Venezuelan oil
tion (OSTI) releases the Energy Citations Database, sector, a shortage of home heating oil in a cold winter,
which provides 2 million citations to bibliographic and fears of what a U.S.–Iraq war will do to oil
records for energy and energy-related scientific and production and prices. Oil prices drop sharply in the
technical information. opening days of the war when Iraq does not sabotage
2002 A general strike occurs in Venezuela against production facilities at home or in Kuwait.
President Hugo Chavez. Oil production and exports 2003 A massive power outage cuts electricity from New
drop to nearly zero, sending a shudder through world York north to Toronto and west to Detroit, an area in
oil markets and helping oil prices to rise sharply. which some 50 million people reside.
2002 At a time when more than 50% of its electricity 2003 Hybrid-electric urban buses are delivered to
comes from nuclear power, Belgium makes a decision to the New York City Transit Authority by Orion
completely phase out nuclear power over the next 25 Bus Industries, the first production models of such
years. vehicles.
2002 President George W. Bush ‘‘un-signs’’ the United 2003 In a historic recall election, California voters
States from the Kyoto Protocol, the treaty aimed at remove Governor Gray Davis from office. Dissatisfac-
reducing greenhouse gas emissions. President Bill tion with his handling of the state’s energy policy is cited
Clinton had originally signed the Protocol in 1998, as the leading factor in his defeat.
although it was never ratified by the Senate. President 2003 Mandatory energy labeling programs are in place in
Bush says that it would cause undue economic harm to 35 different countries, covering as many as 25 product
the U.S. economy. types.
2002 The Japanese government announces that it will 2003 The Calder Hall nuclear power station in West
expand its nuclear power generation by 30% by the Cumbria is closed down by BNFL (British Nuclear
year 2010, in order to achieve the reduction goals for Fuel). This marks the end of an era for the British
greenhouse gas emission set by the Kyoto Protocol. nuclear industry; Calder Hall was the world’s first
2002 The Prestige, a crippled oil tanker carrying nearly commercial nuclear power facility when it opened in
20 million gallons of heavy fuel oil, breaks in half and 1956.
ANNOTATED BIBLIOGRAPHY OF ENERGY SOURCES

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Ayres, R. U. (1978). Resources, Environment, and nomic Review 88(1), 119–138.
Economics: Applications of the Materials/Energy An economist’s perspective on the single most
Balance Principle. New York: John Wiley and Sons. well-studied collapse of a human society, the
A thermodynamic analysis of economic produc- decline in the population and culture of Easter
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energy and other natural resources in the United patterns of energy use in developing nations.
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Energy 3, 225–273. The first use of input–output analysis to quanti-
An insight into the issue of energy quality and its fy energy requirements for various goods and
implications for understanding energy efficiency. services.

Encyclopedia of Energy, Volume 6.. Published by Elsevier Inc. 709


710 Appendix/Annotated Bibliography

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267–313. An empirical investigation of the connection
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for calculating the energy costs of goods and resource scarcity.
services.
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The Rise of Thermodynamics in the Early Industrial An examination of how the energy cost of goods
Age. London: Heinemann. and services, including labor and government
A history of the development of the science of services, can influence the connection between
thermodynamics and its practical applications. energy use and economic production.
Carnahan, W., Ford, K. W., Prosperetti, A., Rochlin,
Cowan, C. W., and Watson, P. J. (eds.) (1992). The
G. I., Rosenfeld, A., Ross, M., Rothberg, J., Seidel,
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nian Institution Press.
Energy, The APS Studies on the Technical Aspects of
A good overview of the driving forces behind one
the More Efficient Use of Energy. New York:
of the fundamental energy transitions in human
American Institute of Physics.
history.
A group of distinguished physical scientists and
engineers look at the potential for energy con- Debeir, J. C., Deléage, and J.-P., Hémery, D. (1991)
servation in the wake of the 1973–1974 energy In the Servitude of Power: Energy and Civilization
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Carnot, S. (1890). Reflections on the Motive Power An excellent history of the role of energy conver-
of Heat and on Machines Fitted to Develop That sion technologies and new energy sources in
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Carnot’s work was originally published in 1824 DeCicco, J. M. (2001). Fuel Cell Vehicles: Technol-
and, although long ignored, forms the scientific ogy, Market, and Policy Issues. Warrendale, Penn-
basis of modern thermodynamics. sylvania: Society of Automotive Engineers.
Castaneda, C. J. (1999). Invisible Fuel: Manufac- A well-executed integration of the issues surround-
tured and Natural Gas in America, 1800–2000. New ing the problems and prospects for fuel cell
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An especially strong treatment of the early years of Fox, R. F. (1988). Energy and the Evolution of Life.
the natural gas industry. New York: W. H. Freeman and Company.
Cipolla, C. M. (1965). Guns, Sails and Empire: A description of the role of energy in Earth’s early
Technological Innovation in the Early Phases of history and in the origin of life.
European Expansion, 1400–1700. New York:
Freese, B. (2003). Coal: A Human History. Cam-
Minerva Press.
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An excellent historical account of how wind
A social history of the effects of coal use, with
energy, as captured by the sail, has been a pivotal
emphasis on Britain, the U.S., and China.
technology in human history.
Clausius, R. J. E. (1867). The Mechanical Theory of Georgescu-Roegen, N. (1971). The Entropy Law
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Translated (with additions) from the 1864 German setts: Harvard University Press.
edition, though translators are not specified. A comprehensive and technical discussion of
Contains Clausius’ main thermodynamical papers. economic theory and the economic process as
The second edition is quite different, however. constrained by the laws of thermodynamics.
Cleveland, C. J. (1992). Energy quality and energy Gibbons, J. (1997). This Gifted Age: Science and
surplus in the extraction of fossil fuels in the U.S. Technology at the Millennium. Woodbury, New
Ecological Economics 6, 139–162. York: AIP Press.
The techniques of net energy analysis applied to The potential for energy conservation as seen by
U.S. energy resources. one of its earliest proponents.
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Gipe, P. (1995). Wind Energy Comes of Age. New Climate Change 2001: The Scientific Basis. Con-
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A description of the rise of the modern wind ment Report of the Intergovernmental Panel on
industry and its prospects for the future. Climate Change (IPCC). Cambridge, UK: Cam-
Gössling, S. (2000). Sustainable tourism develop- bridge University Press.
ment in developing countries: Some aspects of energy The authoritative scientific source on the detec-
use. Journal of Sustainable Tourism 8(5), 410–425. tion, attribution and impacts of climate change.
An overview of energy and environmental issues Hubbert, M. K. (1974). Energy Resources: A Review
associated with ecotourism. as of 1972. Washington D.C.: U.S. Senate Report
Goudsblom, J. (1992). Fire and Civilization. Lon- 93-40.
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An excellent history of the first and perhaps the caster of oil supplies. This report summarizes the
most fundamental energy transition in human various methods he developed and applied to U.S.
history. oil and gas resources.
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California: Lawrence Berkeley National Laboratory.
Griffin, J.M., and Steele, H. B. (1986). Energy A report that seeks to develop a better under-
Economics and Policy, 2nd ed. Orlando, Florida: standing of the potential for research and devel-
Academic Press. opment programs and public policies to foster
One of the few college-level textbooks devoted clean energy technology solutions for the United
entirely to energy economics. States.
Grübler, A., Nakicenovic, N., and Nordhaus, W. D. Jevons, W. S. (1965, originally published 1865). The
(eds.) (2002). Technological Change and the Envir- Coal Question. New York: Augustus M. Kelley.
onment. Washington, D.C.: RFF Press. A founder of the neoclassical revolution in
A discussion of the manner in which historic economics, Jevons famously but erroneously pre-
technological change has reduced environmental dicts the collapse of British society due to the
impact of economic activity, and of future possibi- depletion of the nation’s coal resources.
lities. Includes extensive climate-related material.
Johansson, T. B., Kelly, H., Reddy, A. K. N., and
Herendeen, R. (1998). Ecological Numeracy: Quan- Williams, R. H. (eds.) (1993). Renewable Energy:
titative Analysis of Environmental Issues. New York: Sources for Fuels and Electricity. Washington, D.C.:
John Wiley and Sons. Island Press.
Basic quantitative literacy described from an A thorough overview of the economic, technolo-
energy and ecological perspective. gical, and environmental aspects of renewable
Hill, P., and Peterson, C. (1992). Mechanics and energy.
Thermodynamics of Propulsion, 2nd ed. Reading, Karl, T. L. (1997). The Paradox of Plenty: Oil
Massachusetts: Addison-Wesley. Booms and Petro-States. Berkeley, California: Uni-
An engineering treatment of a variety of propul- versity of California Press.
sion technologies, written at the college level. A study of the social, economic and political
Hoffmann, P. (2001). Tomorrow’s Energy: Hydro- effects of a nation’s dependence on oil exports.
gen, Fuel Cells, and the Prospects for a Cleaner Klass, D. L. (1998). Biomass for Renewable Energy,
Planet. Cambridge, Massachusetts: MIT Press. Fuels, and Chemicals. San Diego, California: Aca-
The technology, economics, and policy aspects of a demic Press.
hydrogen economy. A thorough and wide-ranging treatment of the
Home, W. W., with Gittins, M. J. (1984). The sources and conversion pathways of biomass
History of Classical Physics: A Selected, Annotated energy into fuels and chemicals.
Bibliography. New York: Garland, New York. Lawlor, D. W. (2001). Photosynthesis. New York:
A widely used reference source. Springer-Verlag, USA.
Houghton, J. T., Ding, Y., Griggs, D. J., Noguer, M. A thorough and detailed treatment of the ener-
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712 Appendix/Annotated Bibliography

Leach, G. (1976). Energy and Food Production. An excellent history of the development of
Surrey, UK: IPC Science and Technology Press. electricity in the U.S. and the social and economic
One of the first quantitative treatments of this consequences thereof.
subject that uses the techniques of net energy
Priest, J. (2000). Energy: Principles, Problems,
analysis.
Alternatives, 5th ed. Dubuque, Iowa: Kendall-Hunt.
Lovins, A. (1976). Energy strategy: The road not An excellent college-level introduction to the
taken. Foreign Affairs 55, 65–96. basics of energy physics, conversion, sources, use,
A classic paper by a noted expert on the potential and technology.
for energy conservation. Prigogine, I., and Stengers, I. (1984). Order Out of
McNeill, W. H. (1989). The Age of Gunpowder Chaos. New York: Bantam Books.
Empires, 1450–1800. Washington, D.C.: American A physicist’s description of how living systems,
Historical Association. including human society, dissipate energy to build
A history of the development of the technology of structure.
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the global geopolitical landscape. History. Norman, Oklahoma: University of Oklaho-
Michalski, L., Eckersdorf, K., and McGhee, J. ma Press.
(1991). Temperature Measurement. New York: John A thorough history of the development of wind
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A comprehensive overview of the subject. Sachs, J., and Warner, A. (1999). The big push:
Natural resource booms and growth. Journal of
Munasinghe, M. (1993). Environmental Economics
Development Economics 59, 43–76.
and Sustainable Development. Washington, D.C.:
A description of the macroeconomic effects of
The World Bank.
dependence on oil exports.
An integrated look at the economic, environmen-
tal, and social dimensions of sustainable develop- Salstrom, P. (1994). Appalachia’s Path to Depen-
ment. dency: Rethinking a Region’s Economic History,
1730–1940. Lexington, Kentucky: University of
Nadel, S., Elliot, N., Shepard, M., Greenberg, S.,
Kentucky Press.
Katz, G., and de Almeida, A. (2002). Energy-
A history of one of the most famous coal mining
Efficient Motor Systems, 2nd ed. Washington, D.C.:
regions in the world.
American Council for an Energy-Efficient Economy.
A study of how motors and motor systems can Schipper, L. (ed.) (2000). The Road from Kyoto:
achieve greater efficiency through motor manage- Current CO2 and Transport Policies in the IEA.
ment, optimized controls, improved component Paris: International Energy Agency.
sizing and repair, better transmission hardware, A review of transport-related CO2 abatement
and comprehensive monitoring and maintenance. policies in Denmark, Germany, the Netherlands,
Sweden, the United Kingdom, and the United
Nagy, K. A., Girard, I. A., and Brown, T. K. (1999). States.
Energetics of free-ranging mammals, reptiles, and
birds. Annual Review of Nutrition 19, 247–277. Schurr, S. H. (1984). Energy use, technological
A review of the current state of knowledge on how change, and productive efficiency: An economic-
living organisms use energy. historical interpretation. Annual Review of Energy 9,
409–425.
Nakicenovic, N., Grübler, A., and McDonald, A. A good historical overview of the macroeconomic
(eds.) (1998). Global Energy Perspectives. Cam- trends in energy use, economic growth and energy
bridge, UK: Cambridge University Press (as publisher efficiency by one of the pioneers of this field of
for the International Institute for Applied Systems inquiry.
Analysis and World Energy Council).
Simmons, I. G. (1996). Changing the Face of the
Long-term energy projections from a well-re-
Earth. Culture, Environment, History, 2nd ed.
spected energy research group.
Cambridge, Massachusetts: Blackwell Publishers.
Nye, D. E. (1998). Consuming Power: A Social An excellent overview of the driving forces of
History of American Energies. Cambridge, Massa- global, regional, and local environmental change,
chusetts: MIT Press. with an insightful energy focus.
Appendix/Annotated Bibliography 713

Smil, V. (1994). Energy in World History. Boulder, United States Geological Survey. (2000). World
Colorado: Westview Press. Petroleum Assessment. Washington, D.C.: USGS.
Human history as shaped by changes in energy An exhaustive review of oil and gas availability
sources and converters. across the world, with an abundance of useful data
Smith, C. (1998). The Science of Energy: A Cultural and maps.
History of Energy Physics in Victorian Britain. Verhoogen, J. (1980). Energetics of the Earth.
Chicago: University of Chicago Press. Washington, D.C.: National Academy of Sciences.
A history of the development of the branches of A detailed examination of energy flows on Earth
physics devoted to the study of basic principles of from a physical science perspective.
energy.
Veziroglu, T. N. (2000). A quarter century of the
Tainter, J. A. (1988). The Collapse of Complex
hydrogen movement 1974–2000. International Jour-
Societies. Cambridge, UK: Cambridge University
nal of Hydrogen Energy 25, 1143–1150.
Press.
A thorough recounting of a quarter-century’s
An insightful description of the role that environ-
progress in hydrogen energy.
mental degradation and diminishing returns to
complexity play in the collapse of societies. Vincent, C. A., and Scrosati, G. (1997). Modern
Teal, J. M. (1962). Energy flow in the salt marsh Batteries, 2nd ed. London: Edward Arnold.
ecosystem of Georgia. Ecology 43, 614–624. A good introduction to this important technology.
An early classic study of ecosystem energetics. White, L. (1959). The Evolution of Culture. New
Thesing, W. B. (ed.) (2000). Caverns of Night: Coal York: McGraw-Hill.
Mines in Art, Literature, and Film. Columbia, South An anthroplogist’s view of the role of energy in
Carolina: University of South Carolina Press. shaping human culture.
A study of the social and cultural impacts that coal
mining has had on American culture. Wigley, T. M. L. (ed.) (2000). The Carbon Cycle.
Cambridge, UK: Cambridge University Press.
Tucker, V. A. (1975). The energetic cost of moving
Leading scientists examine how atmospheric car-
about. American Scientist 63(4), 413–419.
bon dioxide concentrations have changed in the
A description of the energetics of locomotion.
past and how this may affect the concentrations in
Turns, S. R. (2000). An Introduction to Combustion: the future. They offer approaches to modeling the
Concepts and Applications. New York: McGraw carbon cycle, providing mathematical tools for
Hill. predicting future levels of carbon dioxide.
A college-level engineering introduction to the
subject of combustion. World Energy Council. (2001). Survey of World
Energy Resources. London: World Energy Council.
United Nations Department of Economic and Social
This biennial publication provides valuable data
Affairs. (2000). World Energy Assessment. New
on resources and reserves for all forms of energy,
York: United Nations Development Programme.
as well as individual country profiles.
A thorough and sweeping overview of global
energy options, with a focus on the role of energy Yergin, D. (1991). The Prize: The Epic Quest for Oil,
in poverty reduction and the policy interventions Money and Power. New York: Simon and Schuster.
needed to shift the global energy system to a The monumental Pulitzer Prize-winning story
sustainable path. about the history of oil.
INTERNATIONAL ENERGY DATA ORGANIZATIONS

WORLD ENERGY COUNCIL final consumption data as well as key energy and
economic indicators. A companion volume, Energy
http://www.worldenergy.org/ Statistics of OECD Countries, presents correspond-
The World Energy Council (WEC) is a global ing data in comprehensive balances expressed in a
multi-energy organization with member committees common unit, million tonnes of oil equivalent. The
in over 90 countries, including most of the largest IEA charges a fee for most of its data.
energy-producing and energy-consuming countries.
The 80-year-old organization covers all types of
energy, including coal, oil, natural gas, nuclear, UNITED NATIONS
hydro, and renewables, and is UN-accredited, non- STATISTICS DIVISION
governmental, noncommercial, and nonaligned.
One notable publication is the Survey of World http://unstats.un.org/unsd/energy/default.htm
Energy Resources, which has data on resources, The United Nations Statistics Division (UNSD)
reserves, production, and consumption for conven- collects energy statistics and updates and maintains
tional and alternative energy sources for most the Energy Statistics Database, which contains
countries in the world. These data are available in comprehensive energy statistics on more than 215
HTML and XLS formats, and are free of charge. countries, regions, and areas for production, trade,
and intermediate and final consumption (end use) for
primary and secondary conventional, nonconven-
INTERNATIONAL ENERGY AGENCY tional, and new and renewable sources of energy.
The annual publication Energy Statistics Year-
http://www.iea.org/ book is a comprehensive collection of international
The International Energy Agency, based in Paris, energy statistics that provides a global framework of
is an autonomous agency linked with the Organiza- comparable data on long-term trends in the supply of
tion for Economic Cooperation and Development mainly commercial primary and secondary forms of
(OECD) (http://www.oecd.org/home/). energy. The biennial publication Energy Balances
Notable publications include the World Energy and Electricity Profiles presents energy data for
Outlook, which assesses current energy conditions selected countries in a format showing an overall
and projects energy demand, energy supply, and CO2 picture of energy production, conversion, and con-
emissions from 20 to 30 years into the future. Key sumption for fuels utilized in the country.
World Energy Statistics contains up-to-date data on Coal, crude petroleum, and electricity data are
the supply, transformation, and consumption of all collected on a monthly basis and published in the
major energy sources. Energy Balances of OECD Monthly Bulletin of Statistics, and the yearly produc-
Countries contains data on the supply and consump- tion, trade, and consumption of commercial energy
tion of coal, oil, gas, electricity, heat, renewables, data are published in the Statistical Yearbook. The
and waste presented as comprehensive energy bal- complete dataset of Energy Statistics, covering the
ances expressed in million tonnes of oil equivalent. period 1950–2000, is available on CD and in electronic
Historical tables summarize production, trade, and format. The UN charges a fee for all of its energy data.

Encyclopedia of Energy, Volume 6.” îPublished by Elsevier Inc. 715


716 Appendix/International Energy Data Organizations

THE WORLD BANK and traditional. Data are available online (free of
charge) and on CD-ROM (fee required).
http://www.worldbank.org/data
The World Development Indicators (WDI) is the
World Bank’s annual compilation of data about ORGANIZATION OF PETROLEUM
development. WDI includes approximately 800 EXPORTING COUNTRIES (OPEC)
indicators in 87 tables, organized in six sections.
Energy data include commercial use, annual growth, http://www.opec.org/
GDP per unit and per capita, depletion as share of OPEC is an 11 nation organization that supplies a
GDP, net imports, investment in infrastructure, major share of global oil production; the members
production, traditional fuel use as share of total collectively agree on global oil production and/or
energy use, and a number of electricity indicators. price targets. The members are Algeria, Indonesia,
These data are available in print, CD-ROM, and Iran, Iraq, Kuwait, Libya, Nigeria, Qatar, Saudi
online versions, and require a fee. Arabia, United Arab Emirates, and Venezuela.
One notable publication is the Annual Statistical
Bulletin, which reports data on basic economic and
demographic conditions in member countries, as well as
BP STATISTICAL REVIEW OF detailed data on all aspects of oil production, use,
WORLD ENERGY imports, exports, earnings, and so on. Data are available
in PDF and ZIP formats, and are free of charge.
http://www.bpamoco.com/centres/energy/index.asp
This publication presents country-level data on
energy production, use, prices, and reserves dating ASIA PACIFIC ENERGY
back to 1965 and is available in ZIP, XLS, and PDF RESEARCH CENTRE
formats. A new energy charting tool allows the user
to view predetermined reports for each type of http://www.ieej.or.jp/aperc/
energy or chart-specific data according to energy The Asia Pacific Energy Research Centre (APERC)
type on a regional and annual basis. Charts and was established as an affiliate to the Institute of
graphs can be created as images for exporting. These Energy Economics, Japan. It covers all 21 nations of
data are available free of charge. the Asia Pacific Economic Cooperation (APEC):
Australia; Brunei Darussalam; Canada; Chile; Peo-
ple’s Republic of China; Hong Kong, China; In-
donesia; Japan; Republic of Korea; Malaysia;
FOOD AND Mexico; New Zealand; Papua New Guinea; Peru;
AGRICULTURE ORGANIZATION Philippines; Russia; Singapore; Chinese Taipei; Thai-
land; United States; and Vietnam.
http://www.fao.org One notable APERC publication is Energy Bal-
The Food and Agriculture Organization of the ance Tables for the APEC Energy Demand and
United Nations was founded in 1945 with a mandate Supply Outlook, which contains data on the trade,
to raise levels of nutrition and standards of living, to price, supply, and consumption of coal, oil, gas,
improve agricultural productivity, and to better the electricity, heat, renewables, and waste presented as
condition of rural populations. Today, FAO is one of comprehensive energy balances for member coun-
the largest specialized agencies in the United Nations tries. These data are available in PDF format. The
system and the lead agency for natural resource and annual APEC Energy Demand and Supply Outlook
rural development. An intergovernmental organiza- provides forecasts for 20 years out. These data are
tion, FAO has 183 member countries plus one available free of charge.
member organization, the European Community.
The FAOSTAT database is an online and multi-
lingual database containing over 1 million time-series ASEAN ENERGY CENTER
records covering international statistics in a wide
range of natural resource areas, especially forestry, http://www.aseanenergy.org/index.htm
fisheries, agriculture, and land use. Energy data This is the energy database for the Association of
include estimates of wood fuel use, both commercial Southeast Nations (Brunei Darussalam, Cambodia,
Appendix/International Energy Data Organizations 717

Indonesia. Lao PDR, Malaysia, Myanmar, Philippines, Online Data and the Basic Petroleum Data Book.
Singapore, and Vietnam). It contains data on the These sources include a wide array of data on all
trade, price, supply, and consumption of coal, oil, gas, aspects of the industry: exploration, drilling, produc-
electricity, heat, renewables, and waste presented as tion, use, trade, transportation, refining, reserves,
comprehensive energy balances. The Energy Reporting prices, finance and investment, offshore, and stocks
Application is a Web-based application for accessing for the U.S. Less detailed data sources are available
these data. The data also include detailed country for the world as a whole. The API charges a fee for
profiles. These data are available free of charge. most of its data.

MIDDLE EAST ECONOMIC SURVEY OIL & GAS JOURNAL


ENERGY DATABASE
http://www.mees.com/
The Middle East Economic Survey (MEES) is an http://orc.pennnet.com/energydatabase/energydata-
authoritative source on oil and gas in the Middle base.cfm
East. It provides current and recent historical This online data service has data for the U.S. on all
monthly data, OPEC member quotas and produc- aspects of the industry: exploration, drilling, produc-
tion, and spot market quotations for the OPEC tion, use, trade, transportation, refining, reserves,
reference basket of seven crude oils. Data are in prices, finance and investment, offshore, and stocks
HTML format and free of charge. for the U.S. Data on industry operations appear in
three databases: monthly and quarterly, annually,
and weekly. Most data can be downloaded. There is
ENERGY INFORMATION a fee for most of these data.
ADMINISTRATION, U.S.
DEPARTMENT OF ENERGY
BAKER-HUGHES RIG COUNT
http://www.eia.doe.gov/
The Energy Information Administration (EIA), http://www.bakerhughes.com/investor/rig/index.htm
created by Congress in 1977, is a statistical, This is the authority on oil and gas drilling and
modeling, and analysis agency of the U.S. Depart- workover rigs around the world. (A rig rotates the
ment of Energy. It provides policy-independent data, drill pipe from surface to drill a new well to explore
forecasts, and analyses to promote policymaking, for, develop, and produce oil or natural gas.) Rig
efficient markets, and public understanding regard- activity is an important business barometer for the
ing energy and its interaction with the economy and drilling industry and its suppliers. The active rig
the environment. Current and historical data for the count acts as a leading indicator of demand for
U.S. are available in HTML, XLS, and PDF formats. products used in drilling, completing, producing, and
Less detailed data are also available for the world in processing hydrocarbons and represents an upstream
similar formats. Among its more notable publica- indicator of the effort aimed at finding and produ-
tions are the Annual Energy Outlook, which fore- cing oil and gas. Data are available in PDF and/or
casts energy market condition 20–25 years out, the XLS formats, and are free of charge.
Annual Energy Review, which includes historical
data back to 1949, and the International Energy
Annual. These data are available free of charge. INTERNATIONAL ATOMIC
ENERGY AGENCY

AMERICAN PETROLEUM INSTITUTE http://www.iaea.org


IAEA’s Power Reactor Information System (PRIS)
http://www.api.org constitutes the most complete data bank on nuclear
API is the statistical arm of the U.S. oil and gas power reactors in the world. PRIS covers two kinds
industry and represents more than 400 members of data: general and design information on power
involved in all aspects of the oil and natural gas reactors and information about operating experience
industry. Notable data sources include ACCESS API with nuclear power plants. These data include
718 Appendix/International Energy Data Organizations

country-level data on electricity generation and the on the spot and futures prices for the energy
role of nuclear power in national energy budgets. commodities traded on the exchange: home heating
These data are available free of charge. oil, crude oil, motor gasoline, natural gas, propane,
coal, and electricity. These data are available free of
charge.
NUCLEAR ENERGY AGENCY

http://www.nea.fr/ WORLD RADIATION DATA CENTRE


The Nuclear Energy Agency (NEA) is a specialized
agency within the Organization for Economic http://wrdc-mgo.nrel.gov/
Cooperation and Development (OECD). Notable The World Radiation Data Centre (WRDC),
publications include the annual Nuclear Energy located at the Main Geophysical Observatory in St.
Data, which is a compilation of essential statistics Petersburg, Russia, serves as a central depository for
on nuclear energy in OECD countries. This provides solar radiation data collected at over 1000 measure-
the reader with a comprehensive overview on the ment sites throughout the world.
status of and trends in the nuclear power and fuel The WRDC centrally collects, archives, and
cycle sector. publishes radiometric data from the world to ensure
Another notable work is the annual Uranium: the availability of these data for research by the
Resources, Production and Demand. This ‘‘Red international scientific community. Data are avail-
Book,’’ jointly prepared by the Nuclear Energy able on line or via an email query system, and are
Agency and the International Atomic Energy Agency, free of charge. The WRDC archive contains the
is the foremost world reference on uranium. This following measurements (not all observations are
world report provides compilations of statistics on made at all sites):
resources, exploration, production, and demand for
uranium for about 50 countries, and provides an Global solar radiation
international expert analysis of industry statistics and Diffuse solar radiation
worldwide projections of nuclear energy growth, Downward atmospheric radiation
uranium requirements, and uranium supply. Both of Sunshine duration
these publications are available only in print form Direct solar radiation (hourly and instantaneous)
and require a fee. Net total radiation
Net terrestrial surface radiation (upward)
Terrestrial surface radiation
WTRG ECONOMICS Reflected solar radiation
Spectral radiation components (instantaneous
http://www.wtrg.com fluxes)
WTRG Economics gathers data on the oil and gas
industry from industry, government, and proprietary
sources. This site provides graphical overviews of SOLAR RADIATION
spot and futures prices for crude oil, heating oil,
RESOURCE INFORMATION
natural gas, and motor gasoline; drilling and work-
over rig counts; and other industry barometers. The
http://rredc.nrel.gov/solar/
graphs are available free of charge; other data
The National Renewable Energy Laboratory
services require a fee.
(NREL) maintains a substantial database of data
pertaining to solar radiation in the United States.
These data include the three most common measure-
NEW YORK ments of solar radiation (global horizontal, direct
MERCANTILE EXCHANGE normal, and diffuse horizontal), basic meteorological
data, maps, and other data for hundreds of stations.
http://www.nymex.com These data are available on hourly, daily, monthly,
The New York Mercantile Exchange is the largest and annual bases. Some data are available in time-
physical commodity exchange in the world. Here series format. Most data are available online and are
you can find up-to-the-minute and historical data free of charge.
Appendix/International Energy Data Organizations 719

MAPS OF RENEWABLE INTERNATIONAL GEOTHERMAL


ENERGY RESOURCES ASSOCIATION
http://www.nrel.gov/gi4s/index of maps.html http://iga.igg.cnr.it/
This site provides dynamically generated maps of The International Geothermal Association (IGA),
renewable energy resources that determine which founded in 1988, is a scientific, educational, and
energy technologies are viable solutions in the United cultural organization established to operate world-
States. The National Renewable Energy Laboratory wide. It has more than 2000 members in 65
(NREL) analyzes the resources and inputs the data countries.
into the GIS (Geographic Information System). The IGA’s objective is to encourage research, develop-
software package that is being used is an ESRI ment, and utilization of geothermal resources world-
product called ArcIMS (http://www.esri.com). The wide through the compilation, publication, and
following sets of maps are available: dissemination of scientific and technical data and
information, both within the community of geother-
Renewable Energy Atlas of the West: Interactive mal specialists and between geothermal specialists
maps with zoom-in capability that highlight the and the general public. The IGA Web site has
wind, biomass, geothermal, and solar resources in country-level data on geothermal direct use and
the 11 western states. power generation as well as individual country
Federal Energy Management Program Maps: Maps reports. The data are in HTML format and free of
showing the market potential for various technolo- charge.
gies at federal facilities throughout the country.
Maps of Indian Lands: Created in support of the
report Energy Consumption and Renewable Energy
Development Potential on Indian Lands by the OREGON INSTITUTE OF
Energy Information Administration, U.S. Depart- TECHNOLOGY GEO-HEAT CENTER
ment of Energy.
Solar Maps: Maps of solar radiation resources http://geoheat.oit.edu/
available for several photovoltaic collector orienta- Resource and direct use maps for the United States
tions in the United States. and maps of potential user communities in 10 states
Transportation Technologies: Interactive geogra- in the western United States. Resource maps for
phical map of the Clean Cities coalitions boundaries the 10 western states are accompanied by county-
and the Alternative Fuel Station Locator mapping by-county data on well and spring characteristics
application. and geo-referenced location data. The CD-ROM
Wind Maps: Maps of gridded wind resource has data in XLS and CVS format, and requires a
potential are based on wind power density. modest fee.
SELECTED ENERGY-RELATED TABLES

1. GUIDE TO THE USE OF THE INTERNATIONAL SYSTEM OF UNITS

Source: U.S. National Institute of Standards and Technology

The International System of Units was established in 1960 by the 11th General Conference on Weights and
Measures (CGPM). Universally abbreviated SI (from the French Le Système International d’Unités), it is the
modern metric system of measurement used throughout the world.
SI units are currently divided into three classes:

*
base units
*
derived units
*
supplementary units

which together form what is called ‘‘the coherent system of SI units.’’ The SI also includes prefixes
to form decimal multiples and submultiples of SI units.

1.1 SI Units
1.1.1 SI Base Units
Table 1 gives the seven base quantities, assumed to be mutually independent, on which the SI is founded; and the
names and symbols of their respective units, called ‘‘SI base units.’’ Definitions of the SI base units are given in
Section 1.4 to follow.

TABLE 1
SI Base Units

SI base unit

Base quantity Name Symbol

Length meter m
Mass kilogram kg
Time second s
Electric current ampere A
Thermodynamic temperature kelvin K
Amount of substance mole mol
Luminous intensity candela cd

Encyclopedia of Energy, Volume 6. Published by Elsevier Inc. 721


722 Appendix/Selected Energy-Related Tables

1.1.2 SI Derived Units


Derived units are expressed algebraically in terms of base units or other derived units. The symbols for derived
units are obtained by means of the mathematical operations of multiplication and division. For example, the
derived unit for the derived quantity molar mass (mass divided by amount of substance) is the kilogram per mole,
symbol kg/mol. Additional examples of derived units expressed in terms of SI base units are given in Table 2.

TABLE 2
Examples of SI Derived Units Expressed in Terms of SI Base Units

Derived quantity Name Symbol

Area square meter m2


Volume cubic meter m3
Speed, velocity meter per second m/s
Acceleration meter per second squared m/s2
Wave number reciprocal meter m1
Mass density (density) kilogram per cubic meter kg/m3
Specific volume cubic meter per kilogram m3/kg
Current density ampere per square meter A/m2
Magnetic field strength ampere per meter A/m
Amount-of-substance concentration mole per cubic meter mol/m3
(concentration)
Luminance candela per square meter cd/m2

1.1.2.1 SI Derived Units with Special Names and Symbols Certain SI derived units have special names and
symbols; these are given in Table 3a and Table 3b.

TABLE 3a
SI Derived Units with Special Names and Symbols, Including the Radian and Steradian

Expression in terms Expression in terms


Derived quantity Special name Special symbol of other SI units of SI base units

Plane angle radian rad m  m1 ¼ 1


Solid angle steradian sr m2  m2 ¼ 1
Frequency hertz Hz s1
Force newton N m  kg  s2
Pressure, stress pascal Pa N/m2 m1  kg  s2
Energy, work, quantity of heat joule J Nm m2  kg  s2
Power, radiant flux watt W J/s m2  kg  s3
Electric charge, coulomb C sA
quantity of electricity
Electric potential, volt V W/A m2  kg  s3  A1
potential difference,
electromotive force
Capacitance farad F C/V m2  kg1  s4  A2
Electric resistance ohm O V/A m2  kg  s3  A2
Electric conductance siemens S A/V m2  kg1  s3  A2
Magnetic flux weber Wb Vs m2  kg  s2  A1
Magnetic flux density tesla T Wb/m2 kg  s2  A1
Inductance henry H Wb/A m2  kg  s2  A2
Celsius temperature degree Celsius 1C K
Luminous flux lumen lm cd  sr cd  sra
Illuminance lux lx lm/m2 m2  cd  sra

a
The steradian (sr) is not an SI base unit. However, in photometry the steradian (sr) is maintained in expressions for units.
Appendix/Selected Energy-Related Tables 723

TABLE 3b
SI Derived Units with Special Names and Symbols Admitted for Reasons of Safeguarding Human Healtha

Expression in terms Expression in terms


Derived quantity Special name Special symbol of other SI units of SI base units

Activity (of a radionuclide) becquerel Bq s1


Absorbed dose, specific energy (imparted), kerma gray Gy J/kg m2  s2
Dose equivalent, ambient dose equivalent, sievert Sv J/kg m2  s2
directional dose equivalent, personal dose
equivalent, equivalent dose

a
The derived quantities to be expressed in the gray and the sievert have been revised in accordance with the recommendations of the
International Commission on Radiation Units and Measurements (ICRU).

Degree Celsius In addition to the quantity thermodynamic temperature (symbol T), expressed in the unit
kelvin, use is also made of the quantity Celsius temperature (symbol t) defined by the equation
t ¼ T  T0 ;
where T0 ¼ 273.15 K by definition. To express Celsius temperature, the unit degree Celsius, symbol 1C, which is
equal in magnitude to the unit kelvin, is used; in this case, ‘‘degree Celsius’’ is a special name used in place of
‘‘kelvin.’’ An interval or difference of Celsius temperature can, however, be expressed in the unit kelvin as well as
in the unit degree Celsius. [Note that the thermodynamic temperature T0 is exactly 0.01 K below the
thermodynamic temperature of the triple point of water.]

1.1.2.2 Use of SI Derived Units with Special Names and Symbols Examples of SI derived units that can be
expressed with the aid of SI derived units having special names and symbols (including the radian and steradian)
are given in Table 4.

TABLE 4
Examples of SI Derived Units Expressed with the Aid of SI Derived Units Having Special Names and Symbols

Derived quantity Name Symbol Expression in terms of SI base units

Angular velocity radian per second rad/s m  m1  s1 ¼ s1


Angular acceleration radian per second squared rad/s2 m  m1  s2 ¼ s2
Dynamic viscosity pascal second Pa  s m1  kg  s1
Moment of force newton meter Nm m2  kg  s2
Surface tension newton per meter N/m kg  s2
Heat flux density, irradiance watt per square meter W/m2 kg  s3
Radiant intensity watt per steradian W/sr m2  kg  s3  sr1a
Radiance watt per square meter steradian W/(m2  sr) kg  s3  sr1a
Heat capacity, entropy joule per kelvin J/K m2  kg  s2  K1
Specific heat capacity, specific entropy joule per kilogram kelvin J/(kg  K) m2  s2  K1
Specific energy joule per kilogram J/kg m2  s2
Thermal conductivity watt per meter kelvin W/(m  K) m  kg  s3  K1
Energy density joule per cubic meter J/m3 m1  kg  s2
Electric field strength volt per meter V/m m  kg  s3  A1
Electric charge density coulomb per cubic meter C/m3 m3  s  A
Electric flux density coulomb per square meter C/m2 m2  s  A
Permittivity farad per meter F/m m3  kg1  s4  A2
Permeability henry per meter H/m m  kg  s2  A2
Molar energy joule per mole J/mol m2  kg  s2  mol1
Molar entropy, molar heat capacity joule per mole kelvin J/(mol  K) m2  kg  s2  K1  mol1
Exposure (x and rays) coulomb per kilogram C/kg kg1  s  A
Absorbed dose rate gray per second Gy/s m2  s3

a
The steradian (sr) is not an SI base unit. However, in radiometry the steradian (sr) is maintained in expressions for units.
724 Appendix/Selected Energy-Related Tables

1.1.3 Decimal Multiples and Submultiples of SI Units: SI Prefixes


Table 5 gives the SI prefixes that are used to form decimal multiples and submultiples of SI units. A prefix
attaches directly to the name of a unit, and a prefix symbol attaches directly to the symbol for a unit. For
example, one kilometer, symbol 1 km, is equal to one thousand meters, symbol 1000 m or 103 m.

TABLE 5
SI Prefixes

Factor Prefix Symbol

1024 ¼ (103)8 yotta Y


1021 ¼ (103)7 zetta Z
1018 ¼ (103)6 exa E
1015 ¼ (103)5 peta P
1012 ¼ (103)4 tera T
109 ¼ (103)3 giga G
106 ¼ (103)2 mega M
103 ¼ (103)1 kilo k
102 hecto h
101 deka da
101 deci d
102 centi c
103 ¼ (103)1 milli m
106 ¼ (103)2 micro m
109 ¼ (103)3 nano n
1012 ¼ (103)4 pico p
1015 ¼ (103)5 femto f
1018 ¼ (103)6 atto a
1021 ¼ (103)7 zepto z
1024 ¼ (103)8 yocto y

1.2 Units Outside the SI


Certain units that are not part of the SI are essential and used so widely that they are generally accepted for
use with the SI. These units are given in Table 6. The combination of units of this table with SI units to

TABLE 6
Units Accepted for Use with the SI

Name Symbol Value in SI units

Minute (time) min 1 min ¼ 60 s


Hour (time) h 1 h ¼ 60 min ¼ 3600 s
Day (time) d 1 d ¼ 24 h ¼ 86,400 s
Degree (plane angle) 1 11 ¼ (p/180) rad
0
Minute (plane angle) 10 ¼ (1/60)1 ¼ (p/10,800) rad
00
Second (plane angle) 100 ¼ (1/60) ¼ (p/648,000) rad
Liter l, L (b) 1 L ¼ 1 dm3 ¼ 103 m3
Metric tona t 1 t ¼ 103 kg

a
This is the name to be used for this unit in the United States; it is also used in some other
English-speaking countries. However, this unit is called ‘‘tonne’’ in many countries.
Appendix/Selected Energy-Related Tables 725

form derived units should be restricted to special cases in order not to lose the advantages of the coherence
of SI units.

1.3 Units Temporarily Accepted for Use with the SI


Because of existing practice in certain fields or countries, in 1978 the CIPM considered that it was permissible
for the units given in Table 7 to continue to be used with the SI until the CIPM considers that their use is no
longer necessary.

TABLE 7
Units Temporarily Accepted for Use with the SI

Namea Symbol Value in SI units

nautical mile - 1 nautical mile ¼ 1852 m


knot - 1 nautical mile per hour ¼ (1852/3600) m/s
ångström Å 1 Å ¼ 0.1 nm ¼ 1010 m
are a 1 a ¼ 1 dam2 ¼ 102 m2
hectarea ha 1 ha ¼ 1 hm2 ¼ 104 m2
barn b 1 b ¼ 100 fm2 ¼ 1028 m2
bar bar 1 bar ¼ 0.1 Mpa ¼ 100 kPa ¼ 1000 hPa ¼ 105 Pa
gal Gal 1 Gal ¼ 1 cm/s2 ¼ 102 m/s2
curie Ci 1 Ci ¼ 3.7  1010 Bq
roentgen R 1 R ¼ 2.58  104 C/kg
b
rad rad 1 rad ¼ 1 cGy ¼ 102 Gy
rem rem 1 rem ¼ 1 cSv ¼ 102 Sv

a
This unit and its symbol are used to express agrarian areas.
b
When there is risk of confusion with the symbol for the radian, rd may be used as the symbol for rad.

1.4 Definitions of the SI Base Units and the Radian and Steradian
Meter The meter is the length of the path travelled by light in vacuum during a time interval of 1/299,792,458
of a second.
Kilogram The kilogram is the unit of mass; it is equal to the mass of the international prototype of the
kilogram.
Second The second is the duration of 9,192,631,770 periods of the radiation corresponding to the transition
between the two hyperfine levels of the ground state of the cesium-133 atom.
Ampere The ampere is that constant current that, if maintained in two straight parallel conductors of
infinite length, of negligible circular cross section, and placed 1 meter apart in vacuum, would produce between
these conductors a force equal to 2  107 newton per meter of length.
Kelvin The kelvin, a unit of thermodynamic temperature, is the fraction 1/273.16 of the thermodynamic
temperature of the triple point of water.
Mole The mole is the amount of substance of a system that contains as many elementary entities as there
are atoms in 0.012 kilogram of carbon 12. When the mole is used, the elementary entities must be specified
and may be atoms, molecules, ions, electrons, other particles, or specified groups of such particles. In the
definition of the mole, it is understood that reference is being made to unbound atoms of carbon 12, at rest and
in their ground state. Note that this definition specifies at the same time the nature of the quantity whose unit is
the mole.
Candela The candela is the luminous intensity, in a given direction, of a source that emits monochromatic
radiation of frequency 540  1012 hertz and that has a radiant intensity in that direction of (1/683) watt per
steradian.
726 Appendix/Selected Energy-Related Tables

Radian The radian is the plane angle between two radii of a circle that cut off on the circumference an arc
equal in length to the radius.
Steradian The steradian is the solid angle that, having its vertex in the center of a sphere, cuts off an
area of the surface of the sphere equal to that of a square with sides of length equal to the radius of the
sphere.

1.5 A Brief History of the International System of Units


The creation of the decimal metric system at the time of the French Revolution and the subsequent deposi-
tion of two platinum standards representing the meter and the kilogram, on June 22, 1799, in the Archives
de la République in Paris can be seen as the first step in the development of the present International System
of Units.
In 1832, Gauss strongly promoted the application of this metric system, together with the second defined in
astronomy, as a coherent system of units for the physical sciences. Gauss was the first to make absolute
measurements of the earth’s magnetic force in terms of a decimal system based on the three mechanical units
millimeter, gram, and second for the quantities length, mass, and time, respectively. In later years, Gauss and
Weber extended these measurements to include electrical phenomena.
These applications in the field of electricity and magnetism were further developed in the 1860s under the
active leadership of Maxwell and Thomson through the British Association for the Advancement of Science
(BAAS). They formulated the requirement for a coherent system of units with base units and derived units. In
1874 the BAAS introduced the CGS system, a three-dimensional coherent unit system based on the three
mechanical units centimeter, gram, and second, using prefixes ranging from micro to mega to express decimal
submultiples and multiples. The following development of physics as an experimental science was largely based
on this system.
The sizes of the coherent CGS units in the fields of electricity and magnetism proved to be inconvenient, so in
the 1880s the BAAS and the International Electrical Congress, predecessor of the International Electrotechnical
Commission (IEC), approved a mutually coherent set of practical units. Among them were the ohm for electrical
resistance, the volt for electromotive force, and the ampere for electric current.
After the establishment of the Meter Convention on May 20, 1875, the CIPM concentrated on the
construction of new prototypes taking the meter and kilogram as the base units of length and mass. In 1889 the
first CGPM sanctioned the international prototypes for the meter and the kilogram. Together with the
astronomical second as unit of time, these units constituted a three-dimensional mechanical unit system similar
to the CGS system, but with the base units meter, kilogram, and second.
In 1901 Giorgi showed that it is possible to combine the mechanical units of this meter–kilogram–second
system with the practical electric units to form a single, coherent, four-dimensional system by adding to the three
base units a fourth base unit of an electrical nature, such as the ampere or the ohm, and rewriting the equations
occurring in electromagnetism in the so-called rationalized form. Giorgi’s proposal opened the path to a number
of new developments.
After the revision of the Meter Convention by the sixth CGPM in 1921, which extended the scope
and responsibilities of the BIPM to other fields in physics, and the subsequent creation of the CCE
(now CCEM) by the seventh CGPM in 1927, the Giorgi proposal was thoroughly discussed by the IEC,
the IUPAP, and other international organizations. This led the CCE to recommend, in 1939, the adoption of a
four-dimensional system based on the meter, kilogram, second, and ampere, a proposal approved by the CIPM
in 1946.
Following an international inquiry by the BIPM, which began in 1948, the 10th CGPM, in 1954,
approved the introduction of the ampere, the kelvin, and the candela as base units for electric current,
thermodynamic temperature, and luminous intensity, respectively. The name International System of Units (SI)
was given to the system by the 11th CGPM in 1960. At the 14th CGPM in 1971, the current version of the SI
was completed by adding the mole as base unit for amount of substance, bringing the total number of base units
to seven.
Appendix/Selected Energy-Related Tables 727

2. COMMON SYMBOLS AND UNITS

Greek alphabet

A a alpha I i iota P q rho


B b beta K j kappa R r1 sigma
C c gamma K k lambda T s tau
D dq delta M l mu Y t upsilon
E e epsilon N m nu U /u phi
Z f zeta N n xi X v chi
H g eta O o omicron W w psi
H h0 theta P p pi X x omega

International system of unit prefixes

Prefix Symbol Multiple

exa (E) 1018 (quintillions)


peta (P) 1015 (quadrillions)
tera (T) 1012 (trillions)
giga (G) 109 (billions)
mega (M) 106 (millions)
kilo (k) 103 (thousands)
hecto (h) 102 (hundreds)
deka (da) 101 (tens)

deci (d) 101 (tenths)


centi (c) 102 (hundredths)
milli (m) 103 (thousandths)
micro (m) 106 (millionths)
nano (n) 109 (billionths)
pico (p) 1012 (trillionths)
femto (f) 1015 (quadrillionths)
atto (a) 1018 (quintillionths)

International system derived units

Quantity Name Symbol Dimension

Capacitance farad F A2 s4 kg1 m2


Charge coulomb C As
Conductance siemens S kg1 m2 s3 A2 or O1
Energy joule J kg m2 s2
Force newton N kg m s2
Magnetic flux tesla T kg s2 A1
Polarizability a A2 s4 kg1
Potential volt V kg m2 s3 A1
Power watt W kg m2 s3
Pressure pascal Pa kg m1 s2
Resistance ohm O kg m2 s3 A2
728 Appendix/Selected Energy-Related Tables

3. FUNDAMENTAL PHYSICAL CONSTANTSa

General Constants

Relative uncertainty
Symbol Quantity Value Units (ppm)

Universal constants
G Newtonian constant of gravitation 6.672 59 (85) 1011 m3 kg1 s2 128
7
m0 permeability of vacuum 4p  10 N A2
E12.566 370 614 107 N A2
e0 permittivity of vacuum 1/l0c2
E8.854 187 817 1012 F m1
h Planck constant 6.626 0755 (40) 1034 Js 0.60
in electron volts, h/{e} 4.135 6692 (12) 1015 eVs 0.30
_ h/2p 1.054 572 66 (63) 1034 Js 0.60
in electron volts, _/{e} 6.582 1220 (20) 1016 eVs 0.30
lp Planck length, _/mPc ¼ (_G/c3)1/2 1.616 05 (10) 1035 m 64
1/2
mP Planck mass, (_c/G) 2.176 71 (14) 108 kg 64
tP Planck time, lP /c ¼ (_G/c5)1/2 5.390 56 (34) 1044 s 64
c speed of light in vacuum 2.997 924 58 108 ms1

Electromagnetic constants
mB Bohr magneton, e_/2me 9.274 0154 (31) 1024 J T1 0.34
in electron volts, mB/{e} 5.788 382 63 (52) 105 eV T1 0.089
in hertz, mB/h 1.399 624 18 (42) 1010 Hz T1 0.30
in kelvins, mB/k 0.671 7099 (57) K T1 8.5
in wavenumbers, mB/hc 46.686 437 (14) m1 T1 0.30
e elementary charge 1.602 177 33 (49) 1019 C 0.30
2e/h Josephson frequency–voltage ratio 4.835 9767 (14) 1014 Hz V1 0.30
F0 magnetic flux quantum, h/2e 2.067 834 61 (61) 1015 Wb 0.30
mN nuclear magneton, e_/2mP 5.050 7866 (17) 1027 J T1 0.34
in election volts, mN/{e} 3.152 451 66(28) 108 eV T1 0.089
in hertz, mN/h 7.622 5914 (23) MHz T1 0.30
in kelvins, mN/k 3.658 246 (31) 104 K T1 8.5
in wavenumbers, mN/hc 2.542 622 81 (77) 102 m1 T1 0.30
e2/h quantized Hall conductance 3.874 046 14 (17) 105 S 0.045
2
RH quantized Hall resistance, h/e ¼ m0c/2a 25,812.8056 (12) O 0.045

Atomic Constants

Relative uncertainty
Symbol Quantity Value Units (ppm)

a0 Bohr radius, a/4p RN 0.529 177 249 (24) 1010 m 0.045


2
a fine-structure constant, m0ce /2h 7.297 353 08 (33) 103 0.045
a1 inverse fine-structure constant 137.035 9895 (61) 0.045
Eh Hartree energy, e2/4pe0a0 ¼ 2RNhc 4.359 7482 (26) 1018 J 0.60
in eV, Eh/{e} 27.211 3961 (81) eV 0.30
Continues
Appendix/Selected Energy-Related Tables 729

Table continued

Relative uncertainty
Symbol Quantity Value Units (ppm)

RN Rydberg constant, meca2/2h 10,973,731.534 (13) m1 0.0012


in eV, RNhc/{e} 13.605 6981 (40) eV 0.30
in hertz, RNc 3.289 841 9499 (39) 1015 Hz 0.0012
in joules, RNhc 2.179 8741 (13) 1018 J 0.60
h/2me quantum of circulation 3.636 948 07 (33) 104 m2 s1 0.089
h/me 7.273 896 14 (65) 104 m2 s1 0.089

Electron
re Classical electron radius, a2a0 2.817 940 92 (38) 1015 m 0.13
lC Compton wavelength, h/mec 2.426 310 58 (22) 1012 m 0.089
-
lC lC /2p ¼ aa0 ¼ a2/4pRN 3.861 593 23 (35) 1013 m 0.089
me/ma electron–a-particle mass ratio 1.370 933 54 (3) 104 0.021
me/md electron–deuteron mass ratio 2.724 437 07 (6) 104 0.020
ge electron g-factor, 2(1 þ ae) 2.002 319 304 386 (20) 1  105
me electron magnetic moment 928.477 01 (31) 1026 J T1 0.34
me/mB in Bohr magnetons 1.001 159 652 193 (10) 1  105
me/mN in nuclear magnetons 1838.282 000 (37) 0.020
ae electron magnetic moment anomaly, me/mB1 1.159 652 193(10) 103 0.0086
me electron mass 9.109 3897 (54) 1031 kg 0.59
in atomic mass units 5.485 799 03 (13) 104 u 0.023
in electron volts, mec2/{e} 0.510 999 06 (15) MeV 0.30
M(e), Me electron molar mass 5.485 799 03 (13) 107 kg/mol 0.023
me/mm electron–muon
magnetic moment ratio 206.766 967 (30) 0.15
me/mm electron–muon mass ratio 4.836 332 18 (71) 103 0.15
me/mp electron–proton
magnetic moment ratio 658.210 6881 (66) 0.010
me/mp electron–proton mass ratio 5.446 170 13 (11) 104 0.020
e/me electron specific charge 1.758 819 62 (53) 1011 C kg1 0.30
se Thomson cross section, (8p/3)r2e 0.665 246 16 (18) 1028 m2 0.27

Muon
mm/me muon–electron mass ratio 206.768 262 (30) 0.15
gm muon g-factor, 2(1 þ am) 2.002 331 846 (17) 0.0084
mm muon magnetic moment 4.490 4514 (15) 1026 J T1 0.33
mm/mB in Bohr magnetons 4.841 970 97 (71) 103 0.15
mm/mN in nuclear magnetons 8.890 5981 (13) 0.15
am muon magnetic moment anomaly,
[mm/(e_/2mm)]1 1.165 9230 (84) 103 7.2
mm muon mass 1.883 5327 (11) 1028 kg 0.61
in atomic mass units 0.113 428 913 (17) u 0.15
in electron volts, mmc2/{e} 105.658 389 (34) MeV 0.32
M(m), Mm muon molar mass 1.134 289 13 (17) 104 kg/mol 0.15
mm/mp muon–proton
magnetic moment ratio 3.183 345 47 (47) 0.15

Proton
sH2 O diamagnetic shielding correction for protons 25.689 (15) 106
in pure water, spherical sample, 251C,
1m0p/mp
Continues
730 Appendix/Selected Energy-Related Tables

Table continued

Relative uncertainty
Symbol Quantity Value Units (ppm)

lC,p proton Compton wavelength, h/mpc 1.321 410 02 (12) 1015 m 0.089
-
lC;p lC,p/2p 2.103 089 37 (19) 1016 m 0.089
mp/me proton–electron mass ratio 1836.152 701 (37) 0.020
gp proton gyromagnetic ratio 26,752.2128 (81) 104 s1 T1 0.30
gp/2p 42.577 469 (13) MHz T1 0.30
g0p uncorrected (H2O, sph., 251C) 26,751.5255 (81) 104 s1 T1 0.30
g0p/2p 42.576 375 (13) MHz T1 0.30
mp proton magnetic moment 1.410 607 61 (47) 1026 J T1 0.34
mp/mB in Bohr magnetons 1.521 032 202 (15) 103 0.010
mp/mN in nuclear magnetons 2.792 847 386 (63) 0.023
mp proton mass 1.672 6231 (10) 1027 kg 0.59
in atomic mass units 1.007 276 470 (12) u 0.012
in electron volts, mpc2/{e} 938.272 31 (28) MeV 0.30
M(p), Mp proton molar mass 1.007 276 470 (12) 103 kg/mol 0.012
mp/mm proton–muon mass ratio 8.880 2444 (13) 0.15
e/mp proton specific charge 9.578 8309 (29) 107 C kg1 0.30
m0p shielded proton moment (H2O, sph., 251C) 1.410 571 38 (47) 1026 J T1 0.34
m0p/mB in Bohr magnetons 1.520 993 129 (17) 103 0.011
m0p/mN in nuclear magnetons 2.792 775 642 (64) 0.02

Neutron
lC,n neutron Compton wavelength, h/mnc 1.319 591 10 (12) 1015 m 0.089
-
lC;n lC,n/2p 2.100 194 45 (19) 1016
m 0.089
mn/me neutron–electron
magnetic moment ratio 1.040 668 82 (25) 103 0.24
mn/me neutron–electron mass ratio 1838.683 662 (40) 0.022
mn neutron magnetic moment 0.966 237 07 (40) 1026 J T1 0.41
mn/mB in Bohr magnetons 1.041 875 63 (25) 103 0.24
mn/mN in nuclear magnetons 1.913 042 75 (45) 0.24
mn neutron mass 1.674 9286 (10) 1027 kg 0.59
in atomic mass units 1.008 664 904(14) u 0.014
in electron volts, mnc2/{e} 939.565 63 (28) MeV 0.30
M(n), Mn neutron molar mass 1.008 664 904 (14) 103 kg/mol 0.014
mn/mp neutron–proton
magnetic moment ratio 0.684 979 34 (16) 0.24
mn/mp neutron–proton mass ratio 1.001 378 404 (9) 0.009

Deuteron
md/me deuteron–electron
magnetic moment ratio 0.466 434 5460 (91) 103 0.019
md/me deuteron–electron mass ratio 3670.483 014 (75) 0.020
md deuteron magnetic moment 0.433 073 75 (15) 1026 J T1 0.34
md/mB in Bohr magnetons 0.466 975 4479 (91) 103 0.019
md/mN in nuclear magnetons 0.857 438 230 (24) 0.028
md deuteron mass 3.343 5860 (20) 1027 kg 0.59
in atomic mass units 2.013 553 214 (24) u 0.012
in electron volts, mdc2/{e} 1875.613 39 (57) MeV 0.30
M(d), Md deuteron molar mass 2.013 553 214 (24) 103 kg/mol 0.012
md/mp deuteron–proton
magnetic moment ratio 0.307 012 2035 (51) 0.017
md/mp deuteron–proton mass ratio 1.999 007 496 (6) 0.003
Appendix/Selected Energy-Related Tables 731

Physico-Chemical Constants

Relative uncertainty
Symbol Quantity Value Units (ppm)

l2
mu atomic mass constant, 1
12m ( C) 1.660 5402 (10) 1027 kg 0.59
2
in electron volts, muc /{e} 931.494 32 (28) MeV 0.30
NA, L Avogadro constant 6.022 1367 (36) 1023 mol1 0.59
k Boltzmann constant, R/NA 1.380 658 (12) 1023 J K1 8.5
in electron volts, k/{e} 8.617 385 (73) 105 eV K1 8.4
in hertz, k/h 2.083 674 (18) 1010 Hz K1 8.4
in wavenumbers, k/hc 69.503 87 (59) m1 K1 8.4
F Faraday constant 96,485.309 (29) C mol1 0.30
R molar gas constant 8.314 510 (70) J mol1 K1 8.4
NAh molar Planck constant 3.990 313 23 (36) 1010 J s mol1 0.089
NAhc 0.119 626 58 (11) J m mol1 0.089
Vm molar volume (ideal gas), RT/p
T ¼ 273.15 K, p ¼ 101,325 Pa 22.414 10 (19) L/mol 8.4
n0 Loschmidt constant, NA/Vm 2.686 763 (23) 1025 m3 8.5
Vm T ¼ 273.15 K, p ¼ 100 kPa 22.711 08 (19) L/mol 8.4
c1 radiation constant, first, 2phc2 3.741 7749 (22) 1016 W m2 0.60
c2 radiation constant, second, hc/k 0.014 387 69 (12) mK 8.4
Sackur–Tetrode constant (absolute entropy
constant), 52 þ lnfð2pmu kT1 =h2 Þ3=2 kT1 =po g
So/R T1 ¼ 1 K, p0 ¼ 101,325 Pa 1.151 693 (21) 18
p0 ¼ 100 kPa 1.164 856 (21) 18
s Stefan–Boltzmann constant, (p2/60)k4/_3c2 5.670 51 (19) 108 W m2 K4 34
Wien displacement law constant,
b b ¼ lmaxTEc2/4.965 114 23 2.897 756 (24) 103 m K 8.4

Standard Values/Maintained Units

Relative uncertainty
Symbol Quantity Value Units (ppm)

u 1
atomic mass unit (unified), 1 u ¼ mu ¼ 12m(12C) 1.660 5402(10) 1027 kg 0.59
eV electron volt, (e/C)J ¼ {e} J 1.602 177 33 (49) 1019 J 0.30
gn standard acceleration of gravity 9.806 65 ms2
atm standard atmosphere 1.013 25 105 Pa

Maintained electrical units


ABI85 BIPM maintained ampere, 16.03 (30)  106 A
ABIPM ¼ V76B1/O69BI ¼ 0.999 993 97 (30) A 0.30
OBI85 BIPM maintained ohm, O69BI 11.563 (50)  106 O
OBI85 O69BI (1 Jan. 1985) ¼ 0.999 998 437 (50) O 0.050
dO69BI
Drift rate of O69BI 0.0566 (15) mO/a
dt

V76BI BIPM maintained volt, 17.59 (30)  106 V


V76BI 483,594 GHz (h/2e) ¼ 0.999 992 41 (30) V 0.30
Continues
732 Appendix/Selected Energy-Related Tables

Table continued

Relative uncertainty
Symbol Quantity Value Units (ppm)

X-ray standards
Å* Å*: l(WKa1) 0.209 100 Å* 1.000 014 81 (92) 1010 m 0.92
xu(CuKa1) Cu x-unit: l(CuKa1) 1537.400 xu 1.002077 89 (70) 1013 m 0.70
a lattice spacing of Si (in vacuum, 22.51C), 0.543 101 96 (11) nm 0.21
pffiffiffi
d220 d220 ¼ a= 8 0.192 015 540 (40) nm 0.21
Vm(Si) molar volume of Si, M(Si)/r(Si) ¼ NAa3/8 12.058 8179 (89) cm3/mol 0.74
xu(MoKa1) Mo x-unit: l(MoKa1) 707.831 xu 1.002 099 38 (45) 1013 m 0.45

a
Recommended values for fundamental physical constants; adapted from E. R. Cohen and B. N. Taylor from CODATA Bulletin,
number 63, November 1986, and Journal of Research of the National Bureau of Standards, volume 92, number 2, pages 85–95, 1987.
Values in bold are exact. In parentheses is the one-standard-deviation uncertainty of the final digit of a given value.

4. CONVERSION FACTORS FOR THE INTERNATIONAL SYSTEM OF UNITS

Source: U.S. National Institute of Standards and Technology

4.1 Introduction
Section 4.6 gives factors for converting values of quantities expressed in various units—predominantly units
outside the SI that are unacceptable for use with it—to values expressed either in (a) SI units, (b) units that are
accepted for use with the SI (especially units that better reflect the nature of the unconverted units), (c) units
formed from such accepted units and SI units, or (d) decimal multiples or submultiples of the units of (a) to (c)
that yield numerical values of convenient magnitudes.

4.2 Notation
The factors given in Section 4.6 are written as a number equal to or greater than 1 and less than 10, with
6 or fewer decimal places. The number is followed by the letter E, which stands for exponent, a plus (þ)
or minus () sign, and two digits which indicate the power of 10 by which the number is multiplied. For
example,
3:523 907 E02 means 3:523 907  102 ¼ 0:035 239 07
3:386 389 E þ03 means 3:386 389  103 ¼ 3386:389
A factor in boldface is exact. All other factors have been rounded to the significant digits given in accordance
with accepted practice. Where less than six digits after the decimal place are given, the unit does not warrant a
greater number of digits in its conversion. However, for the convenience of the user, this practice is not followed
for all such units, including the cord, cup, quad, and teaspoon.

4.3 Use of Conversion Factors


Each entry in Section 4.6 is to be interpreted as in these two examples:

To convert from To Multiply by

atmosphere, standard (atm) pascal (Pa) 1.013 25 E þ 05


cubic foot per second (ft3/s) cubic meter per second (m3/s) 2.831 685 E02
Appendix/Selected Energy-Related Tables 733

means

1 atm ¼ 101 325 Pa ðexactlyÞ


1 ft3 =s ¼ 0:028 316 85 m3 =s

Thus to express, for example, the pressure p ¼ 11.8 standard atmospheres (atm) in pascals (Pa), write

p ¼ 11:8 atm  101 325 Pa=atm

and obtain the converted numerical value 11.8  101 325 ¼ 1 195 635 and the converted value
p ¼ 1.20 MPa.

4.4 Factor for Converting Motor Vehicle Efficiency


The efficiency of motor vehicles in the United States is commonly expressed in miles per U.S. gallon, while in
most other countries it is expressed in liters per one hundred kilometers. To convert fuel economy stated in miles
per U.S. gallon to fuel consumption expressed in L/(100 km), divide 235.215 by the numerical value of the stated
fuel economy. Thus 24 miles per gallon corresponds to 9.8 L/(100 km).

4.5 U.S. Survey Foot and Mile


The U.S. Metric Law of 1866 gave the relationship 1 m ¼ 39.37 in (‘‘in’’ is the unit symbol for the inch). From
1893 until 1959, the yard was defined as being exactly equal to (3600/3937) m, and thus the foot was defined as
being exactly equal to (1200/3937) m.
In 1959 the definition of the yard was changed to bring the U.S. yard and the yard used in other countries into
agreement. Since then the yard has been defined as exactly equal to 0.9144 m, and thus the foot has been defined
as exactly equal to 0.3048 m. At the same time it was decided that any data expressed in feet derived from
geodetic surveys within the United States would continue to bear the relationship as defined in 1893, namely,
1 ft ¼ (1200/3937) m (ft is the unit symbol for the foot). The name of this foot is ‘‘U.S. survey foot,’’ while the
name of the new foot defined in 1959 is ‘‘international foot.’’ The two are related to each other through the
expression 1 international foot ¼ 0.999 998 U.S. survey foot exactly.
In Section 4.6, the factors given are based on the international foot unless otherwise indicated. Readers may
also find the following summary of exact relationships helpful, where for convenience the symbols ft and mi,
that is, ft and mi in italic type, indicate that it is the U.S. survey foot or U.S. survey mile that is meant rather than
the international foot (ft) or international mile (mi), and where rd is the unit symbol for the rod and fur is the
unit symbol for the furlong.

1 ft ¼ (1200/3937) m
1 ft ¼ 0.3048 m
1 ft ¼ 0.999 998 ft
1 rd, pole, or perch ¼ 161/2 ft
40 rd ¼ 1 fur ¼ 660 ft
8 fur ¼ 1 U.S. survey mile (also called ‘‘statute mile’’) ¼ 1 mi ¼ 5280 ft
1 fathom ¼ 6 ft
1 international mile ¼ 1 mi ¼ 5280 ft
2721/4 ft2 ¼ 1 rd2
160 rd2 ¼ 1 acre ¼ 43 560 ft2
640 acre ¼ 1 mi2
734 Appendix/Selected Energy-Related Tables

4.6 Factors for Units Listed Alphabetically

Factors in boldface are exact.

To convert from To Multiply by

abampere ampere (A) 1.0 E þ 01


abcoulomb coulomb (C) 1.0 E þ 01
abfarad farad (F) 1.0 E þ 09
abhenry henry (H) 1.0 E09
abmho siemens (S) 1.0 E þ 09
abohm ohm O 1.0 E09
abvolt volt (V) 1.0 E08
acceleration of free fall, standard (gn) meter per second squared (m/s2) 9.806 65 E þ 00
acre (based on U.S. survey foot) square meter (m2) 4.046 873 E þ 03
acre foot (based on U.S. survey foot) cubic meter (m3) 1.233 489 E þ 03
ampere hour (A  h) coulomb (C) 3.6 E þ 03
ångström (Å) meter (m) 1.0 E10
ångström (Å) nanometer (nm) 1.0 E01
astronomical unit (AU) meter (m) 1.495 979 E þ 11

barrel [for petroleum, 42 gallons (U.S.)] (bbl) cubic meter (m3) 1.589 873 E01
barrel [for petroleum, 42 gallons (U.S.)] (bbl) liter (L) 1.589 873 E þ 02
biot (Bi) ampere (A) 1.0 E þ 01
British thermal unitIT (BtuIT) joule (J) 1.055 056 E þ 03
British thermal unitIT foot per hour square foot
degree Fahrenheit [BtuIT  ft/(h  ft2  1F)] watt per meter kelvin [W/(m  K)] 1.730 735 E þ 00
British thermal unitIT inch per hour square foot
degree Fahrenheit [BtuIT  in/(h  ft2  1F)] watt per meter kelvin [W/(m  K)] 1.442 279 E01
British thermal unitIT inch per second square foot
degree Fahrenheit [BtuIT  in/(s  ft2  1F)] watt per meter kelvin [W/(m  K)] 5.192 204 E þ 02
British thermal unitIT per cubic foot (BtuIT/ft3) joule per cubic meter (J/m3) 3.725 895 E þ 04
British thermal unitIT per degree Fahrenheit
(BtuIT/1F) joule per kelvin (J/k) 1.899 101 E þ 03
British thermal unitIT per degree Rankine (BtuIT/1R) joule per kelvin (J/k) 1.899 101 E þ 03
British thermal unitIT per hour (BtuIT/h) watt (W) 2.930 711 E01
British thermal unitIT per hour square foot degree
Fahrenheit [BtuIT/(h  ft2  1F)] watt per square meter kelvin [W/(m2  K)] 5.678 263 E þ 00
British thermal unitIT per pound (BtuIT/lb) joule per kilogram (J/kg) 2.326 E þ 03
British thermal unitIT per pound degree Fahrenheit
[BtuIT/(lb  1F)] joule per kilogram kelvin [J/(kg  K)] 4.1868 E þ 03
British thermal unitIT per pound degree Rankine
[BtuIT/(lb  1R)] joule per kilogram kelvin [J/(kg  K)] 4.1868 E þ 03
British thermal unitIT per second (BtuIT/s) watt (W) 1.055 056 E þ 03
British thermal unitIT per second square foot degree
Fahrenheit [BtuIT/(s  ft2  1F)] watt per square meter kelvin [W/(m2  K)] 2.044 175 E þ 04
2
British thermal unitIT per square foot (BtuIT/ft ) joule per square meter (J/m2) 1.135 653 E þ 04
British thermal unitIT per square foot hour
[BtuIT/(ft2  h)] watt per square meter (W/m2) 3.154 591 E þ 00
British thermal unitIT per square foot second
[BtuIT/(ft2  s)] watt per square meter (W/m2) 1.135 653 E þ 04
bushel (U.S.) (bu) cubic meter (m3) 3.523 907 E02
bushel (U.S.) (bu) liter (L) 3.523 907 E þ 01

Continues
Appendix/Selected Energy-Related Tables 735

Table continued

To convert from To Multiply by

calorieIT (calIT) joule (J) 4.1868 E þ 00


calorieth (calth) joule (J) 4.184 E þ 00
calorie (cal) (mean) joule (J) 4.190 02 E þ 00
calorie (151C) (cal15) joule (J) 4.185 80 E þ 00
calorie (201C) (cal20) joule (J) 4.181 90 E þ 00
calorieIT, kilogram (nutrition) joule (J) 4.1868 E þ 03
calorieth/, kilogram (nutrition) joule (J) 4.184 E þ 03
calorie (mean), kilogram (nutrition) joule (J) 4.190 02 E þ 03
calorieth per centimeter second degree Celsius watt per meter kelvin [W/(m  K)] 4.184 E þ 02
[calth/(cm  s  1C)]
calorieIT per gram (calIT/g) joule per kilogram (J/kg) 4.1868 E þ 03
calorieth per gram (calth/g) joule per kilogram (J/kg) 4.184 E þ 03
calorieIT per gram degree Celsius [calIT/(g  1C)] joule per kilogram kelvin [J/(kg  K)] 4.1868 E þ 03
calorieth per gram degree Celsius [calth/(g  1C)] joule per kilogram kelvin [J/(kg  K)] 4.184 E þ 03
calorieIT per gram kelvin [calIT/(g  K)] joule per kilogram kelvin [J/(kg  K)] 4.1868 E þ 03
calorieth per gram kelvin [calth/(g  K)] joule per kilogram kelvin [J/(kg  K)] 4.184 E þ 03
calorieth per minute (calth/min) watt (W) 6.973 333 E02
calorieth per second (calth/s) watt (W) 4.184 E þ 00
calorieth per square centimeter (calth/cm2) joule per square meter (J/m2) 4.184 E þ 04
calorieth per square centimeter minute [calth/(cm2  min)] watt per square meter (W/m2) 6.973 333 E þ 02
2
calorieth per square centimeter second [calth/(cm  s)] watt per square meter (W/m2) 4.184 E þ 04
candela per square inch (cd/in2) candela per square meter (cd/m2) 1.550 003 E þ 03
carat, metric kilogram (kg) 2.0 E04
carat, metric gram (g) 2.0 E01
chain (based on U.S. survey foot) (ch) meter (m) 2.011 684 E þ 01
cord (128 ft3) cubic meter (m3) 3.624 556 E þ 00
3
cubic foot (ft ) cubic meter (m3) 2.831 685 E02
cubic foot per minute (ft3/min) cubic meter per second (m3/s) 4.719 474 E04
cubic foot per minute (ft3/min) liter per second (L/s) 4.719 474 E01
cubic foot per second (ft3/s) cubic meter per second (m3/s) 2.831 685 E02
cubic inch (in3) cubic meter (m3) 1.638 706 E05
cubic inch per minute (in3/min) cubic meter per second (m3/s) 2.731 177 E07
cubic mile (mi3) cubic meter (m3) 4.168 182 E þ 09
cubic yard (yd3) cubic meter (m3) 7.645 549 E01
3
cubic yard per minute (yd /min) cubic meter per second (m3/s) 1.274 258 E02
cup (U.S.) cubic meter (m3) 2.365 882 E04
cup (U.S.) liter (L) 2.365 882 E01
cup (U.S.) milliliter (mL) 2.365 882 E þ 02
curie (Ci) becquerel (Bq) 3.7 E þ 10

darcy meter squared (m2) 9.869 233 E13


day (d) second (s) 8.64 E þ 04
day (sidereal) second (s) 8.616 409 E þ 04
debye (D) coulomb meter (C  m) 3.335 641 E30
degree (angle) (1) radian (rad) 1.745 329 E02
degree Celsius (temperature) (1C) kelvin (K) T/K ¼ t/1C þ 273.15
degree Celsius (temperature interval) (1C) kelvin (K) 1.0 E þ 00
degree centigrade (temperature) 16 degree Celsius (1C) t/1C t/deg  cent
degree centigrade (temperature interval) 16 degree Celsius (1C) 1.0 E þ 00

Continues
736 Appendix/Selected Energy-Related Tables

Table continued

To convert from To Multiply by

degree Fahrenheit (temperature) (1F) degree Celsius (1C) t/1C ¼ (t/1F32)/1.8


degree Fahrenheit (temperature) (1F) kelvin (K) T/K ¼ (t/1F þ 459.67)/1.8
degree Fahrenheit (temperature interval) (1F) degree Celsius (1C) 5.555 556 E01
degree Fahrenheit (temperature interval) (1F) kelvin (K) 5.555 556 E01
degree Fahrenheit hour per British thermal unitIT
(1F  h/BtuIT) kelvin per watt (K/W) 1.895 634 E þ 00
degree Fahrenheit hour per British thermal unitth
(1F  h/Btuth) kelvin per watt (K/W) 1.896 903 E þ 00
degree Fahrenheit hour square foot per British thermal
unitIT (1F  h  ft2/BtuIT) square meter kelvin per watt (m2  K/W) 1.761 102 E01
degree Fahrenheit hour square foot per British thermal
unitth (1F  h  ft2/Btuth) square meter kelvin per watt (m2  K/W) 1.762 280 E01
degree Fahrenheit hour square foot per British thermal
unitIT inch [1F  h  ft2/(BtuIT  in)] meter kelvin per watt (m  K/W) 6.933 472 E þ 00
degree Fahrenheit hour square foot per British thermal
unitth inch [1F  h  ft2/(Btuth  in)] meter kelvin per watt (m  K/W) 6.938 112 E þ 00
degree Fahrenheit second per British thermal unitIT (1F  s/
BtuIT) kelvin per watt (K/W) 5.265 651 E04
degree Fahrenheit second per British thermal unitth (1F  s/
Btuth) kelvin per watt (K/W) 5.269 175 E04
degree Rankine (1R) kelvin (K) T/K ¼ (T/1R)/1.8
degree Rankine (temperature interval) (1R) kelvin (K) 5.555 556 E01
dyne (dyn) newton (N) 1.0 E05
dyne centimeter (dyn  cm) newton meter (N  m) 1.0 E07
dyne per square centimeter (dyn/cm2) pascal (Pa) 1.0 E01

electronvolt (eV) joule (J) 1.602 177 E19


EMU of capacitance (abfarad) farad (F) 1.0 E þ 09
EMU of current (abampere) ampere (A) 1.0 E þ 01
EMU of electric potential (abvolt) volt (V) 1.0 E08
EMU of inductance (abhenry) henry (H) 1.0 E09
EMU of resistance (abohm) ohm (O) 1.0 E09
erg (erg) joule (J) 1.0 E07
erg per second (erg/s) watt (W) 1.0 E07
erg per square centimeter second [erg/(cm2  s)] watt per square meter (W/m2) 1.0 E03
ESU of capacitance (statfarad) farad (F) 1.112 650 E12
ESU of current (statampere) ampere (A) 3.335 641 E10
ESU of electric potential (statvolt) volt (V) 2.997 925 E þ 02
ESU of inductance (stathenry) henry (H) 8.987 552 E þ 11
ESU of resistance (statohm) ohm (O) 8.987 552 E þ 11

faraday (based on carbon 12) coulomb (C) 9.648 531 E þ 04


fathom (based on U.S. survey foot) meter (m) 1.828 804 E þ 00
fluid ounce (U.S.) (fl oz) cubic meter (m3) 2.957 353 E05
fluid ounce (U.S.) (fl oz) milliliter (mL) 2.957 353 E þ 01
foot (ft) meter (m) 3.048 E01
foot (U.S. survey) (ft) meter (m) 3.048 006 E01
footcandle lux (lx) 1.076 391 E þ 01
footlambert candela per square meter (cd/m2) 3.426 259 E þ 00
foot per hour (ft/h) meter per second (m/s) 8.466 667 E05

Continues
Appendix/Selected Energy-Related Tables 737

Table continued

To convert from To Multiply by

foot per minute (ft/min) meter per second (m/s) 5.08 E03
foot per second (ft/s) meter per second (m/s) 3.048 E01
foot per second squared (ft/s2) meter per second squared (m/s2) 3.048 E01
foot poundal joule (J) 4.214 011 E02
foot pound-force (ft  lbf) joule (J) 1.355 818 E þ 00
foot pound-force per hour (ft  lbf/h) watt (W) 3.766 161 E04
foot pound-force per minute (ft  lbf/min) watt (W) 2.259 697 E02
foot pound-force per second (ft  lbf/s) watt (W) 1.355 818 E þ 00
franklin (Fr) coulomb (C) 3.335 641 E10

gal (Gal) meter per second squared (m/s2) 1.0 E02


gallon [Canadian and U.K. (Imperial)] (gal) cubic meter (m3) 4.546 09 E03
gallon [Canadian and U.K. (Imperial)] (gal) liter (L) 4.546 09 E þ 00
gallon (U.S.) (gal) cubic meter (m3) 3.785 412 E03
gallon (U.S.) (gal) liter (L) 3.785 412 E þ 00
gallon (U.S.) per day (gal/d) cubic meter per second (m3/s) 4.381 264 E08
gallon (U.S.) per day (gal/d) liter per second (L/s) 4.381 264 E05
gallon (U.S.) per horsepower hour [gal/(hp  h)] cubic meter per joule (m3/J) 1.410 089 E09
gallon (U.S.) per horsepower hour [gal/(hp  h)] liter per joule (L/J) 1.410 089 E06
gallon (U.S.) per minute (gpm) (gal/min) cubic meter per second (m3/s) 6.309 020 E05
gallon (U.S.) per minute (gpm) (gal/min) liter per second (L/s) 6.309 020 E02
gamma (g) tesla (T) 1.0 E09
gauss (Gs, G) tesla (T) 1.0 E04
gilbert (Gi) ampere (A) 7.957 747 E01
grain (gr) kilogram (kg) 6.479 891 E05
grain (gr) milligram (mg) 6.479 891 E þ 01
grain per gallon (U.S.) (gr/gal) kilogram per cubic meter (kg/m3) 1.711 806 E02
grain per gallon (U.S.) (gr/gal) milligram per liter (mg/L) 1.711 806 E þ 01
gram per cubic centimeter (g/cm3) kilogram per cubic meter (kg/m3) 1.0 E þ 03

hectare (ha) square meter (m2) 1.0 E þ 04


horsepower (550 ft  lbf/s) (hp) watt (W) 7.456 999 E þ 02
horsepower (boiler) watt (W) 9.809 50 E þ 03
horsepower (electric) watt (W) 7.46 E þ 02
horsepower (metric) watt (W) 7.354 988 E þ 02
horsepower (UK) watt (W) 7.4570 E þ 02
horsepower (water) watt (W) 7.460 43 E þ 02
hour (h) second (s) 3.6 E þ 03
hour (sidereal) second (s) 3.590 170 E þ 03

inch (in) meter (m) 2.54 E02


inch (in) centimeter (cm) 2.54 E þ 00
inch per second (in/s) meter per second (m/s) 2.54 E02
inch per second squared (in/s2) meter per second squared (m/s2) 2.54 E02

kelvin (K) degree Celsius (1C) t/1C ¼ T/K273.15


kilocalorieIT (kcalIT) joule (J) 4.1868 E þ 03
kilocalorieth (kcalth) joule (J) 4.184 E þ 03
kilocalorie (mean) (kcal) joule (J) 4.190 02 E þ 03

Continues
738 Appendix/Selected Energy-Related Tables

Table continued

To convert from To Multiply by

kilocalorieth per minute (kcalth/min) watt (W) 6.973 333 E þ 01


kilocalorieth per second (kcalth/s) watt (W) 4.184 E þ 03
kilogram-force (kgf) newton (N) 9.806 65 E þ 00
kilogram-force meter (kgf  m) newton meter (N  m) 9.806 65 E þ 00
kilogram-force per square centimeter (kgf/cm2) pascal (Pa) 9.806 65 E þ 04
kilogram-force per square centimeter (kgf/cm2) kilopascal (kPa) 9.806 65 E þ 01
kilogram-force per square meter (kgf/m2) pascal (Pa) 9.806 65 E þ 00
kilogram-force per square millimeter (kgf/mm2) pascal (Pa) 9.806 65 E þ 06
kilogram-force per square millimeter (kgf/mm2) megapascal (MPa) 9.806 65 E þ 00
kilogram-force second squared per meter (kgf  s2/m) kilogram (kg) 9.806 65 E þ 00
kilometer per hour (km/h) meter per second (m/s) 2.777 778 E01
kilopond (kilogram-force) (kp) newton (N) 9.806 65 E þ 00
kilowatt hour (kW  h) joule (J) 3.6 E þ 06
kilowatt hour (kW  h) megajoule (MJ) 3.6 E þ 00
knot (nautical mile per hour) meter per second (m/s) 5.144 444 E01

lambert candela per square meter (cd/m2) 3.183 099 E þ 03


langley (calth/cm2) joule per square meter (J/m2) 4.184 E þ 04
light year (l.y.) meter (m) 9.460 73 E þ 15
liter (L) cubic meter (m3) 1.0 E03
lumen per square foot (lm/ft2) lux (lx) 1.076 391 E þ 01

maxwell (Mx) weber (Wb) 1.0 E08


mho siemens (S) 1.0 E þ 00
micron (m) meter (m) 1.0 E06
micron (m) micrometer (mm) 1.0 E þ 00
mile (mi) meter (m) 1.609 344 E þ 03
mile (mi) kilometer (km) 1.609 344 E þ 00
mile, nautical meter (m) 1.852 E þ 03
mile per gallon (U.S.) (mpg) (mi/gal) meter per cubic meter (m/m3) 4.251 437 E þ 05
mile per gallon (U.S.) (mpg) (mi/gal) kilometer per liter (km/L) 4.251 437 E01
mile per gallon (U.S.) (mpg) (mi/gal) liter per 100 kilometer (L/100 km) divide 235.215 by
number of miles
per gallon
mile per hour (mi/h) meter per second (m/s) 4.4704 E01
mile per hour (mi/h) kilometer per hour (km/h) 1.609 344 E þ 00
mile per minute (mi/min) meter per second (m/s) 2.682 24 E þ 01
mile per second (mi/s) meter per second (m/s) 1.609 344 E þ 03
minute (min) second (s) 6.0 E þ 01
minute (sidereal) second (s) 5.983 617 E þ 01

oersted (Oe) ampere per meter (A/m) 7.957 747 E þ 01


ohm centimeter (O  cm) ohm meter (O  m) 1.0 E02
ohm circular-mil per foot ohm meter (O  m) 1.662 426 E09
ohm circular-mil per foot ohm square millimeter per meter (O  mm2/ 1.662 426 E03
m)
ounce (avoirdupois) (oz) kilogram (kg) 2.834 952 E02
ounce (avoirdupois) (oz) gram (g) 2.834 952 E þ 01
ounce (troy or apothecary) (oz) kilogram (kg) 3.110 348 E02

Continues
Appendix/Selected Energy-Related Tables 739

Table continued

To convert from To Multiply by

ounce (troy or apothecary) (oz) gram (g) 3.110 348 E þ 01


ounce [Canadian and UK fluid (Imperial)] (fl oz) cubic meter (m3) 2.841 306 E05
ounce [Canadian and UK fluid (Imperial)] (fl oz) milliliter (mL) 2.841 306 E þ 01
ounce (U.S. fluid) (fl oz) cubic meter (m3) 2.957 353 E05
ounce (U.S. fluid) (fl oz) milliliter (mL) 2.957 353 E þ 01
ounce (avoirdupois) per cubic inch (oz/in3) kilogram per cubic meter (kg/m3) 1.729 994 E þ 03
ounce (avoirdupois) per gallon
[Canadian and UK (Imperial)] (oz/gal) kilogram per cubic meter (kg/m3) 6.236 023 E þ 00
ounce (avoirdupois) per gallon
[Canadian and UK (Imperial)] (oz/gal) gram per liter (g/L) 6.236 023 E þ 00
ounce (avoirdupois) per gallon (U.S.) (oz/gal) kilogram per cubic meter (kg/m3) 7.489 152 E þ 00
ounce (avoirdupois) per gallon (U.S.) (oz/gal) gram per liter (g/L) 7.489 152 E þ 00
ounce (avoirdupois) per square foot (oz/ft2) kilogram per square meter (kg/m2) 3.051 517 E01
2
ounce (avoirdupois) per square inch (oz/in ) kilogram per square meter (kg/m2) 4.394 185 E þ 01
ounce (avoirdupois) per square yard (oz/yd2) kilogram per square meter (kg/m2) 3.390 575 E02

parsec (pc) meter (m) 3.085 678 E þ 16


peck (U.S.) (pk) cubic meter (m3) 8.809 768 E03
peck (U.S.) (pk) liter (L) 8.809 768 E þ 00
pint (U.S. dry) (dry pt) cubic meter (m3) 5.506 105 E04
pint (U.S. dry) (dry pt) liter (L) 5.506 105 E01
pint (U.S. liquid) (liq pt) cubic meter (m3) 4.731 765 E04
pint (U.S. liquid) (liq pt) liter (L) 4.731 765 E01
pound (avoirdupois) (lb) kilogram (kg) 4.535 924 E01
pound (troy or apothecary) (lb) kilogram (kg) 3.732 417 E01
poundal newton (N) 1.382 550 E01
poundal per square foot pascal (Pa) 1.488 164 E þ 00
poundal second per square foot pascal second (Pa  s) 1.488 164 E þ 00
pound foot squared (lb  ft2) kilogram meter squared (kg  m2) 4.214 011 E02
pound-force (lbf) newton (N) 4.448 222 E þ 00
pound-force foot (lbf  ft) newton meter (N  m) 1.355 818 E þ 00
pound-force foot per inch (lbf  ft/in) newton meter per meter (N  m/m) 5.337 866 E þ 01
pound-force inch (lbf  in) newton meter (N  m) 1.129 848 E01
pound-force inch per inch (lbf  in/in) newton meter per meter (N  m/m) 4.448 222 E þ 00
pound-force per foot (lbf/ft) newton per meter (N/m) 1.459 390 E þ 01
pound-force per inch (lbf/in) newton per meter (N/m) 1.751 268 E þ 02
pound-force per pound (lbf/lb) (thrust to mass ratio) newton per kilogram (N/kg) 9.806 65 E þ 00
pound-force per square foot (lbf/ft2) pascal (Pa) 4.788 026 E þ 01
pound-force per square inch (psi) (lbf/in2) pascal (Pa) 6.894 757 E þ 03
pound-force per square inch (psi) (lbf/in2) kilopascal (kPa) 6.894 757 E þ 00
pound-force second per square foot (lbf  s/ft2) pascal second (Pa  s) 4.788 026 E þ 01
pound-force second per square inch (lbf  s/in2) pascal second (Pa  s) 6.894 757 E þ 03
pound inch squared (lb  in2) kilogram meter squared (kg  m2) 2.926 397 E04
pound per cubic foot (lb/ft3) kilogram per cubic meter (kg/m3) 1.601 846 E þ 01
3
pound per cubic inch (lb/in ) kilogram per cubic meter (kg/m3) 2.767 990 E þ 04
pound per cubic yard (lb/yd3) kilogram per cubic meter (kg/m3) 5.932 764 E01
pound per foot (lb/ft) kilogram per meter (kg/m) 1.488 164 E þ 00
pound per foot hour [lb/(ft  h)] pascal second (Pa  s) 4.133 789 E04
pound per foot second [lb/(ft  s)] pascal second (Pa  s) 1.488 164 E þ 00

Continues
740 Appendix/Selected Energy-Related Tables

Table continued

To convert from To Multiply by


3
pound per gallon [Canadian and U.K. (Imperial)] kilogram per cubic meter (kg/m ) 9.977 637 E þ 01
(lb/gal)
pound per gallon [Canadian and U.K. (Imperial)] kilogram per liter (kg/L) 9.977 637 E02
(lb/gal)
pound per gallon (U.S.) (lb/gal) kilogram per cubic meter (kg/m3) 1.198 264 E þ 02
pound per gallon (U.S.) (lb/gal) kilogram per liter (kg/L) 1.198 264 E01
pound per horsepower hour [lb/(hp  h)] kilogram per joule (kg/J) 1.689 659 E07
pound per hour (lb/h) kilogram per second (kg/s) 1.259 979 E04
pound per inch (lb/in) kilogram per meter (kg/m) 1.785 797 E þ 01
pound per minute (lb/min) kilogram per second (kg/s) 7.559 873 E03
pound per second (lb/s) kilogram per second (kg/s) 4.535 924 E01
pound per square foot (lb/ft2) kilogram per square meter (kg/m2) 4.882 428 E þ 00
pound per square inch (not pound-force) (lb/in2) kilogram per square meter (kg/m2) 7.030 696 E þ 02
pound per yard (lb/yd) kilogram per meter (kg/m) 4.960 546 E01
psi (pound-force per square inch) (lbf/in2) pascal (Pa) 6.894 757 E þ 03
psi (pound-force per square inch) (lbf/in2) kilopascal (kPa) 6.894 757 E þ 00

quad (1015 BtuIT) joule (J) 1.055 056 E þ 18


quart (U.S. dry) (dry qt) cubic meter (m3) 1.101 221 E03
quart (U.S. dry) (dry qt) liter (L) 1.101 221 E þ 00
quart (U.S. liquid) (liq qt) cubic meter (m3) 9.463 529 E04
quart (U.S. liquid) (liq qt) liter (L) 9.463 529 E01

rad (absorbed dose) (rad) gray (Gy) 1.0 E02


rem (rem) sievert (Sv) 1.0 E02
roentgen (R) coulomb per kilogram (C/kg) 2.58 E04

square foot (ft2) square meter (m2) 9.290 304 E02


2
square foot per hour (ft /h) square meter per second (m2/s) 2.580 64 E05
square foot per second (ft2/s) square meter per second (m2/s) 9.290 304 E02
2
square inch (in ) square meter (m2) 6.4516 E04
square inch (in2) square centimeter (cm2) 6.4516 E þ 00
square mile (mi2) square meter (m2) 2.589 988 E þ 06
square mile (mi2) square kilometer (km2) 2.589 988 E þ 00
square mile (based on U.S. survey foot) (mi2) square meter (m2) 2.589 998 E þ 06
square mile (based on U.S. survey foot) (mi2) square kilometer (km2) 2.589 998 E þ 00
square yard (yd2) square meter (m2) 8.361 274 E01
statampere ampere (A) 3.335 641 E10
statcoulomb coulomb (C) 3.335 641 E10
statfarad farad (F) 1.112 650 E12
stathenry henry (H) 8.987 552 E þ 11
statmho siemens (S) 1.112 650 E12
statohm ohm (O) 8.987 552 E þ 11
statvolt volt (V) 2.997 925 E þ 02
stere (st) cubic meter (m3) 1.0 E þ 00
stilb (sb) candela per square meter (cd/m2) 1.0 E þ 04

tablespoon cubic meter (m3) 1.478 676 E05


tablespoon milliliter (mL) 1.478 676 E þ 01

Continues
Appendix/Selected Energy-Related Tables 741

Table continued

To convert from To Multiply by

teaspoon cubic meter (m3) 4.928 922 E06


teaspoon milliliter (mL) 4.928 922 E þ 00
therm (EU) joule (J) 1.055 06 E þ 08
therm (U.S.) joule (J) 1.054 804 E þ 08
ton, assay (AT) kilogram (kg) 2.916 667 E02
ton, assay (AT) gram (g) 2.916 667 E þ 01
ton-force (2000 lbf) newton (N) 8.896 443 E þ 03
ton-force (2000 lbf) kilonewton (kN) 8.896 443 E þ 00
ton, long (2240 lb) kilogram (kg) 1.016 047 E þ 03
ton, long, per cubic yard kilogram per cubic meter (kg/m3) 1.328 939 E þ 03
ton, metric (t) kilogram (kg) 1.0 E þ 03
tonne (called ‘‘metric ton’’ in U.S.) (t) kilogram (kg) 1.0 E þ 03
ton of refrigeration (12 000 BtuIT/h) watt (W) 3.516 853 E þ 03
ton of TNT (energy equivalent) joule (J) 4.184 E þ 09
ton, register cubic meter (m3) 2.831 685 E þ 00
ton, short (2000 lb) kilogram (kg) 9.071 847 E þ 02
ton, short, per cubic yard kilogram per cubic meter (kg/m3) 1.186 553 E þ 03
ton, short, per hour kilogram per second (kg/s) 2.519 958 E01

watt hour (W  h) joule (J) 3.6 E þ 03


watt per square centimeter (W/cm2) watt per square meter (W/m2) 1.0 E þ 04
watt per square inch (W/in2) watt per square meter (W/m2) 1.550 003 E þ 03
watt second (W  s) joule (J) 1.0 E þ 00

yard (yd) meter (m) 9.144 E01


year (365 days) second (s) 3.1536 E þ 07
year (sidereal) second (s) 3.155 815 E þ 07
year (tropical) second (s) 3.155 693 E þ 07

5. ENERGY CONVERSION EFFICIENCIES

Efficiencies of Common Anthropogenic and Natural Energy Conversionsa

Conversion Energiesb Efficiencies

Large electricity generators m-e 98–99


Large power plant boilers c-t 90–98
Large electric motors e-m 90–97
Best home natural gas furnaces c-t 90–96
Dry-cell batteries c-e 85–95
Home gas furnace c-t 85
Human lactation c-c 75–85
Overshot waterwheels m-m 60–85
Small electric motors e-m 60–75

Continues
742 Appendix/Selected Energy-Related Tables

Table continued

Conversion Energiesb Efficiencies

Best bacterial growth c-c 50–65


Glycolysis maxima c-c 50–60
Home oil furnace c-t 60
Fluidized bed coal combustion c-e 40–50
Integrated gasification combined cycle c-e 40–50
Large steam turbines t-m 40–45
Improved wood stoves c-t 25–45
Large gas turbines c-m 35–40
Fossil fuel electric generating plant c-e 30–40
Charcoal production—earth kiln c-c 20–40
Modern wind turbine m-e 40
Diesel engines c-m 30–35
Mammalian postnatal growth c-c 30–35
Best photovoltaic cells r-e 20–30
Best large steam engines c-m 20–25
Internal combustion engines c-m 15–25
High-pressure sodium lamps e-r 15–20
Mammalian muscles c-m 15–20
Milk production c-c 15–20
Pregnancy c-c 10–20
Fluorescent lights e-r 10–20
Broiler production c-c 10–15
Traditional stoves c-t 10–15
Beef production c-c 5–10
Steam locomotives c-m 3–6
Peak field photosynthesis r-c 4–5
Incandescent light bulbs e-r 2–5
Paraffin candles c-r 1–2
Most productive ecosystems r-c 1–2
Global photosynthetic mean r-c 0.3
a
All ranges are the first-law efficiencies in percent.
b
Energy labels: c ¼ chemical, e ¼ electrical, m ¼ mechanical (kinetic), r ¼ radiant (electromagnetic, solar), t ¼ thermal.

6. MASS-ENERGY EQUIVALENTS

Mass-Energy Equivalence

1 electron mass 1 atomic mass unit (amu) 1 gram (g) 1 kilogram (kg)

0.511 MeV 931.5 MeV 5.61  1026 MeV 5.61  1029 MeV
8.187  1014 J 1.492  1010 J 8.988  1013 J 8.988  1016 J
7.765  1017 BTU 1.415  1013 BTU 8.524  1010 BTU 8.524  1013 BTU
7
2.274  10 20
kWh 4.146  10 17
kWh 2.497  10 kWh 2.497  1010 kWh
35 31 8
7.765  10 Q 1.415  10 Q 8.524  10 Q 8.524  105 Q

Continues
Appendix/Selected Energy-Related Tables 743

Table continued

1 ton 1 MeV 1 joule (J) 1 BTU

5.089  1032 MeV 1.957 electron masses 1.221  1013 electron masses 1.288  1016 electron masses
19 9
8.153  10 J 1.074  10 3
amu 6.701  10 amu 7.065  1012 amu
16 27 14
7.733  10 BTU 1.783  10 g 1.113  10 g 1.173  1011 g
13 30 17
2.265  10 kWh 1.783  10 kg 1.113  10 kg 1.173  1014 kg
2 33 20
7.733  10 Q 1.965  10 ton 1.226  10 ton 1.293  1017 ton

1 kilowatt-hour (kWh) 1Q

4.397  1019 electron masses 1.288  1034 electron masses


16
2.412  10 amu 7.065  1030 amu
4.006  10 g8
1.173  107 g
4.006  1011 kg 1.173  104 kg
4.415  1014 ton 12.93 tons

Note. This table can be used to calculate the energy released in a process in which the mass decreases by a known amount. This table
cannot be used directly to calculate, for example, the energy available from a given quantity of U235, because in the fission of 1 kg of U235, the
decrease in mass is much less than 1 kg.

7. CONVERSION SCHEME FOR COMMON ENERGY DEVICES

Device Energy input Useful output

Electric heater Electricity Thermal energy


Hair dryer Electricity Thermal energy
Electric generator Mechanical energy Electricity
Electric motor Electricity Mechanical energy
Battery Chemical energy Electricity
Steam boiler Chemical energy Thermal energy
Furnace Chemical energy Thermal energy
Steam turbine Thermal energy Mechanical energy
Gas turbine Chemical energy Mechanical energy
Automobile engine Chemical energy Mechanical energy
Fluorescent lamp Electricity Light
Silicon solar cell Solar energy Electricity
Steam locomotive Chemical Mechanical
Incandescent lamp Electricity Light

8. ENERGY FLOWS AND STORAGES

Energy flow or storagea Actual multiple (J) Order of magnitude


b
Solar radiation intercepted by the Earth 5.5 24
Global coal resources 2 23

Continues
744 Appendix/Selected Energy-Related Tables

Table continued

Energy flow or storagea Actual multiple (J) Order of magnitude

Global plant mass 2 22


Global net photosynthesisb 2 21
Global fossil fuel productionb 3 20
Typical Caribbean hurricane 3.8 19
Global lightningsb 3.2 18
Largest H-bomb tested in 1961 2.4 17
Global zodiacal lightb 6.3 16
Latent heat of a thunderstorm 5 15
Kinetic energy of a thunderstorm 1 14
Hiroshima bomb (1945) 8.4 13
Coal load in a 100 t hopper car 2.5 12
Good grain corn harvest (8 t/ha) 1.2 11
Gasoline for a compact carb 4 10
Barrel of crude oil 6.5 9
Basal metabolism of a large horse 1 8
Daily adult food intake 1 7
Bottle of white table wine 2.6 6
Large hen egg 4 5
Vole’s daily basal metabolism 5 4
Small chickpea 5 3
Baseball (140 g) pitched at 40 m/s 1.1 2
Tennis ball (50 g) served at 25 m/s 1.5 1
Full teacup (300 g) held in hand 2.6 0
Falling 2 cm hailstone 2 1
Striking a typewriter key 2 2
Fly on a kitchen table 9 3
Small bird’s 5 second song 5 4
A 2 mm raindrop falling at 6 m/s 7.5 5
The same drop on a blade of grass 4 6
Flea hop 1 7

Source. Smil, V. (1991). ‘‘General Energetics.’’ Wiley.


a
Calculated from data in Chapters 2–10 and from measurements of common activities and objects.
b
Annual total.

9. FUEL PROPERTIES

Higher heating value Lower heating value


Chemical Molecular Densitya
Substance formula weight (kg/m3) 3 b
(kJ/m ) (kJ/kg) b
(kJ/m3)b (kJ/kg)b

Fuels
Hydrogen H2 2.016 0.0838 11,910 142,097 10,060 120,067
Carbon C 12.011 y y 32,778 y 32,778
Sulfur S 32.064 y y 9,257 y 9,257
Hydrogen sulfide H2S 34.080 1.4168 23,390 16,506 21,540 15,204
Continues
Appendix/Selected Energy-Related Tables 745

Table continued

Higher heating value Lower heating value


Chemical Molecular Densitya
Substance formula weight (kg/m3) (kJ/m3)b (kJ/kg)b (kJ/m3)b (kJ/kg)b

Carbon monoxide CO 28.006 1.1643 11,770 10,110 11,770 10,110


Methane CH4 16.043 0.6669 37,030 55,529 33,340 49,994
Methyl alcohol CH3OH 32.043 1.3321 31,780 23,858 28,090 21,086
Ethane C2H6 30.071 1.2501 64,910 51,920 59,370 47,489
Ethylene C2H4 28.055 1.1663 58,690 50,322 55,000 47,156
Acetylene C2H2 26.039 1.0825 54,140 50,010 52.290 48,305
Ethyl alcohol C2H5OH 46.071 1.9153 58,630 30,610 53,090 27,717
Propane C3H8 44.099 1.8333 92,390 50,399 85,010 46,370
Propylene C3H6 42.083 1.7495 85,640 48,954 80,110 45,789
n-Butane C4H10 58.126 2.4164 119,820 49,589 110,590 45,768
Isobutane C4H10 58.126 2.4164 119,540 49,472 110,310 45,652
n-Butene C4H8 56.110 2.3326 113,130 48,503 105,750 45,338
Isobutene C4H8 56.110 2.3326 112,500 48,231 105,110 45,065
n-Pentane C5H12 72.153 2.9996 147,170 49,064 136,090 45,370
Isopentane C5H12 72.153 2.9996 146,830 48,952 135,750 45,258
Neopentane C5H12 72.153 2.9996 146,350 48,791 133,270 45,098
n-Pentene C5H10 70.137 2.9157 140,510 48,191 131,280 45,026
n-Hexane C6H14 86.181 3.5827 174,710 48,764 161,780 45,156
Benzene C6H6 78.117 3.2475 137,350 42,293 131,810 40,588
Toluene C7H8 92.141 3.8305 164,830 43,030 157,440 41,102
Xylene C8H10 106.172 4.4138 191,460 43,377 182,320 41,307
Naphthalene C10H8 128.179 5.3287 214,450 40,244 207,070 38,860
Ammonia NH3 17.031 0.7080 15,920 22,484 13,150 18,572

Nonfuels
Oxygen O2 31.999 1.3303
Nitrogen N2 28.013 1.1646
Air y 28.970 1.2043
Carbon dioxide CO2 44.010 1.8296
Sulfur dioxide SO2 64.063 2.6632
a
All gas values corrected to one atmosphere and 201C (681F), r ¼ 0.04157 (M.W.).
b
1 kJ/m3 ¼ 0.02684 Btu/ft3; 1 kJ/kg ¼ 0.43 Btu/lbm; 1 kg/m3 ¼ 0.0624 lbm/ft3.

10. CARBON CONTENT OF FUELS

Carbon Content Coefficients and Underlying Data for Petroleum Products

2001 carbon content Gross heat of combustion Density


Fuel (MMTC/QBtu) (MMBtu/barrel) (API gravity) Percent carbon

Motor gasoline 19.34 5.253 59.6 86.60


a a
LPG 16.99
Jet fuel 19.33 5.670 42.0 86.30
Distillate fuel 19.95 5.825 35.5 86.34
Continues
746 Appendix/Selected Energy-Related Tables

Table continued

2001 carbon content Gross heat of combustion Density


Fuel (MMTC/QBtu) (MMBtu/barrel) (API gravity) Percent carbon

Residual fuel 21.49 6.287 11.0 85.68


Asphalt and road oil 20.62 6.636 5.6 83.47
Lubricants 20.24 6.065 25.6 85.80
Petrochemical 19.37 5.248b 67.1b 84.11b
Feedstocks
Aviation gas 18.87 5.048 69.0 85.00
Kerosene 19.72 5.670 41.4 86.01
Petroleum coke 27.85 6.024 — 92.28
Special naphtha 19.86 5.248 51.2 84.76
Petroleum waxes 19.81 5.537 43.3 85.29
Still gas 17.51 6.000 — —
Crude oil 20.29 5.800 30.5 85.49
Unfinished oils 20.29 5.825 30.5 85.49
Miscellaneous products 20.29 5.796 30.5 85.49
Pentanes plus 18.24 4.620 81.7 83.70
Natural gasoline 18.24 4.620 81.7 83.70

Source. Energy Information Administration, ‘‘Emissions of Greenhouse Gases in the United States 1987–1992,’’ Washington, DC
(November, 1994), DOE/EIA 0573.
a
LPG is a blend of multiple paraffinic hydrocarbons: ethane, propane, isobutane, and normal butane, each with their own heat content,
density, and carbon content.
b
Parameters presented are for naphthas with a boiling temperature less than 400 degrees Fahrenheit. Petrochemical feedstocks with higher
boiling points are assumed to have the same characteristics as distillate fuel.
— no sample data available.

11. PROPERTIES OF GASEOUS FUELS

Properties of Typical Gaseous Fuels2

Calorific value

Btu/ft3 kcal/m3

Type of gas Gross Net Gross Net

Acetylene, commercial 1410 1360 12,548 12,105


Blast furnace 92 91 819 819
Blue (water), bituminous 260 239 2314 2127
Butane, commercial, natural gas 3210 2961 28,566 26,350
Butane, commercial, refinery gas 3184 2935 28,334 26,119
Carbureted blue, low gravity 536 461 4770 4102
Carbureted blue, heavy oil 530 451 4716 4013
Coke oven, by-product 569 509 5064 4530
Mapp 2406 2282 21,411 20,308
Natural, Alaska 998 906 8879 8063
Natural, Algerian LNG, Canvey 1122 1014 9985 9024
Natural, Gaz de Lacq 1011 911 8997 8107
Natural, Groningen, Netherlands 875 789 7787 7021
Natural, Libyan LNG 1345 1223 11,969 10,883
Continues
Appendix/Selected Energy-Related Tables 747

Table continued

Calorific value

Btu/ft3 kcal/m3

Type of gas Gross Net Gross Net

Natural, North Sea, Bacton 1023 922 9104 8205


Natural, Birmingham, AL 1002 904 8917 8045
Natural, Cleveland, OH 1059 959 9424 8534
Natural, Kansas City, MO 974 879 8668 7822
Natural, Pittsburgh, PA 1129 1021 10,047 9086
Producer, Koppers–Totzeka 288 271 2563 2412
Producer, Lurgib 183 167 1629 1486
Producer, W-G, bituminousb 168 158 1495 1406
Producer, Winklerb 117 111 1041 988
Propane, commercial, natural gas 2558 2358 22,764 20,984
Propane, commercial, refinery gas 2504 2316 22,283 20,610
Sasol, South Africa 500 448 4450 3986
Sewage, Decatur 690 621 6140 5526
SNG, no methanation 853 765 7591 6808

Source. M. Kutz, ‘‘Mechanical Engineers’ Handbook.’’ Wiley-Interscience.


a
O2-blown.
b
Air-blown.

12. APPROXIMATE HEAT CONTENT OF PETROLEUM PRODUCTS

Energy source Heat content (million Btu/barrel)

Asphalt 6.636
Aviation gasoline 5.048
Butane 4.326
Butane–propane mixture (60%–40%) 4.130
Distillate fuel oil 5.825
Ethane 3.082
Ethane–propane mixture (70%–30%) 3.308
Isobutane 3.974
Jet fuel, kerosene-type 5.670
Jet fuel, naphtha-type 5.355
Kerosene 5.670
Lubricants 6.065

Motor gasoline
Conventional 5.253
Oxygenated 5.150
Reformulated 5.150
Fuel ethanola 3.539
Natural gasoline 4.620
Pentanes plus 4.620

Continues
748 Appendix/Selected Energy-Related Tables

Table continued

Energy source Heat content (million Btu/barrel)

Petrochemical feedstocks
Naphtha less than 4011F 5.248
Other oils equal to or greater than 4011F 5.825
Still gas 6.000
Petroleum coke 6.024
Plant condensate 5.418
Propane 3.836
Residual fuel oil 6.287
Road oil 6.636
Special naphthas 5.248
Still gas 6.000
Unfinished oils 5.825
Unfractionated stream 5.418
Waxes 5.537
Miscellaneous 5.796

Source. U.S. Department of Energy.


a
Fuel ethanol, which is derived from agricultural feedstocks (primarily corn), is not a
petroleum product but is blended into motor gasoline. Its gross heat content (3.539 million
Btu per barrel) is used in Annual Energy Review calculations; its net heat content (3.192
million Btu per barrel) is used in the Energy Information Administration’s Renewable Energy
Annual calculations.

13. TYPICAL ENERGY CONTENT OF FOSSIL AND BIOMASS FUELS

Solid fuels Net heating values (MJ/kg)

Biomass fuels
Wood (wet, freshly cut) 10.9
Wood (air dry, humid zone) 15.5
Wood (air dry, dry zone) 16.6
Wood (oven dry) 20.0
Charcoal 29.0
Bagasse (wet) 8.2
Bagasse (air dry) 16.2
Coffee husks 16.0
Rice hulls (air dry) 14.4
Wheat straw 15.2
Corn (stalk) 14.7
Corn (cobs) 15.4
Cotton stalk 16.4
Coconut husks 9.8
Coconut shells 17.9
Fossil fuels
Anthracite coal 31.4
Bituminous coal 29.3
Lignite 11.3
Coke 28.5

Source. U.S. Department of Energy.


Appendix/Selected Energy-Related Tables 749

14. WORLD COAL RESERVES

World Estimated Recoverable Coal (Million Short Tons)

Region Recoverable anthracite Recoverable lignite


Country and bituminousa and subbituminousa Total recoverable coala

North America
Canada 3826 3425 7251
Greenland 0 202 202
Mexico 948 387 1335
United Statesb 126,804 146,852 273,656
Total 131,579 150,866 282,444

Central and South America


Argentina 0 474 474
Bolivia 1 0 1
Brazil 0 13,149 13,149
Chile 34 1268 1302
Colombia 6908 420 7328
Ecuador 0 26 26
Peru 1058 110 1168
Venezuela 528 0 528
Total 8530 15,448 23,977

Western Europe
Austria 0 28 28
Croatia 7 36 43
France 24 15 40
Germany 25,353 47,399 72,753
Greece 0 3168 3168
Ireland 15 0 15
Italy 0 37 37
Netherlands 548 0 548
Norway 0 1 1
Portugal 3 36 40
Slovenia 0 303 303
Spain 220 507 728
Sweden 0 1 1
Turkey 306 3760 4066
United Kingdom 1102 551 1653
Yugoslavia 71 17,849 17,919
Total 27,650 73,693 101,343

Eastern Europe and Former U.S.S.R.


Bulgaria 14 2974 2988
Czech Republic 2330 3929 6259
Hungary 0 1209 1209
Kazakhstan 34,172 3307 37,479
Kyrgyzstan 0 895 895

Continues
750 Appendix/Selected Energy-Related Tables

Table continued

Region Recoverable anthracite Recoverable lignite


Country and bituminousa and subbituminousa Total recoverable coala

Poland 22,377 2050 24,427


Romania 1 1605 1606
Russia 54,110 118,964 173,074
Slovakia 0 190 190
Ukraine 17,939 19,708 37,647
Uzbekistan 1102 3307 4409
Total 132,046 158,138 290,183

Middle East
Iran 1885 0 1885
Total 1885 0 1885

Africa
Algeria 44 0 44
Botswana 4740 0 4740
Central African Republic 0 3 3
Congo (Kinshasa) 97 0 97
Egypt 0 24 24
Malawi 0 2 2
Mozambique 234 0 234
Niger 77 0 77
Nigeria 23 186 209
South Africa 54,586 0 54,586
Swaziland 229 0 229
Tanzania 220 0 220
Zambia 11 0 11
Zimbabwe 553 0 553
Total 60,816 216 61,032

Asia and Oceania


Afghanistan 73 0 73
Australia 46,903 43,585 90,489
Burma 2 0 2
China 68,564 57,651 126,215
India 90,826 2205 93,031
Indonesia 871 5049 5919
Japan 852 0 852
Korea, North 331 331 661
Korea, South 86 0 86
Malaysia 4 0 4
Nepal 2 0 2
New Caledonia 2 0 2
New Zealand 36 594 631
Pakistan 0 2497 2497
Philippines 0 366 366
Taiwan 1 0 1

Continues
Appendix/Selected Energy-Related Tables 751

Table continued

Region Recoverable anthracite Recoverable lignite


Country and bituminousa and subbituminousa Total recoverable coala

Thailand 0 1398 1398


Vietnam 165 0 165
Total 208,719 113,675 322,394

World Total 571,224 512,035 1,083,259

Sources. World Energy Council, Survey of Energy Resources 2001, October 2001. United States: Energy Information Administration.
Unpublished file data of the Coal Reserves Data Base (February 2002).
Notes. Formerly entitled ‘‘World Estimated Recoverable Reserves of Coal.’’ The estimates in this table are dependent on the judgment of
each reporting country to interpret local economic conditions and its own mineral assessment criteria in terms of specified standards of the
World Energy Council. Consequently, the data may not all meet the same standards of reliability and some data, including the Energy
Information Administration’s (EIA)’s, may not represent reserves of coal that are known to be recoverable under current economic conditions
and regulations. Some data, including the EIA’s, represent estimated recovery rates for highly reliable estimates of coal quantities in the
ground that have physical characteristics like those of coals currently being profitably mined. U.S. coal rank approximations are based partly
on Btu and may not match precisely borderline geologic ranks. Further, data in this table may represent different base years. Data for the U.S.
represent recoverable coal estimates as of December 31, 2000. Data for countries are as of December 31, 1999, the most recent period for
which they are available. The Energy Information Administration does not certify the International reserves data but reproduces the
information as a matter of convenience for the reader. Sum of components may not equal total due to independent rounding.
a
World Energy Council definition of ‘‘Proved Recoverable Reserves’’ the tonnage within the Proved Amount in Place that can be recovered
(extracted from the earth in raw form) under present and expected local economic conditions with existing available technology.
b
Data represent both measured and indicated tonnage, as of January 1, 2001 (equated to December 31, 2000). The U.S. term ‘‘measured’’
approximates the term ‘‘proved’’ used by the World Energy Council. The U.S. ‘‘measured and indicated’’ data have been combined prior to
depletion adjustments and cannot be recaptured as ‘‘measured alone.’’

15. WORLD CRUDE OIL AND NATURAL GAS RESERVES ( JANUARY 1, 2002)

Crude oil (billion barrels) Natural gas (trillion cubic feet)

Region
Country Oil and gas journal World oil Oil and gas journal World oil

North America
Canada 4.9 5.4 59.7 59.7
Mexico 26.9 23.1 29.5 39.0
United Statesa 22.4 22.4 183.5 183.5
Total 54.2 50.9 272.7 282.1

Central and South America


Argentina 3.0 2.9 27.5 26.8
Barbados (s) NA (s) NA
Bolivia 0.4 0.5 24.0 27.4
Brazil 8.5 8.6 7.8 7.9
Chile 0.2 (s) 3.5 1.3
Colombia 1.8 1.9 4.3 5.0
Cuba 0.8 0.3 2.5 0.5

Continues
752 Appendix/Selected Energy-Related Tables

Table continued

Crude oil (billion barrels) Natural gas (trillion cubic feet)

Region
Country Oil and gas journal World oil Oil and gas journal World oil

Ecuador 2.1 2.6 3.7 3.9


Guatemala 0.5 NA 0.1 NA
Peru 0.3 0.9 8.7 8.7
Suriname 0.1 NA 0.0 NA
Trinidad and Tobago 0.7 0.7 23.5 19.7
Venezuela 77.7 50.2 147.6 149.2
Other 0.0 0.6 0.0 (s)
Total 96.0 69.1 253.0 250.2

Western Europe
Austria 0.1 0.1 0.9 0.8
Croatia 0.1 0.1 1.2 1.2
Denmark 1.1 1.3 2.7 3.1
France 0.1 0.1 0.4 0.5
Germany 0.4 0.3 12.1 9.0
Greece (s) NA (s) NA
Ireland 0.0 NA 0.7 NA
Italy 0.6 0.6 8.1 6.7
Netherlands 0.1 0.1 62.5 57.0
Norway 9.4 10.3 44.0 77.2
Spain (s) NA (s) NA
Turkey 0.3 0.3 0.3 0.3
United Kingdom 4.9 4.6 26.0 24.5
Yugoslavia 0.1 NA 1.7 NA
Other 0.0 0.1 0.0 2.0
Total 17.3 17.7 160.7 182.4

Eastern Europe and Former U.S.S.R.


Albania 0.2 0.2 0.1 0.1
Bulgaria (s) (s) 0.2 0.1
Czech Republic (s) (s) 0.1 0.1
Slovakia (s) NA 0.5 NA
Hungary 0.1 0.1 1.3 2.3
Poland 0.1 0.1 5.1 5.8
Romania 1.0 1.2 3.6 4.3
Azerbaijan 1.2 NA 4.4 NA
Kazakhstan 5.4 NA 65.0 NA
Russia 48.6 53.9 1680.0 1,700.0
Turkmenistan 0.5 NA 101.0 NA
Ukraine 0.4 NA 39.6 NA
Uzbekisan 0.6 NA 66.2 NA
Other 0.3 11.7 0.8 237.9
Total 58.4 67.1 1967.9 1950.5

Middle East
Bahrain 0.1 NA 3.2 NA
Iran 89.7 99.1 812.3 939.4

Continues
Appendix/Selected Energy-Related Tables 753

Table continued

Crude oil (billion barrels) Natural gas (trillion cubic feet)

Region
Country Oil and gas journal World oil Oil and gas journal World oil

Iraq 112.5 115.0 109.8 112.6


Israel (s) NA 1.5 NA
Jordan (s) NA 0.2 NA
Kuwaitb 96.5 98.8 52.7 56.6
Oman 5.5 5.9 29.3 30.5
Qatar 15.2 13.8 508.5 757.7
Saudi Arabiab 261.8 261.7 219.5 228.2
Syria 2.5 2.3 8.5 8.5
United Arab Emirates 97.8 62.8 212.1 204.1
Yemen 4.0 2.4 16.9 17.0
Other 0.0 0.7 0.0 13.4
Total 685.6 662.5 1974.6 2367.9

Africa
Algeria 9.2 17.0 159.7 175.0
Angola 5.4 6.0 1.6 4.0
Benin (s) NA (s) NA
Cameroon 0.4 NA 3.9 NA
Congo (Brazzaville) 1.5 1.6 3.2 4.2
Congo (Kinshasa) 0.2 NA (s) NA
Cote d’lvoire (Ivory Coast) 0.1 NA 1.1 NA
Egypt 2.9 3.7 35.2 54.1
Equatorial Guinea (s) 1.1 1.3 3.5
Ethiopia (s) NA 0.9 NA
Gabon 2.5 2.4 1.2 3.5
Ghana (s) NA 0.8 NA
Libya 29.5 30.0 46.4 46.9
Madagascar 0.0 NA 0.0 NA
Morocco (s) NA (s) NA
Mozambique 0.0 NA 4.5 NA
Namibia 0.0 NA 2.2 NA
Nigeria 24.0 30.0 124.0 159.0
Rwanda 0.0 NA 2.0 NA
Somalia 0.0 NA 0.2 NA
South Africa (s) NA (s) NA
Sudan 0.6 0.7 3.0 4.0
Tanzania 0.0 NA 0.8 NA
Tunisia 0.3 0.5 2.8 2.7
Other 0.0 1.9 0.0 20.1
Total 76.7 94.9 394.8 477.1

Asia and Oceania


Afghanistan 0.0 NA 3.5 NA
Australia 3.5 3.8 90.0 80.0
Bangladesh 0.1 NA 10.6 NA
Brunei 1.4 1.2 13.8 8.4
Burma 0.1 0.2 10.0 12.2

Continues
754 Appendix/Selected Energy-Related Tables

Table continued

Crude oil (billion barrels) Natural gas (trillion cubic feet)

Region
Country Oil and gas journal World oil Oil and gas journal World oil

China 24.0 29.5 48.3 42.8


India 4.8 3.8 22.9 15.4
Indonesia 5.0 9.2 92.5 87.5
Japan 0.1 NA 1.4 NA
Malaysia 3.0 4.5 75.0 82.5
New Zealand 0.1 0.1 2.1 2.1
Pakistan 0.3 0.3 25.1 24.1
Papua New Guinea 0.2 0.5 12.2 15.0
Philippines 0.2 0.2 3.7 3.7
Taiwan (s) NA 2.7 NA
Thailand 0.5 0.6 12.7 13.3
Vietnam 0.6 2.2 6.8 6.8
Other 0.0 0.6 0.0 26.1
Total 43.8 56.5 433.3 419.9

World Total 1032.0 1018.7 5457.1 5930.2

Sources. Data from PennWell Publishing Co., Oil and Gas Journal Vol. 99, No. 52 (December 2001); Gulf Publishing Co., World Oil Vol.
223, No. 8 (August 2002); Energy Information Administration, U.S. Crude Oil, Natural Gas, and Natural Gas Liquids Reserves, 2001
Annual Report, DOE/EIA-0216 (2001) (November 2002). Table modified from Energy Information Administration/International Energy
Annual 2001.
Notes. Sum of components may not equal total due to independent rounding. All reserve data except those for the Former U.S.S.R. and
natural gas reserves in Canada are proved reserves. Former U.S.S.R. data are ‘‘explored reserves,’’ which are understood to be proved, and
some probable. World Oil only reported disaggregated data for the Former U.S.S.R. Republic of Russia. Aggregated data for the other
Republics of the Former U.S.S.R. were reported as 11.5 billion barrels of crude oil and 235.2 trillion cubic feet of natural gas.
a
Data for the United States are from the Energy Information Administration.
b
Includes one-half of the reserves in the Neutral Zone.
NA, not available; (s), value less than 50 million barrels of crude oil or less than 50 billion cubic feet of natural gas.

16. WORLD HYDROPOWER RESOURCES

Hydropower: Capability at End-1999 (TWh/year)

Gross theoretical Technically exploitable Economically exploitable


capability capability capability

Algeria 12 5
Angola 150 90 65
Benin 2 1
Burkina Faso 1 N N
Burundi 46 41 1
Cameroon 294 115 103
Central African Republic 7 3
Chad N N
Comoros
Congo (Brazzaville) 4125 450

Continues
Appendix/Selected Energy-Related Tables 755

Table continued

Gross theoretical Technically exploitable Economically exploitable


capability capability capability

Congo (Democratic Rep.) 1397 774 o419


Côte d’Ivoire 46 412 12
Egypt (Arab Rep.) 4125 450 50
Equatorial Guinea
Ethiopia 650 4260 260
Gabon 200 80 33
Ghana 17 11 7
Guinea 26 19 15
Guinea-Bissau 1 N N
Kenya 430 9
Lesotho 5 2
Liberia 28 11
Madagascar 321 180 49
Malawi 15 6
Mali 412 45
Mauritania
Mauritius N N
Morocco 12 5 4
Mozambique 50 38 32
Namibia 9 9 9
Niger 43 41 1
Nigeria 43 32 30
Réunion
Rwanda 1 N
São Tomé and Principe
Senegal 11 4 2
Sierra Leone 17 7
Somalia 2 1
South Africa 73 11 5
Sudan 48 19 2
Swaziland 4 1 N
Tanzania 39 20 2
Togo 4 2
Tunisia 1 N N
Uganda 418 47
Zambia 52 29 11
Zimbabwe 19 18
Total Africa 43876 41888

Belize 1 N N
Canada 1289 951 523
Costa Rica 223 43
Cuba 5 2
Dominica N N N
Dominican Republic 50 9 6
El Salvador 7 5 2
Greenland 470 14
Grenada N N N

Continues
756 Appendix/Selected Energy-Related Tables

Table continued

Gross theoretical Technically exploitable Economically exploitable


capability capability capability

Guadeloupe
Guatemala 55 22
Haiti 4 1 N
Honduras 16 6
Jamaica N N N
Mexico 154 64 38
Nicaragua 33 10 7
Panama 26 412 12
Puerto Rico
St. Vincent and the Grenadines
United States of America 4485 529 376
Total North America 6818 41668

Argentina 172 130


Bolivia 178 126 50
Brazil 3040 1488 811
Chile 227 162
Colombia 1000 200 140
Ecuador 115 32 16
French Guiana
Guyana 61 425 25
Paraguay 111 85 68
Peru 1578 4260 260
Surinam 32 13
Uruguay 32 10
Venezuela 345 261 130
Total South America 6891 42792

Afghanistan
Armenia 22 8 6
Azerbaijan 44 16 7
Bangladesh 5 2
Bhutan 263 70 56
Cambodia 208 83 24
China 5920 1920 1260
Cyprus 59 24
Georgia 139 68 32
India 2638 660
Indonesia 2147 402 40
Japan 718 136 114
Kazakhstan 163 62 27
Korea (Democratic People’s Republic)
Korea (Republic) 52 26 19
Kyrgyzstan 163 99 55
Laos 233 63 42
Malaysia 230 123
Mongolia 56 22
Myanmar (Burma) 877 130

Continues
Appendix/Selected Energy-Related Tables 757

Table continued

Gross theoretical Technically exploitable Economically exploitable


capability capability capability

Nepal 727 158 147


Pakistan 210 130 130
Philippines 47 20 18
Sri Lanka 11 8 7
Taiwan, China 103 14 12
Tajikistan 527 4264 264
Thailand 56 19 18
Turkey 413 216 122
Turkmenistan 24 5 2
Uzbekistan 88 27 15
Vietnam 300 100 80
Total Asia 16,443 44875

Albania 40 15 6
Austria 75 456 56
Belarus 7 3 2
Belgium 1 N N
Bosnia-Herzogovina 69 24 19
Bulgaria 26 15 12
Croatia 10 9 8
Czech Republic 12 4
Denmark N N N
Estonia 2 N N
Faroe Islands 1 N N
Finland 47 420 20
FYR Macedonia 9 6
France 200 72 70
Germany 120 26 20
Greece 80 15 12
Hungary 7 5
Iceland 184 64 40
Ireland 1 1 1
Italy 340 105 65
Latvia 7 6 5
Lithuania 5 3 2
Luxembourg N N N
Moldova 2 1 1
Netherlands 1 N N
Norway 600 200 180
Poland 23 14 7
Portugal 33 25 20
Romania 56 36 17
Russian Federation 2800 1670 852
Serbia, Montenegro 68 427 27
Slovakia 10 47 6
Slovenia 13 9 8
Spain 138 70 41
Sweden 176 130 90

Continues
758 Appendix/Selected Energy-Related Tables

Table continued

Gross theoretical Technically exploitable Economically exploitable


capability capability capability

Switzerland 144 41 35
Ukraine 45 24 19
United Kingdom 40 3 1
Total Europe 5392 42706

Iran (Islamic Rep.) 368 88 48


Iraq 225 90 67
Israel 88 o35
Jordan N N N
Lebanon 2 1
Syria (Arab Rep.) 5 4 4
Total Middle East 688 o218

Australia 264 430 30


Fiji 3 1
French Polynesia N N N
New Caledonia
New Zealand 152 77 40
Palau
Papua New Guinea 175 123 37
Solomon Islands 2 41
Western Samoa N N
Total oceania 596 4232

TOTAL WORLD 440,704 414,379

Sources. WEC Member Committees, 2000/2001; Hydropower and Dams World Atlas 2001, supplement to The International Journal on
Hydropower and Dams, Aqua-Media International; estimates by the editors.
Note. A quantification of hydropower capability is not available for Comoros, Equatorial Guinea, Mauritania, Réunion, São Tomé and
Principe, Guadeloupe, Puerto Rico, St. Vincent and the Grenadines, French Guiana, Afghanistan, Korea (Democratic People’s Republic),
New Caledonia, and Palau. As the data available on economically exploitable capability do not cover all countries, regional and global totals
are not shown for this category.

17. ESTIMATES OF TERRESTRIAL CARBON STOCKS

Estimates of Terrestrial Carbon Stocks and NPP (Global Aggregated Values by Biome)

Global carbon stocks (PgC)a Carbon density (MgC/ha)

Biome Area (109 ha) Plants Soil Total Plants Soil

Tropical forests 1.76 212 216 428 120 123


Temperate forests 1.04 59 100 159 57 96
Boreal forests 1.37 88b 471 559 64 344
Tropical savannas and grasslands 2.25 66 264 330 29 117
Temperate grasslands and shrublands 1.25 9 295 304 7 236
Deserts and semi deserts 4.55c 8 191 199 2 42
Tundra 0.95 6 121 127 6 127
Continues
Appendix/Selected Energy-Related Tables 759

Table continued

Global carbon stocks (PgC)a Carbon density (MgC/ha)

Biome Area (109 ha) Plants Soil Total Plants Soil

Croplands 1.60 3 128 131 2 80


Wetlands 0.35 15 225 240 43 643
Total 15.12 466 2011 2477

Source. Data from WBGU (1988); forest data from Dixon et al. (1994). Table modified from Intergovernmental Panel on Climate
Change.
a
Soil carbon values are for the top 1 m, although stores are also high below this depth in peatlands and tropical forests.
b
WBGU boreal forest vegetation estimate is likely to be to high, due to high Russian forest density estimates including standing dead
biomass.
c
In WBGU, ice is included in deserts and semi-deserts category.

18. COMPARATIVE LEVELS OF GREENHOUSE GASES

Pre-industrial (1750) and Present (1998) Abundances of Well-Mixed Greenhouse Gases and the Radiative Forcing due to the Change in
Abundance

Gas Abundance (1750) Abundance (1998) Radiative forcing (Wm2)

Gases relevant to radiative forcing only


CO2 278 365 1.46
CH4 700 1745 0.48
N2O 270 314 0.15
CF4 40 80 0.003
C2F6 0 3 0.001
SF6 0 4.2 0.002
HFC-23 0 14 0.002
HFC-134a 0 7.5 0.001
HFC-152a 0 0.5 0.000

Gases relevant to radiative forcing and ozone depletion


CFC-11 0 268 0.07
CFC-12 0 533 0.17
CFC-13 0 4 0.001
CFC-113 0 84 0.03
CFC-114 0 15 0.005
CFC-115 0 7 0.001
CCl4 0 102 0.01
CH3CCl3 0 69 0.004
HCFC-22 0 132 0.03
HCFC-141b 0 10 0.001
HCFC-142b 0 11 0.002
Halon-1211 0 3.8 0.001
Halon-1301 0 2.5 0.001

Source. Intergovernmental Panel on Climate Change.


Note. Volume mixing ratios for CO2 are in ppm, for CH4 and N2O in ppb, and for the rest in ppt.
760 Appendix/Selected Energy-Related Tables

19. GLOBAL WARMING POTENTIALS

Numerical Estimates of Global Warming Potentials Compared with Carbon Dioxide (Kilogram of Gas per Kilogram of Carbon Dioxide)

Direct effect for time horizons of

Gas Lifetime (years) 20 years 100 years 500 years

Carbon dioxide 5–200a 1 1 1


Methane 12 62 23 7
Nitrous oxide 114 275 296 156
Hydrofluorocarbons, perfluorocarbons, and sulfur
hexafluoride
HFC-23 260 9400 12,000 10,000
HFC-125 29 5900 3400 1100
HFC-134a 13.8 3300 1300 400
HFC-152a 1.4 410 120 37
HFC-227ea 33 5600 3500 1100
Perfluoromethane (CF4) 50,000 3900 5700 8900
Perfluoroethane (C2F6) 10,000 8000 11,900 18,000
Sulfur Hexafluoride (SF6) 3200 15,100 22,200 32,400

Source. Energy Information Administration/Emissions of Greenhouse Gases in the United States, 2001.
a
No single lifetime can be defined for carbon dioxide due to different rates of uptake by different removal processes.

20. INTERNATIONAL ENERGY PRODUCTION AND CONSUMPTION

Total energy production (ktoe)a Total energy consumption (ktoe)a Net energy imports (ktoe)a

Percent Percent
Country 1971 2000 change 1971 2000 change 1971 2000

Albania 2417.57 814.42 66 1699.04 1634.31 4 718.53 819.89


Algeria 41,766.71 149,628.66 258 3681.12 29,059.5 689 36,412.97 120,895.29
Angola 9118.21 43,669.29 379 3927.62 7666.77 95 4663.42 35,502.23
Argentina 30,557.87 81,220.95 166 33,651.83 61,469.41 83 3763.49 19,677.61
Armenia 0 631.96 0 2060.72 0 1428.76
Australia 53,852.03 23,2551.98 332 52,202.09 11,0174.34 111 1700.99 12,0340.66
Austria 7389.31 9686.24 31 18,994.03 28,582.2 50 11,693.55 18,665.52
Azerbaijan 0 18,951.09 0 11,703.49 0 7351.6
Bahrain 4572.94 7261.34 59 1553.06 6391.22 312 1978.95 1169.01
Bangladesh 4848.38 15,053.27 210 5706.09 18,665.62 227 1052.91 3510.82
Belarus 0 3465.89 0 24,329.52 0 20,942.13
Belgium 6844.61 13,438.15 96 39,943.74 59,216.59 48 36,850.95 50,599.95
Benin 1002.24 1820.51 82 1110.34 2362.49 113 108.09 499.81
Bolivia 2303.44 5900.81 156 1035.22 4929.17 376 1239.47 1483.96
Bosnia and Herzegovina 0 3277.19 0 4359.31 0 1082.13
Brazil 49,230.06 142,078.01 189 69,620.18 183,165.01 163 22,296.9 43,408.07
Brunei 6650.65 19,158.61 188 178.37 1984.08 1012 5947.48 17,248.1
Bulgaria 5711.6 10,005.26 75 19,238.88 18,783.63 2 13,587.77 8729.84

Continues
Appendix/Selected Energy-Related Tables 761

Table continued

Total energy production (ktoe)a Total energy consumption (ktoe)a Net energy imports (ktoe)a

Percent Percent
Country 1971 2000 change 1971 2000 change 1971 2000

Cameroon 2452.43 12,729.48 419 2751.68 6355.31 131 299.26 6335.48


Canada 155,646.37 374,863.52 141 142,737.01 250,967.31 76 120,84.99 131,791.97
Chile 5343.85 8299.13 55 8851.1 24,403.36 176 4016.32 16,955.57
Chinese Taipei 3948.05 11,492.66 191 10,582.05 83,010.81 684 7256.44 80,829.19
Colombia 19,370.2 74,583.6 285 14,052.09 28,785.52 105 4998.3 46,627.26
Congo 505.04 14,655.61 2802 678.86 894.52 32 167.68 13,761.09
Costa Rica 663.1 1591.06 140 1134.12 3281.38 189 462.48 1631.73
Cote d’Ivoire 1639.19 6096.91 272 2500.37 6928.42 177 822.62 921.92
Croatia 0 3581.7 0 7775.46 0 4116.95
Cuba 3738.85 6051.38 62 10,933.92 13,202.86 21 7436.3 7744.37
Cyprus 9.12 44.92 393 646.2 2424.85 275 635.84 2579.74
Czech Republic 39,949.22 29,868.74 25 45,638.68 40,383.04 12 5739.69 9412.93
Democratic Republic of
Congo 5928.83 15,446.24 161 6767.97 14,888.29 120 964.9 556.03
Denmark 329.22 27,867.36 8365 19,242.04 19,456.27 1 20,038.8 7533.22
Dominican Republic 1212.35 1420.96 17 2367.63 7804 230 1155.29 6383.03
Ecuador 1340.9 22,520.14 1579 2345.31 8187.15 249 1153.7 13 577.79
Egypt 16,356.07 57,599.29 252 7834.98 46,423.15 493 8608.62 7297.08
El Salvador 1254.89 2157.49 72 1762.78 4083.03 132 501.75 1912.99
Eritrea 0 510.94 0 720.67 0 209.74
Estonia 0 2916.57 0 4522.92 0 1694.36
Ethiopia 8471.55 17,582.68 108 8998.18 18,732.19 108 588.38 1095.93
Federal Republic of
Yugoslavia 0 10,122.05 0 13,706.03 0 3583.97
Finland 4983.17 15,134.29 204 18,425.2 33,147.26 80 14,621.11 18,766.49
Former USSR 902,516.94 126,1902.02 40 788,362 92,1142.69 17 107,116.82 336,117.48
Former Yugoslav Republic
of Macedonia 0 1547.34 0 2754.79 0 1145.5
Former Yugoslavia 14,372.66 21,640.97 51 22,134.9 35,135.5 59 6945.44 13,391.36
France 39,935.27 131,384.95 229 154,514.54 257,127.74 66 119,981.94 132,319.89
Gabon 6453.27 16,799.98 160 919.91 1563.11 70 5469.08 151,45.3
Georgia 0 737.19 0 2859.82 0 2092.3
Germany 175,200.71 134,316.7 23 307,865.28 339,640.48 10 143,631.41 203,247.24
Ghana 2337.29 5883.35 152 3040.41 7719.75 154 770.84 1836.39
Gibraltar 0 0 38.2 161.53 323 214.76 1148.11
Greece 2084.89 9986.85 379 9147.83 27,821.63 204 7717.28 21,721.36
Guatemala 1933.76 5241.11 171 2797.75 7146.38 155 924.46 1936.01
Haiti 1378 1541.75 12 1510.82 2039.24 35 132.82 497.49
Honduras 1012.19 1522.21 50 1396.63 3012.25 116 369.53 1598.87
Hong Kong, China 31.02 48.05 55 3474.35 15,453.03 345 4059.65 18,910.31
Hungary 11,974.36 11,089.6 7 19,216.37 24,782.92 29 7677.5 13,896.82
Iceland 413.83 2490.16 502 976.69 3428.77 251 559.66 1047.83
India 167,718.75 421,565.11 151 183,213.41 501,894.17 174 146,34.46 811,99.38
Indonesia 729,35.99 229,478.35 215 36,313.6 145,574.74 301 33,867.99 85,107.4
Iraq 85,980.03 134,088.88 56 4508.5 27,677.87 514 81,462.5 106,411.01
Ireland 1423.33 2197.27 54 7066.04 14,622.85 107 5840.54 12,456.58
Iran 238,830.7 242,146.01 1 18,564.91 112,725.35 507 219,862.6 128,802.42

Continues
762 Appendix/Selected Energy-Related Tables

Table continued

Total energy production (ktoe)a Total energy consumption (ktoe)a Net energy imports (ktoe)a

Percent Percent
Country 1971 2000 change 1971 2000 change 1971 2000

Israel 5938.4 653.73 89 6340.7 20,199.92 219 402.29 19,292.58


Italy 19,241.96 26,858.22 40 114,076.65 171,567.12 50 104,245.92 152,370.48
Jamaica 277.03 486.42 76 2151.22 3920.44 82 1923.15 3635.94
Japan 35,782.62 105,635.85 195 269,567.84 524,714.63 95 253,010.4 425,266.33
Jordan 0.93 286.19 30,673 531.74 5185.43 875 621.62 4835.34
Kazakhstan 0 78,101.98 0 39,063.16 0 39,344.27
Kenya 6367.72 12,259.93 93 7699.3 15,482.47 101 1742.24 3304.67
Korea 6378.17 33,614.62 427 17,024.39 193,626.22 1037 10,687.77 167,665.02
Korea, DPR 18,675.57 42,575.97 128 19,953.77 46,112.3 131 1278.19 3536.33
Kuwait 159,081.47 111,469.48 30 4964.81 20,893.52 321 152,363.46 90,222.1
Kyrgyzstan 0 1443.05 0 2444.65 0 959.39
Latvia 0 1249.88 0 3654.98 0 2312.92
Lebanon 168.49 170.6 1 1977.81 5058.07 156 2043.44 4889.51
Libya 137,513.8 73,903.73 46 1659.62 16,437.78 890 136,145.05 57,379.55
Lithuania 0 3217.99 0 7123.74 0 4213.15
Luxembourg 4.73 56.68 1098 4115.06 3683.14 10 4105.41 3676.74
Malaysia 4770.24 76,759.46 1509 6032.02 49,472.33 720 1295.5 26,903.45
Malta 0 0 273.77 814.51 198 333.68 861.04
Mexico 45,500.02 229,652.63 405 45,586.58 153,513.18 237 317.58 73,168.79
Morocco 613.38 571.83 7 2417.48 10,293.03 326 2029.72 9530.85
Mozambique 7495.61 7219.2 4 8265.73 7126.19 14 1013.5 86.9
Myanmar 7340.54 15,144.09 106 7910.68 12,522.07 58 408.75 2695.64
Namibia 0 291.6 0 1030.7 0 739.11
Nepal 2506.29 6871.72 174 2570.06 7900.44 207 63.78 1028.71
Netherlands 37,345.95 57,239.02 53 51,304.14 75,799.02 48 23,821.89 34,465.75
Netherlands Antilles 0 0 5515.09 1084.15 80 6815.18 2767.06
New Zealand 3417.3 15,379.49 350 7175.55 18,632.85 160 4083.06 3378.86
Nicaragua 736.44 1552.56 111 1258.5 2746.16 118 524.04 1158.25
Nigeria 111,492.73 197,726.15 77 36,150.5 90,168.58 149 74,965.76 106,986.64
Norway 6044.07 224,993.45 3623 13,850.4 25,616.63 85 8145.24 198,190.27
Oman 14,889.96 60,083.98 304 89.21 9750.04 10,829 13,461.01 51,113.52
Pakistan 14,355.44 47,124.13 228 17,421.19 63,950.6 267 2920.27 17,205.51
Panama 342.58 731.72 114 1672.38 2546.05 52 1352.66 1879.6
Paraguay 1171.09 6885.91 488 1381.05 3929.5 185 209.96 2918.56
People’s Republic of China 394,147.55 110,7635.92 181 391,711.57 114,2438.44 192 2338.06 29,660.31
Peru 7468.46 9477.39 27 9416.02 12,694.68 35 2077.58 3347.92
Philippines 6308.68 20,922.07 232 14,610.53 42,424.28 190 8665.43 21,613.81
Poland 99,249.14 80,069.68 19 86,313.9 89,975.37 4 10,717.36 9625.97
Portugal 1384.49 3129.18 126 6527.74 24,612.61 277 5742.08 22,110.56
Qatar 22,027.2 57960 163 928.9 15,659.05 1586 21,035.65 44,736.6
Republic of Moldova 0 60.34 0 2871.12 0 2810.86
Romania 42,807.77 28,289.87 34 42,086.3 36,330.32 14 717.03 7849.1
Russia 0 966,512.12 0 613,968.84 0 347,821.9
Saudi Arabia 244,427.47 487,888.82 100 6241.54 105,303.32 1587 225,693.54 380,533.98
Senegal 825.03 1723.27 109 1343.06 3085.87 130 1439.8 1439.35
Singapore 0 63.55 2958.05 24,591.12 731 6622.94 40,887.32

Continues
Appendix/Selected Energy-Related Tables 763

Table continued

Total energy production (ktoe)a Total energy consumption (ktoe)a Net energy imports (ktoe)a

Percent Percent
Country 1971 2000 change 1971 2000 change 1971 2000

Slovak Republic 2687.23 5993.94 123 14,237.52 17,465.69 23 11,537.32 11,552.07


Slovenia 0 3112.69 0 6539.91 0 3462.81
South Africa 37,773.37 144,468.52 282 45,328.45 107,595.23 137 11,213.61 34,036.81
Spain 10,449.87 31,865.48 205 43,104.53 124,881.28 190 35,415.2 100,232.96
Sri Lanka 2810 4529.93 61 3797.84 8062.93 112 1360.08 3790.78
Sudan 5667.59 23,664.26 318 6950.82 16,215.84 133 1474.62 3629.6
Sweden 7385.94 30,680.94 315 36,484.91 47,481.11 30 31,495.29 18,057.72
Switzerland 2904.67 11,792.22 306 17,069.07 26,596.52 56 14,227.03 14,275.75
Syria 5315.26 32,889.56 519 2710.54 18,407.3 579 2540.52 16,232.23
Tajikistan 0 1249.76 0 2911.23 0 1661.47
Tanzania 8958.94 14,600.74 63 9692.16 15,386.26 59 869.63 809.59
Thailand 7892.85 41,117.54 421 14,119.2 73,618.34 421 6361.14 33,248.16
Togo 457.5 1035.74 126 558.94 1529.74 174 101.44 496.99
Trinidad and Tobago 8148.64 17,884.38 119 2698.4 8664.78 221 3615.47 9080.45
Tunisia 4912.14 7002.77 43 2042.99 7887.83 286 2560.23 1013.22
Turkey 13,770.26 26,185.53 90 19,464.73 77,103.97 296 6107.37 50,998.37
Turkmenistan 0 45,967.97 0 13,884.74 0 32,083.23
Ukraine 0 82,330.29 0 139,592.33 0 57,262.04
United Arab Emirates 52,785.56 143,588.88 172 1019.46 29,558.79 2799 51,766.09 109,109.34
United Kingdom 109,796.11 272,693.22 148 211,031.22 232,644.31 10 112,578.25 40,720.57
United States 1,435,818.82 1,675,769.62 17 1,593,191.14 2,299,668.71 44 1,77,569.5 6,08,890.98
Uruguay 519.66 1028.29 98 2417.66 3078.64 27 1919.61 2261.51
Uzbekistan 0 55,065.94 0 50,151.43 0 4893.86
Venezuela 210,431.4 225,470.15 7 20,142.47 59,256.39 194 185,445.76 165,159.16
Vietnam 14,204.46 46,299.4 226 19,788.11 36,964.65 87 5579.17 9334.74
Yemen 48.72 22,046.49 45,151 764.17 3525.85 361 1069.55 18,422.67
Zambia 3025.68 5915.55 96 3850.7 6243.8 62 825.02 366.72
Zimbabwe 5102.97 8708.46 71 5480.74 10,218.9 86 377.78 1407.7

Source. International Energy Agency.


a
ktoe, kilotons of oil equivalent.

21. INTERNATIONAL HEAT CONTENT COMPARISONS

Gross heat Barrels of Gross heat Gross heat Gross heat


content natural crude oil expressed content natural content dry content
Nation Abbrev. gas liquidsa as metric tons crude oila natural gasb coalc

North America
Canada CA 3980 7.186 5810 1017 23,865
Mexico MX 3620 6.965 6010 1059 17,012
United States US 3735 7.333 5800 1025 20,905

Continues
764 Appendix/Selected Energy-Related Tables

Table continued

Gross heat Barrels of Gross heat Gross heat Gross heat


content natural crude oil expressed content natural content dry content
Nation Abbrev. gas liquidsa as metric tons crude oila natural gasb coalc

South America
Argentina AR 3820 7.120 5993 1045 22,300
Barbados BB 0 7.286 5867 1047 0
Bolivia BL 4130 7.881 5574 1043 0
Brazil BR 4250 7.056 5910 1040 14,363
Chile CI 4150 7.506 5780 1050 25,664
Colombia CO 3286 7.080 6023 929 24,568
Cuba CU 4344 6.449 6393 1047 0
Ecuador EC 4235 7.130 5986 1300 0
Guatemala GT 0 7.210 5947 0 0
Peru PE 4617 7.407 5831 929 26,458
Suriname NS 0 6.199 6321 0 0
Trinidad and Tobago TD 4344 7.084 6023 1045 0
Venezuela VE 4195 7.127 6135 1191 27,592

Western Europe
Austria AU 4262 7.200 6020 1063 9929
Belgium BE 0 0.000 0 0 19,908
Bosnia and Herzegovina BK 0 0.000 0 0 13,252
Croatia HR 4349 7.418 5823 1047 0
Denmark DA 0 7.405 5677 1130 0
France FR 4385 7.332 5869 1008 22,876
Germany GM 0 7.330 5926 895 10,009
Greece GR 4050 7.231 5926 1434 5046
Ireland EI 0 0.000 0 1009 0
Italy IT 4259 7.300 6158 1023 4381
Macedonia (Former MK 0 0.000 0 0 8013
Yugoslav Republic)
Netherlands NL 4347 7.239 6158 894 0
Norway NO 4348 7.644 5620 1078 25,369
Slovenia SI 0 7.418 5823 1057 10,192
Spain SP 4348 7.506 5780 1139 11,378
Sweden SW 0 6.623 6148 0 0
Turkey TU 0 7.200 5976 1028 7437
United Kingdom UK 4490 7.523 5803 1057 22,727
Yugoslavia YR 0 7.418 5823 1061 8028

Eastern Europe
Albania AL 0 6.594 6305 1044 8882
Azerbaijan AJ 4150 7.270 5880 1047 0
Belarus BO 0 7.270 5880 1037 0
Bulgaria BU 0 7.332 5879 989 8038
Czech Republic EZ 4645 6.780 6211 956 11,796
Georgia GG 4150 7.270 5880 1047 13,229
Hungary HU 4386 6.690 6249 957 7784
Kazakhstan KZ 4150 7.270 5880 1047 13,229
Kyrgyzstan KG 4150 7.270 5880 1047 13,229

Continues
Appendix/Selected Energy-Related Tables 765

Table continued

Gross heat Barrels of Gross heat Gross heat Gross heat


content natural crude oil expressed content natural content dry content
Nation Abbrev. gas liquidsa as metric tons crude oila natural gasb coalc

Lithuania LH 0 7.270 5880 0 0


Poland PL 4454 7.418 5820 797 15,976
Romania RO 4619 7.506 5780 996 7259
Russia RS 4150 7.270 5880 1009 18,302
Slovakia LO 0 6.780 6211 960 11,067
Tajikistan TI 4150 7.270 5880 1047 16,774
Turkmenistan TX 4150 7.270 5880 1047 0
Ukraine UP 4150 7.270 5880 1047 19,411
Uzbekistan UZ 4150 7.270 5880 1017 13,322

Middle East
Bahrain BA 4287 7.320 5879 1047 0
Iran IR 4348 7.284 5888 1056 23,245
Iraq IZ 4348 7.413 5820 1047 0
Israel IS 0 7.247 5920 1039 0
Jordan JO 0 7.190 5956 1047 0
Kuwait KU 4190 7.258 5921 1047 0
Oman MU 4581 7.330 5869 1047 0
Qatar QA 3790 7.618 5777 1047 0
Saudi Arabia SA 4265 7.285 5910 1047 0
Syria SY 4300 7.290 6158 962 0
United Arab Emirates TC 4532 7.553 5788 1047 0
Yemen YM 0 7.631 5725 0 0

Africa
Algeria AG 5080 7.945 5555 1127 23,245
Angola AO 0 7.410 5828 1047 0
Benin BN 0 6.870 6142 0 0
Botswana BC 0 0.000 0 0 23,245
Cameroon CM 0 7.205 5948 1047 23,245
Congo (Brazzaville) CF 0 7.506 5780 1047 0
Congo (Kinshasa) CG 0 7.320 5879 0 22,776
Cote d’Ivoire (IvoryCoast) IV 0 7.285 5899 1000 0
Egypt EG 4940 7.260 5922 1047 0
Equatorial Guinea EK 0 7.275 5464 1047 0
Gabon GB 0 7.305 5888 1047 0
Ghana GH 0 7.285 5936 0 0
Libya LY 4350 7.681 5775 1047 0
Morocco MO 0 7.600 5738 1047 21,166
Mozambique MZ 0 0.000 0 1047 22,565
Niger NG 0 0.000 0 0 23,245
Nigeria NI 0 7.411 5880 1047 23,245
Senegal SG 0 0.000 0 899 0
South Africa SF 4649 7.720 5657 1047 21,302
Swaziland WZ 0 0.000 0 0 23,245
Tanzania TZ 0 0.000 0 0 23,245
Tunisia TS 4300 7.689 5677 1174 0

Continues
766 Appendix/Selected Energy-Related Tables

Table continued

Gross heat Barrels of Gross heat Gross heat Gross heat


content natural crude oil expressed content natural content dry content
Nation Abbrev. gas liquidsa as metric tons crude oila natural gasb coalc

Zambia ZA 0 0.000 0 0 22,304


Zimbabwe ZI 0 0.000 0 0 24,371

Asia and Oceania


Afghanistan AF 0 0.000 0 1047 22,000
Australia AS 4290 7.868 5578 1090 19,916
Bangladesh BG 4050 7.453 5792 979 0
Bhutan BT 0 0.000 0 0 23,245
Brunei BX 4506 7.340 5865 1154 0
Burma BM 4348 7.084 6020 1054 19,240
China CH 0 7.300 5879 1162 18,512
India IN 4600 7.330 5729 1034 17,705
Indonesia ID 4060 7.234 5740 1090 23,245
Japan JA 4327 7.357 5899 1101 20,826
Korea, North KN 0 0.000 0 0 23,245
Korea, South KS 0 0.000 0 0 17,009
Laos LA 0 0.000 0 0 24,403
Malaysia MY 4410 7.641 5697 1053 26,458
Mongolia MG 0 0.000 0 0 8016
Nepal NP 0 0.000 0 0 7559
New Zealand NZ 4075 7.321 5441 1032 19,723
Pakistan PK 4372 7.500 5777 934 16,910
Papua New Guinea PP 0 7.809 5607 1047 0
Philippines RP 0 7.285 5902 977 18,120
Taiwan TW 3825 6.568 6321 1000 0
Thailand TH 4349 6.758 6317 977 10,961
Vietnam VM 0 7.082 6022 1036 21,166

Source. U.S. Department of Energy.


a
Thousand Btu per barrel.
b
Btu per cubic foot.
c
Thousand Btu per short ton.

22. ENERGY USE OF TYPICAL HOME APPLIANCES

Appliance Wattage

Aquarium 50–1210
Clock radio 10
Coffee maker 900–1200
Clothes washer 350–500
Clothes dryer 1800–5000
Dishwashera 1200–2400
Dehumidifier 785
Electric blanket, single 60

Continues
Appendix/Selected Energy-Related Tables 767

Table continued

Appliance Wattage

Electric blanket, double 100


Fans
Ceiling 65–175
Window 55–250
Furnace 750
Whole house 240–750
Hair dryer 1200–1875
Heater (portable) 750–1500
Iron (clothes iron) 1000–1800
Microwave oven 750–1100
Personal computer
CPU 120
CPU, sleep mode 30 or less
Monitor 150
Monitor, sleep mode 30 or less
Laptop 50
Radio (stereo) 70–400
Refrigerator (frost–free) 725
Television set (color)
19-inch 65–110
27-inch 113
36-inch 133
Large screen projection 170
Flat screen 120
VCR 17–21
DVD 20–25
Toaster 800–1400
Toaster oven 1225
Vacuum cleaner 1000–1440
Water heater (40 gallon) 4500–5500
Water pump (deep well) 250–1100
Water bed (with heater) 120–380

Source. U.S. Department of Energy.


a
Using the drying feature greatly increases consumption.

23. ENERGY COST OF HUMAN ACTIVITIES

Activity METSa Description

Bicycling 8 Bicycling, general


Bicycling 10 Bicycling, 14–15.9 mph, racing or leisure, fast, vigorous effort
Bicycling 16 Bicycling, 420 mph, racing, not drafting
Conditioning exercise 7 Bicycling, stationary, general
Conditioning exercise 7 Bicycling, stationary, 150 watts, moderate effort
Conditioning exercise 12.5 Bicycling, stationary, 250 watts, very vigorous effort

Continues
768 Appendix/Selected Energy-Related Tables

Table continued

Activity METSa Description

Conditioning exercise 8 Calisthenics, heavy, vigorous effort


Conditioning exercise 8 Circuit training
Conditioning exercise 6 Weight lifting
Conditioning exercise 5.5 Health club exercise, general
Conditioning exercise 9 Stair-treadmill ergometer, general
Conditioning exercise 3.5 Rowing, stationary, 50 watts, light effort
Conditioning exercise 12 Rowing, stationary, 200 watts, very vigorous effort
Conditioning exercise 6 Teaching aerobics exercise class
Conditioning exercise 4 Water aerobics, water calisthenics
Dancing 4.8 Ballet or modern, twist, jazz, tap, jitterbug
Dancing 5 Aerobic, low impact
Dancing 7 Aerobic, high impact
Dancing 5.5 Ballroom, dancing fast
Fishing and hunting 3 Fishing, general
Fishing and hunting 6 Fishing in stream, in waders
Fishing and hunting 2 Fishing, ice, siting
Fishing and hunting 5 Hunting, general
Home activities 3 Cleaning, heavy or major
Home activities 3 Cleaning, house or cabin, general
Home activities 3.5 Vacuuming
Home activities 2 Cooking or food preparation
Home activities 7.5 Carrying groceries upstairs
Home activities 2.3 Ironing
Home activities 1.5 Sitting—knitting, sewing, light wrapping (presents)
Home activities 4 Walk/run—playing with child(ren), moderate
Home repair 3 Automobile repair
Home repair 3 Carpentry, general workshop
Home repair 4.5 Painting
Home repair 4.5 Washing and waxing hull of sailboat, car, powerboat, airplane
Inactivity quiet 0.9 Sleeping
Inactivity light 1 Reclining—reading
Inactivity light 1 Meditating
Lawn and garden 5.5 Mowing lawn, general
Lawn and garden 2.5 Mowing lawn, riding mower
Lawn and garden 6 Mowing lawn, walk, hand mower
Lawn and garden 4.3 Raking lawn
Lawn and garden 4 Gardening, general
Miscellaneous 1.3 Sitting—reading, book, newspaper, etc.
Miscellaneous 1.5 Sitting—talking or talking on the phone
Music playing 4 Drums
Music playing 2.5 Piano or organ
Music playing 2.5 Violin
Music playing 3 Guitar, rock and roll band (standing)
Occupation 6 Coal mining, general
Occupation 5.5 Construction, outside, remodeling
Occupation 8 Farming, bailing hay, cleaning barn, poultry work
Occupation 2.5 Farming, driving tractor
Occupation 12 Fire fighter, general
Occupation 3.5 Locksmith

Continues
Appendix/Selected Energy-Related Tables 769

Table continued

Activity METSa Description

Occupation 2.5 Police, directing traffic (standing)


Occupation 1.3 Police, riding in squad car (sitting)
Occupation 4 Police, making an arrest (standing)
Occupation 1.5 Sitting—light office work, general
Occupation 1.5 Typing, electric, manual, or computer
Running 7 Jogging, general
Running 8 Running, 5 mph (12 min/mile)
Running 12.5 Running, 7.5 mph (8 min/mile)
Running 18 Running, 10.9 mph (5.5 min/mile)
Running 15 Running, stairs, up
Self care 1.5 Bathing (sitting)
Self care 1.5 Eating (sitting)
Sexual activity 1.5 Active, vigorous effort
Sexual activity 1.3 General, moderate effort
Sexual activity 1 Passive, light effort, kissing, hugging
Sports 8 Basketball, game
Sports 2.5 Billiards
Sports 3 Bowling
Sports 5 Children’s games
Sports 9 Football, competitive
Sports 8 Frisbee, ultimate
Sports 4.5 Golf, general
Sports 4.5 Golf, walking and carrying clubs
Sports 3.5 Golf, using power cart
Sports 4 Hacky sack
Sports 8 Hockey, field
Sports 8 Hockey, ice
Sports 4 Juggling
Sports 8 Lacrosse
Sports 11 Rock climbing, ascending rock
Sports 5 Skateboarding
Sports 12 Roller blading (in-line skating)
Sports 10 Soccer, competitive
Sports 7 Soccer, casual, general
Sports 5 Softball or baseball, fast or slow pitch, general
Sports 5 Tennis, doubles
Sports 8 Tennis, singles
Transportation 1 Riding in a car or truck
Walking 7 Backpacking
Walking 6 Hiking, cross country
Walking 2.5 Bird watching
Walking 6.5 Race walking
Walking 2.5 Walking, 2.0 mph, level, slow pace, firm surface
Walking 3.3 Walking, 3.0 mph, level, moderate pace, firm surface
Walking 6.3 Walking, 4.5 mph, level, firm surface, very, very brisk
Water activities 16 Skindiving, fast
Water activities 10 Swimming laps, freestyle, fast, vigorous effort
Water activities 7 Swimming laps, slow, moderate or light effort
Winter activities 7 Skating, ice, general

Continues
770 Appendix/Selected Energy-Related Tables

Table continued

Activity METSa Description

Winter activities 7 Skiing, general


Winter activities 7 Skiing, cross country, 2.5 mph, slow or light effort, ski walking
Winter activities 9 Skiing, cross country, 5.0–7.9 mph, brisk speed, vigorous effort
Winter activities 8 Skiing, downhill, vigorous effort

Source. Ainsworth, B.E. (2002, January). The Compendium of Physical Activities Tracking Guide. Prevention Research Center, Norman J.
Arnold School of Public Health, University of South Carolina. Retrieved November 29, 2003 from http://prevention.sph.sc.edu/tools/
compendium tracking.pdf.
a
The term MET (metabolic equivalent) is the ratio of a work metabolic rate to the resting metabolic rate. One MET is defined as 1 kcal/kg/
hour and is roughly equivalent to the energy cost of sitting quietly. A MET also is defined as oxygen uptake in ml/kg/min, with one MET
roughly equivalent to 3.5 ml/kg/min. Multiples of 1 MET indicate a higher energy cost for a specific activity. For example, a 2 MET activity
requires twice the energy cost of sitting quietly.

24. ENERGY CONTENT OF COMMON FOODS

Food Kcal/100 g

Fruits
Apples 52
Apricots 48
Bananas 89
Figs 74
Grapefruit 32
Guavas 51
Mangos 65
Melons, cantaloupe 34
Oranges 47
Strawberries, raw 32
Tomatoes, red 18

Vegetables
Asparagus, raw 20
Broccoli, cooked 35
Carrots, raw 41
Chickpeas, cooked 164
Corn, sweet, yellow, raw 86
Cucumber, peeled, raw 12
Lentils, cooked 101
Lettuce, romaine, raw 17
Mushrooms, raw 22
Onions, raw 42
Peas, edible-podded, raw 42
Peppers, sweet, red, raw 26
Pickles, cucumber, dill 18
Potato, flesh and skin, raw 77
Potatoes, russet, raw 79

Continues
Appendix/Selected Energy-Related Tables 771

Table continued

Food Kcal/100 g

Meats and proteins


Beans, black, cooked 132
Beans, navy 67
Beef 230–400
Catfish, channel, wild, raw 95
Caviar 252
Chicken 200–500
Cod, atlantic, raw 82
Crab, blue, raw 87
Flatfish (flounder and sole), raw 91
Herring, atlantic, raw 158
Lamb 150–500
Mixed nuts, dry roasted 594
Peanut butter 635
Pork, cooked 418
Salmon, Atlantic, wild, raw 142
Shrimp, raw 106
Soybeans, cooked 141
Tofu, firm 77
Turkey 205

Dairy
Cheese, brie 334
Cheese, cheddar 403
Cheese, swiss 380
Egg, whole, raw, fresh 147
Milk, whole, 3.25% milkfat 60
Yogurt, plain whole milk 61

Fats and Oils


Butter 717
Margarine 719
Olive oil 884

Grains
Bread, french 274
Bread, rye 259
Bread, whole-wheat 246
Cereal, breakfast 300–450
Cookies, chocolate chip 497
Crackers, matzo 351
Rice noodles, cooked 109
Rice, white, cooked 130
Spaghetti, cooked 141

Alcohol
Beer 33
Whiskey, 86 proof 250
Wine 77

Source. U.S. Department of Agriculture, Agricultural Research Service, 2003.


772 Appendix/Selected Energy-Related Tables

25. ENERGY CONTENT OF WASTES

Waste Energy content (Mj/kg)

Agriculture and foods


Animal fats 39.5
Barley dust 24
Citrus rinds 4
Cocoa waste 18
Coffee grounds 22.8
Corn cobbs 17.5
Corn shelled 19.9
Cotton hulls 24.7
Cotton husks 18.4
Dry food waste 18.1
Furfural 33.3
Grass (lawn) 4.7
Grape stalks 7.9
Starch 18.1
Straw (dry) 14
Sugar 16
Sunflower husks 17.7
Bagasse 21.3
Feedlot manure 17.2
Rice hulls 15.4
Rice straw 15.2

Municipal solid waste


General municipal waste 13.1
Brown paper 1.9
Cardboard 18.2
Corrugated boxes 16.4
Food fats 38.8
Garbage 19.7
Glass bottles 0.2
Magazine paper 12.7
Metal cans 1.7
Oils, paints 31.2
Paper food cartons 18.0
Rags 14.0
Rubber 26.4

Paper
Brown paper 16.5
Buttered paper 20.3
Cardboard 20
Corrugated boxes 17.7
Fiber board 16.5
Food cartons 11.2
Magazines 11.2

Continues
Appendix/Selected Energy-Related Tables 773

Table continued

Waste Energy content (Mj/kg)

Newspapers 18.1
Plastic coated paper 16.5
Tar paper 23.5
Waxed milk cartons 25.1

Wood
Sawdust and chips
dry 17.4
30% wet 15.1
40% wet 12.8
50% wet 10.5

Synthetics/plastics
Algea 15.6
Cellulose 17
Gelatin 18.4
Gluten 24.2
Melamine 20.1
Naphthene 40.2
Nylon 27
Phenol-formaldehyde 35.1
Polethylene 46.5
Polypropylene 46.5
Polystyrene foam 41.9
Polyurethane 30.2
Polyvinyl acetate 22.8
Polyvinyl chloride 20
Urea-formaldehyde 17.7

Solvents
Acetone 30.8
Benzene 41.6
Chloroform 3.1
Dichlorobenzene 19
Diethyl ketone 40.5
Diisopropyl ketone 38.4
Ethyl acetate 24.7
Ethanol 29.5
Ethylene dichloride 10.9
Ethylene glycol 19.1
Heptane 46.5
Isopropyl alcohol 33
Methanol 22.6
Methyl butyl ketone 37.4
Methyl ethyl ketone 34
Methyl isopropyl ketone 35.6
Toluene 42.3
Xylene 42.8

Continues
774 Appendix/Selected Energy-Related Tables

Table continued

Waste Energy content (Mj/kg)

Sewage
Raw sewage 16.5
Sewage sludge 4.7

Miscellaneous
Asphalt 39.8
Cellophane 14.9
Latex 23.3
Leather 18.9
Leather trimmings 17.8
Leather shreddings 19.8
Lignin 14
Linoleum 17.9
Lubricants (spent) 27.9
Paint (waste) 19–29
Pigbristles 21.4
Pitch 35.1
Rubber 23.3
Tires 34.9
Black liquor 13.7
Paper pellets 15.2
Peat 9.3
Railroad ties 14.7
Sludge waste 8.7
Sludge wood 11.7
Solid byproducts 30.0
Spent sulfite liquor 14.8
Utility poles 14.5

26. HALF-LIFE OF SELECTED RADIOACTIVE ISOTOPES

Radionuclide Symbol Half-life


241
Americium-241 Am 432.2 years
243
Americium-243 Am 7.38  103 years
125
Antimony-125 Sb 2.77 years
41
Argon-41 Ar 1.827 hours
7
Beryllium-7 Be 53.44 days
252
Californium-252 Cf 2.639 years
14
Carbon-14 C 5.730  103 years
141
Cerium-141 Ce 32.50 days
143
Cerium-143 Ce 1.38 days
144
Cerium-144 Ce 284.3 days
134
Cesium-134 Cs 2.062 years

Continues
Appendix/Selected Energy-Related Tables 775

Table continued

Radionuclide Symbol Half-life


137
Cesium-137 Cs 30.17 years
58
Cobalt-58 Co 70.80 days
60
Cobalt-60 Co 5.271 years
242
Curium-242 Cm 163.2 days
244
Curium-244 Cm 18.11 years
129
Iodine-129 I 157  107 years
131
Iodine-131 I 8.04 days
85
Krypton-85 Kr 10.72 years
88
Krypton-88 Kr 2.84 hours
54
Manganese-54 Mn 312.7 days
237
Neptunium-237 Np 2.14  106 days
95
Niobium-95 Nb 35.06 days
185
Osmium-185 Os 93.6 days
32
Phosphorus-32 P 14.29 days
210
Polonium-210 Po 138.378 days
238
Plutonium-238 Pu 87.75 years
239
Plutonium-239 Pu 2.41  104 years
240
Plutonium-240 Pu 6.569  103 years
40
Potassium-40 K 1.2777  109 years
147
Promethium-147 Pm 2.6234 years
234m
Protactinium-234m Pa 1.17 minutes
226
Radium-226 Ra 1.6  103 years
228
Radium-228 Ra 5.75 years
103
Ruthenium-103 Ru 39.35 days
106
Ruthenium-106 Ru 368.2 days
89
Strontium-89 Sr 50.55 days
90
Strontium-90 Sr 28.6 years
99
Technetium-99 Tc 2.13  105 years
228
Thorium-228 Th 1.9132 years
230
Thorium-230 Th 7.54  104 years
232
Thorium-232 Th 1.405  1010 years
234
Thorium-234 Th 2.41  101 day
3
Tritium H 12.28 years
234
Uranium-234 U 2.445  105 years
235
Uranium-235 U 7.038  108 years
236
Uranium-236 U 2.3415  107 years
238
Uranium-238 U 4.468  109 years
133
Xenon-133 Xe 5.245  109 years
135
Xenon-135 Xe 9.11 hours
90
Yttrium-90 Y 64.1 hours
95
Zirconium-95 Zr 64.02 days

Source. U.S. Department of Energy (1989). ‘‘Radioactive Decay Data Tables: A Handbook of Decay Data for Application to Radioactive
Dosimetry and Radiological Assessments.’’ DOE/TIC-11026.

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